Northern Power Systems Corp. 4
4 · Northern Power Systems Corp. · Filed Dec 2, 2016
Insider Transaction Report
Form 4
SIMON JOHN
Director
Transactions
- Award
Common Shares
2016-11-30+36,000→ 1,381,991 total
Holdings
- 1,139,533(indirect: By LLC)
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]Mr. Simon is an employee of Allen & Company LLC, and does not hold voting or dispositive power over the 4,399,376 common shares held by Allen & Company LLC, but has a beneficial interest in 1,139,533 common shares held by Allen & Company LLC for the account of Mr. Simon.