1. Name and Address of Reporting Person * |
Â
Van Steenwyk Matthew |
|
2. Date of Event Requiring Statement (Month/Day/Year) 07/21/2015 |
3. Issuer Name and Ticker or Trading Symbol AMERICAN POWER GROUP Corp [APGI]
|
2747 PARADISE ROAD, SUITE 3604 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director |
__X__ 10% Owner |
_____ Officer (give title below) |
_____ Other (specify below) |
|
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
LAS VEGAS, NV 89109 |
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
|
Table I - Non-Derivative Securities Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $.01 per share
|
3,927,968
|
I
|
As Trustee
(1)
|
Common Stock, par value $.01 per share
|
831,195
|
I
|
As Trustee
(2)
|
Common Stock, par value $.01 per share
|
606,099
|
I
|
See footnotes
(3)
|
Common Stock, par value $.01 per share
|
30,000
|
I
|
By Rollover IRA
(4)
|
Common Stock, par value $.01 per share
|
12,000
|
I
|
By ROTH IRA
(5)
|
Common Stock, par value $.01 per share
|
1,000
|
I
|
As Beneficiary of Rollover IRA owned by Spouse
(6)
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
10% Convertible Preferred Stock, par value $1.00 per share
|
Â
(7)
|
Â
(7)
|
Common Stock, par value $.01 per share
|
510,210
|
$
0.4
|
I
|
See footnotes
(3)
|
Common Stock Warrants (right to buy)
|
10/30/2012 |
05/30/2020 |
Common Stock, par value $.01 per share
|
1,540,830
|
$
0.4
|
I
|
See footnotes
(3)
|
Series B 10% Convertible Preferred Stock, par value $1.00
|
05/28/2015 |
11/28/2020 |
Common Stock, par value $.01 per share
|
5,000,000
|
$
0.5
|
I
|
See footnotes
(3)
|
Common Stock Warrants (right to buy)
|
10/30/2012 |
05/30/2020 |
Common Stock, par value $.01 per share
|
270,000
|
$
0.5
|
I
|
As Trustee
(8)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
These shares are owned directly by the Van Steenwyk GST Trust and indirectly by Matthew Van Steenwyk, the Trustee of the Van Steenwyk GST Trust. |
(2) |
These shares are owned directly by the Van Steenwyk Issue Trust and indirectly by Matthew Van Steenwyk, the Trustee of the Van Steenwyk Issue Trust. |
(3) |
These shares are directly owned by Arrow, LLC ("Arrow"). The securities reported as directly beneficially owned by Arrow may be deemed to be indirectly beneficially owned by Matthew Van Steenwyk, the managing member of Arrow. |
(4) |
These shares are owned directly by the Matt Van Steenwyk Rollover IRA and indirectly by Matthew Van Steenwyk, owner of the Matt Van Steenwyk Rollover IRA. |
(5) |
These shares are owned directly by the Matt Van Steenwyk ROTH IRA and indirectly by Matthew Van Steenwyk, owner of the Matt Van Steenwyk ROTH IRA. |
(6) |
These shares are owned directly by the Betty Van Steenwyk Rollover IRA and indirectly by Betty Van Steenwyk, owner of the Betty Van Steenwyk Rollover IRA, and Matthew Van Steenwyk, beneficiary of the Betty Van Steenwyk Rollover IRA. |
(7) |
The 10% Convertible Preferred Stock ("Preferred Stock") has no expiration date and is convertible at any time at the respective holder's election. |
(8) |
The 270,000 common stock warrants are owned directly by the Van Steenwyk Issue Trust and indirectly by Matthew Van Steenwyk as Trustee of the Van Steenwyk Issue Trust. |