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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1. Name and Address of Reporting Person*
Schrader-Hausmann Uwe

(Last) (First) (Middle)
C/O ACTIVE POWER
2128 W. BRAKER LANE

(Street)
AUSTIN TX 78758

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/12/2007
3. Issuer Name and Ticker or Trading Symbol
ACTIVE POWER INC [ ACPW ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP Technical Services
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 10,000 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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
Stock Option (right to buy) (1) 02/07/2017 Common Stock 9,000 2.29 D
Stock Option (right to buy) (2) 08/15/2015 Common Stock 20,000 3.23 D
Stock Option (right to buy) (3) 04/17/2016 Common Stock 9,000 5.17 D
Stock Option (right to buy) (4) 11/12/2017 Common Stock 25,000 1.71 D
Explanation of Responses:
1. 1/4 of shares subject to the option vest and become exercisable on February 7, 2008, and 1/48 of shares vest and become exercisable at the corresponding date of each month thereafter.
2. 1/16 of shares subject to the option vest at the corresponding date of each quarter beginning August 15, 2005. All shares subject to the option became exercisable on August 15, 2005.
3. 1/4 of shares subject to the option vest on April 17, 2006, and 1/48 of shares vest at the corresponding date of each month thereafter. All shares subject to the option became exercisable on April 17, 2006.
4. 1/4 of shares subject to the option vest and become exercisable on November 12, 2008, and 1/16 of shares vest and become exercisable at the corresponding date of each quarter thereafter.
/s/ John Penver 11/15/2007
** 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.
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