4//SEC Filing
Northern Power Systems Corp. 4
Accession 0001209191-17-036243
CIK 0001605997operating
Filed
May 29, 8:00 PM ET
Accepted
May 30, 6:26 PM ET
Size
9.4 KB
Accession
0001209191-17-036243
Insider Transaction Report
Form 4
ELLIS ALEXANDER III
Director
Transactions
- Award
Common Shares
2017-05-25+30,000→ 30,000 total
Holdings
- 4,892,665(indirect: BY ROCKPORT CAPITAL PARTNERS III, LP)
Common Shares
- 75,000(indirect: By LLC)
Common Shares
Footnotes (3)
- [F1]Each restricted stock unit represents a contingent right to receive one share of NPS common stock. The grant represents an annual grant of restricted stock units to non-executive directors under the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan. 25% of the shares vest upon grant and the remaining 75% vest in equal installments over the subsequent 3 quarters.
- [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.
- [F3]Shares are held directly by R P Capital Management LLC. Mr. Ellis is a General Partner of R P Capital Management LLC, and therefore may be deemed to hold voting and dispositive power over the shares held by R P Capital Management LLC. Mr. Ellis disclaims beneficial ownership of the shares held by R P Capital Management LLC. Mr. Ellis transferred the shares to R P Capital Management LLC.
Issuer
Northern Power Systems Corp.
CIK 0001605997
Entity typeoperating
IncorporatedBritish Columbia, Canada
Related Parties
1- filerCIK 0001605997
Filing Metadata
- Form type
- 4
- Filed
- May 29, 8:00 PM ET
- Accepted
- May 30, 6:26 PM ET
- Size
- 9.4 KB