4//SEC Filing
Northern Power Systems Corp. 4
Accession 0000899243-15-010454
CIK 0001605997operating
Filed
Dec 28, 7:00 PM ET
Accepted
Dec 29, 3:11 PM ET
Size
8.7 KB
Accession
0000899243-15-010454
Insider Transaction Report
Form 4
Allen & CO LLC
10% Owner
Transactions
- Sale
Common Stock
2015-12-29$0.20/sh−600,000$120,000→ 3,799,376 total(indirect: See Footnote)
ALLEN OPERATIONS LLC
10% Owner
Transactions
- Sale
Common Stock
2015-12-29$0.20/sh−600,000$120,000→ 3,799,376 total(indirect: See Footnote)
Allen Herbert A III
10% Owner
Transactions
- Sale
Common Stock
2015-12-29$0.20/sh−600,000$120,000→ 3,799,376 total(indirect: See Footnote)
Footnotes (2)
- [F1]These shares are owned directly by Allen & Company LLC, which is a wholly owned subsidiary of Allen Operations LLC. Herbert A. Allen III is the President of Allen & Company LLC and Allen Operations LLC. Mr. Allen and Allen Operations LLC are indirect beneficial owners of the reported securities. Mr. Allen and Allen Operations LLC expressly disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interests therein, if any.
- [F2]Certain employees, affiliates and related parties of Allen & Company LLC hold a beneficial interest in the shares held of record by Allen & Company LLC. Allen & Company LLC disclaims beneficial ownership of the shares beneficially owned by such employees, affiliates and related parties. The disposition of these shares was effected by one such party who holds a beneficial interest in certain shares held of record by Allen & Company LLC.
Documents
Issuer
Northern Power Systems Corp.
CIK 0001605997
Entity typeoperating
IncorporatedBritish Columbia, Canada
Related Parties
1- filerCIK 0001605997
Filing Metadata
- Form type
- 4
- Filed
- Dec 28, 7:00 PM ET
- Accepted
- Dec 29, 3:11 PM ET
- Size
- 8.7 KB