SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| 2128 W. BRAKER LN., BK 12 |
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(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
10/05/2006
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3. Issuer Name and Ticker or Trading Symbol
ACTIVE POWER INC
[ ACPW ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| VP of Marketing & Cust Service |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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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 Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Employee Stock Option (right to buy) |
|
12/01/2015 |
Common Stock |
28,089 |
3.56 |
D |
|
| Employee Stock Option (right to buy) |
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12/01/2015 |
Common Stock |
46,911 |
3.56 |
D |
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| Explanation of Responses: |
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|
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/s/ Maya Walker (Attorney-in-Fact) |
10/12/2006 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * 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). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| 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 Number. |
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CONFIRMING STATEMENT
This Statement confirms that the undersigned, Rod Bond, has authorized
and designated John K. Penver, Catherine Brophy and Maya Walker to execute and
file on the undersigned's behalf all Forms 3, 4, and 5 (including any amendments
thereto) that the undersigned may be required to file with the U.S. Securities
and Exchange Commission as a result of the undersigned's ownership of or
transactions in securities of Active Power, Inc. The authority of John K.
Penver, Catherine Brophy and Maya Walker under this Statement shall continue
until the undersigned is no longer required to file Forms 3, 4, and 5 with
regard to the undersigned's ownership of or transactions in securities of Active
Power, Inc., unless earlier revoked in writing. The undersigned acknowledges
that John K. Penver, Catherine Brophy and Maya Walker are not assuming any of
the undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
Date: October 11, 2006 /s/ Lisa Brown
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Lisa Brown
