4//SEC Filing
Northern Power Systems Corp. 4
Accession 0001209191-14-060787
CIK 0001605997operating
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 6:02 AM ET
Size
10.6 KB
Accession
0001209191-14-060787
Insider Transaction Report
Form 4
Allen & CO LLC
10% Owner
Transactions
- Other
Class B Restricted Voting Shares
2014-09-30−800,053→ 2,400,162 total(indirect: See Footnote) - Other
Common Stock
2014-09-30+800,053→ 1,999,214 total(indirect: See Footnote)
Allen Herbert A III
10% Owner
Transactions
- Other
Class B Restricted Voting Shares
2014-09-30−800,053→ 2,400,162 total(indirect: See Footnote) - Other
Common Stock
2014-09-30+800,053→ 1,999,214 total(indirect: See Footnote)
ALLEN OPERATIONS LLC
10% Owner
Transactions
- Other
Common Stock
2014-09-30+800,053→ 1,999,214 total(indirect: See Footnote) - Other
Class B Restricted Voting Shares
2014-09-30−800,053→ 2,400,162 total(indirect: See Footnote)
Footnotes (3)
- [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.
- [F3]The disposition and acquisition of these shares is the result of a conversion from Class B Restricted Voting Shares to Common Stock on a one-for-one basis.
Documents
Issuer
Northern Power Systems Corp.
CIK 0001605997
Entity typeoperating
IncorporatedBritish Columbia, Canada
Related Parties
1- filerCIK 0001605997
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 6:02 AM ET
- Size
- 10.6 KB