Statement of Ownership (sc 13g)

Date : 02/14/2019 @ 10:27PM
Source : Edgar (US Regulatory)
Stock : American Superconductor Corp. (AMSC)
Quote : 8.48  -0.31 (-3.53%) @ 5:00AM

Statement of Ownership (sc 13g)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

American Superconductor Corporation

(Name of Issuer)

Common Stock, par value $.01 per share

(Title of Class of Securities)

030111207

(CUSIP Number)

Stephen J. Lococo, 11422 Miracle Hills Drive, Suite 208 Omaha, NE 68154 402-445-9333

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

12-31-2018

(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)

☐ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


13G

 

CUSIP No. 030111207   Page 2 of 5 Pages

 

  1   

NAMES OF REPORTING PERSONS

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

 

    Footprints Asset Management & Research, Inc.

    86-1070985

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

(a)  ☐        (b)  ☐

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    UNITED STATES, NEBRASKA

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

    1,248,158

   6   

SHARED VOTING POWER

 

    00,000

   7   

SOLE DISPOSITIVE POWER

 

    1,248,158

   8   

SHARED DISPOSITIVE POWER

 

    00,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    1,248,158

10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)

 

    ☐

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    5.8%

12  

TYPE OF REPORTING PERSON (see instructions)

 

    IA

 


13G

 

CUSIP No. 030111207   Page 3 of 5 Pages

Item 1.

 

           (a)    Name of Issuer
American Superconductor Corporation
  (b)   

Address of Issuer’s Principal Executive Offices
64 Jackson Road

Devens, MA 01434

Item 2.

 

           (a)    Name of Person Filing
Footprints Asset Management and Research, Inc.
  (b)    Address of the Principal Office or, if none, residence
11422 Miracle Hills Drive, Suite 208 Omaha, NE 68154
  (c)    Citizenship
NE
  (d)    Title of Class of Securities
Common Stock
  (e)    CUSIP Number
320771207

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

           (a)       Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
  (b)       Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c)       Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
  (d)       Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e)       An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
  (f)       An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
  (g)       A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
  (h)       A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
  (i)       A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
  (j)       Group, in accordance with §240.13d-1(b)(1)(ii)(J).


13G

 

CUSIP No. 030111207   Page 4 of 5 Pages

Item 4. Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

           (a)    Amount beneficially owned: 1,248,158
  (b)    Percent of class: 5.8%
  (c)    Number of shares as to which the person has:
     (i)      Sole power to vote or to direct the vote 1,248,158
     (ii)     Shared power to vote or to direct the vote 0
     (iii)    Sole power to dispose or to direct the disposition of 1,248,158
     (iv)    Shared power to dispose or to direct the disposition of 0

Instruction . For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

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

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following     ☐.

Instruction . Dissolution of a group requires a response to this item.

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

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

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

Item 9. Notice of Dissolution of Group.

Item 10. Certification.

 

           (a)    The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):
     By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.
  (b)    The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):
     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.


13G

 

CUSIP No. 030111207   Page 5 of 5 Pages

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.

 

                                                                 02/14/2019         
                                                                 Date         
                                                                 /s/ Steve Lococo         
                                                                 Signature         
                                                                 Steve Lococo, President/Portfolio Manager         
                                                                 Name/Title         

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