Statement of Changes in Beneficial Ownership (4)
16 August 2016 - 10:46PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Van Steenwyk Matthew
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2. Issuer Name
and
Ticker or Trading Symbol
AMERICAN POWER GROUP Corp
[
APGI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
2747 PARADISE ROAD, SUITE 3604
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2016
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(Street)
LAS VEGAS, NV 89109
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $.01 per share
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3/31/2016
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J
(1)
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661919
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A
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$0.1352
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7022208
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I
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See Footnote 2
(2)
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Common Stock, par value $.01 per share
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6/30/2016
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J
(3)
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268817
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A
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$0.1395
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7686022
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I
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See Footnote 4
(4)
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Common Stock, par value $.01 per share
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6/30/2016
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J
(5)
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394997
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A
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$0.1395
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7686022
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I
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See Footnote 6
(6)
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Common Stock, par value $.01 per share
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7/5/2016
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J
(7)
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4604722
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A
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$0.14
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12290744
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D
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Common Stock, par value $.01 per share
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7/12/2016
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J
(8)
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1209857
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A
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$0.14
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13500601
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I
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See Footnote 9
(9)
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Common Stock, par value $.01 per share
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8/12/2016
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J
(10)
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589688
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A
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$0.17
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14090289
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I
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See Footnote 11
(11)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Common Stock Warrants
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$0.14
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7/5/2016
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P
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4604722
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7/5/2016
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7/5/2021
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Common Stock, par value $.01 per share
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4604722
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(7)
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17485154
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D
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Common Stock Warrants (right to buy)
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$0.17
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8/12/2016
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P
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589688
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8/12/2016
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8/12/2021
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Common Stock, par value $.01 per share
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589688
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(10)
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19874387
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I
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See Footnote 12
(12)
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Explanation of Responses:
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(
1)
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Dividend of $89,491.45 from Arrow, LLC's Series D holdings, paid in common stock.
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(
2)
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By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
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(
3)
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Dividend of $37,500 from Arrow, LLC's Series D holdings, paid in common stock.
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(
4)
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By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
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(
5)
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Dividend of $55,102 from Arrow, LLC's Series D-2 holdings, paid in common stock.
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(
6)
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By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
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(
7)
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Issued in connection with the conversion of $644,661 (including $4,661 of interest) due under four term loans, aggregating to $640,000 at a price of $.14 per share, along with an equal number of Common Stock warrants shown in Table II.
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(
8)
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Issued in connection with the conversion of an amount payable to Arrow, LLC of $169,380 (comprising $99,672 of interest and $69,708 of principal) under the WPU Leasing Loan agreement.
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(
9)
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By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
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(
10)
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Issued in connection with the conversion of a $100,000 loan payable to The Matthew Donald Van Steenwyk GST Trust.
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(
11)
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Issued to The Matthew Donald Van Steenwyk GST Trust. Mr. Van Steenwyk is the trustee of said Trust.
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(
12)
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Issued to The Matthew David Van Steenwyk GST Trust. Mr. Van Steenwyk is the trustee of said Trust.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Van Steenwyk Matthew
2747 PARADISE ROAD
SUITE 3604
LAS VEGAS, NV 89109
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X
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X
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Signatures
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Matthew van Steenwyk
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8/16/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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