Northern Power Systems Corp. 4
4 · Northern Power Systems Corp. · Filed Dec 2, 2016
Insider Transaction Report
Form 4
ELLIS ALEXANDER III
Director
Transactions
- Award
Common Shares
2016-11-30+30,000→ 75,000 total
Holdings
- 4,892,665(indirect: BY ROCKPORT CAPITAL PARTNERS III, LP)
Common Shares
Footnotes (2)
- [F1]These shares were issued to the Reporting Person pursuant to the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan in lieu of 50% of the director meeting fees. The shares are fully vested as of the grant date.
- [F2]Shares are held directly by RockPort Capital Partners III, L.P. Mr. Ellis is a General Partner of RockPort Capital Partners III, L.P., and therefore may be deemed to hold voting and dispositive power over the shares held by RockPort Capital Partners III, L.P. Mr. Ellis disclaims beneficial ownership of the shares held by RockPort Capital Partners III, L.P.