0001493152-14-002186.txt : 20140718 0001493152-14-002186.hdr.sgml : 20140718 20140717185145 ACCESSION NUMBER: 0001493152-14-002186 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140718 DATE AS OF CHANGE: 20140717 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Windstream Technologies, Inc. CENTRAL INDEX KEY: 0001439133 STANDARD INDUSTRIAL CLASSIFICATION: HOTELS & MOTELS [7011] IRS NUMBER: 000000000 STATE OF INCORPORATION: WY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88241 FILM NUMBER: 14981389 BUSINESS ADDRESS: STREET 1: 819 BUCKEYE STREET CITY: NORTH VERNON STATE: IN ZIP: 47265 BUSINESS PHONE: 812-953-1481 MAIL ADDRESS: STREET 1: 819 BUCKEYE STREET CITY: NORTH VERNON STATE: IN ZIP: 47265 FORMER COMPANY: FORMER CONFORMED NAME: WINDAUS GLOBAL ENERGY INC DATE OF NAME CHANGE: 20130215 FORMER COMPANY: FORMER CONFORMED NAME: Blue Star Entertainment Technologies, Inc. DATE OF NAME CHANGE: 20120613 FORMER COMPANY: FORMER CONFORMED NAME: Solarte Hotel Corp DATE OF NAME CHANGE: 20120529 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: James Adrian CENTRAL INDEX KEY: 0001614114 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 3736 BEE CAVES RD STREET 2: SUITE 1-105 CITY: AUSTIN STATE: TX ZIP: 78746 SC 13G 1 formsc13g.htm SCHEDULE 13G

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULE 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO

RULE 13d-2(b)

Windstream Technologies, Inc.

(Name of Issuer)

COMMON STOCK, PAR VALUE $.001

(Title of Class of Securities)

97382J102

(CUSIP Number)

Adrian James

3736 Bee Caves Rd, Suite 1-105

Austin, TX 78746

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

August 22, 2013

(Date of Event Which Requires Filing of This Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

[ ] Rule 13d-1(b)

[X] Rule 13d-1(c)

[ ] Rule 13d-1(d)

CUSIP No. 97382J102

NAME OF REPORTING PERSONS

S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Adrian James

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) [ ]

(b) [ ]

SEC USE ONLY

CITIZENSHIP OR PLACE OF ORGANIZATION

  NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING
PERSON WITH

SOLE VOTING POWER

140,000

SHARED VOTING POWER

12,675,000 (1)

SOLE DISPOSITIVE POWER

140,000

SHARED DISPOSITIVE POWER

12,675,000 (1)

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

12,815,000 (1)

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

14.60 % (based on 84,972,578 shares of common stock issued and outstanding as of May 7, 2014)

TYPE OF REPORTING PERSON

(1)

Includes 9,875,000 shares of the Issuer’s common Stock and warrants to purchase 2,800,000 shares of the Issuer’s common stock held by Vanguard Financial Trust of which Mr. Adrian James is the trustee.

CUSIP No. 97382J102

NAME OF REPORTING PERSONS

S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Vanguard Financial Trust

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) [ ]

(b) [ ]

SEC USE ONLY

CITIZENSHIP OR PLACE OF ORGANIZATION

Texas

  NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING
PERSON WITH

SOLE VOTING POWER

SHARED VOTING POWER

12,675,000 (1)

SOLE DISPOSITIVE POWER

SHARED DISPOSITIVE POWER

12,675,000 (1)

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

12,675,000 (1)

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

14.44 % (based on 84,972,578 shares of common stock issued and outstanding as of May 7, 2014)

TYPE OF REPORTING PERSON

(1)

Includes 9,875,000 shares of the Issuer’s common Stock and warrants to purchase 2,800,000 shares of the Issuer’s common stock.

Item 1(a). Name of Issuer:

Windstream Technologies, Inc.

Item 1(b). Address of Issuer's Principal Executive Offices:

819 Buckeye Street

North Vernon, Indiana 47265

Item 2(a). Name of Person Filing.

This statement is filed on behalf of Vanguard Financial Trust (the “Trust”) and Mr. Adrian James (together with the Trust, the “Reporting Persons”).

Item 2(b). Address of Principal Business Office or, if None, Residence.

3736 Bee Caves Rd., Suite 1-105, Austin TX 78746

Item 2(c). Citizenship.

The Trust is established in Texas and Mr. James is a citizen of the United States.

Item 2(d). Title of Class of Securities.

Common Stock, par value $0.001.

Item 2(e). CUSIP Number.

97382J102

Item 3. Type of Person.

Not applicable.

Item 4. Ownership.

	(a)	Amount beneficially owned: 12,815,000 (1)

	(b)	Percent of class: 14.60 % (based on 84,972,578 shares of common stock issued and outstanding as of May 7, 2014)

	(c)	Number of shares as to which such person has:

	(i)	Sole power to vote or to direct the vote: 140,000

	(ii)	Shared power to vote or to direct the vote: 12,675,000 (1)

	(iii)	Sole Power to dispose or to direct the disposition of: 140,000

	(iv)	Shared Power to dispose or to direct the disposition of: 12,675,000 (1)

(1) Includes 9,875,000 shares of the Issuer’s common Stock and warrants to purchase 2,800,000 shares of the Issuer’s common stock held by Vanguard Financial Trust of which Mr. Adrian James is the trustee.

Item 5. Ownership of Five Percent or Less of a Class.

Not applicable.

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

Not Applicable

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported by the Parent Holding Company or Control Person.

Not applicable.

Item 8. Identification and Classification of Members of the Group.

Not applicable.

Item 9. Notice of Dissolution of Group.

Not applicable.

Item 10. Certifications.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

	Date: July 17, 2014

	Vanguard Financial Trust

	Signature:	/s/ Adrian James
	Name/Title:	Adrian James, Trustee

	Signature:	/s/ Adrian James
	Name:	Adrian James