Insider · CIK 0001228600

ELLIS ALEXANDER III

Reports to the SEC for 5 companies · BOSTON, MA

sec.gov

Transactions

Companies

Filings

CIK

0001228600

Forms 4 and 5

Insider transactions

25 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2017-05-25	Northern Power Systems Corp.A Award	Director, 10% Owner	AAward	+30K sh	—	—	30,000
2016-11-30	Northern Power Systems Corp.A Award	Director, 10% Owner	AAward	+30K sh	—	—	75,000
2016-11-28	Northern Power Systems Corp.A Award	Director, 10% Owner	AAward	+30K sh	—	—	45,000
2015-08-25	Northern Power Systems Corp.A Award	Director, 10% Owner	AAward	+15K sh	—	—	15,000
2014-11-30	Northern Power Systems Corp.J Other	Director, 10% Owner	JOther	−1.78M sh	—	—	0
2014-11-30	Northern Power Systems Corp.J Other	Director, 10% Owner	JOther	+1.78M sh	—	—	4,892,665
2014-10-30	Northern Power Systems Corp.J Other	Director, 10% Owner	JOther	−900K sh	—	—	1,769,522
2014-10-30	Northern Power Systems Corp.J Other	Director, 10% Owner	JOther	+900K sh	—	—	3,123,143
2014-09-30	Northern Power Systems Corp.J Other	Director, 10% Owner	JOther	−890K sh	—	—	2,669,283
2014-09-30	Northern Power Systems Corp.J Other	Director, 10% Owner	JOther	+890K sh	—	—	2,223,382
2012-11-12	CDTI ADVANCED MATERIALS, INC.Stock Option (right to buy)A Award	Director	AAward	+5,000 sh	—	—	5,000
2011-12-01	CDTI ADVANCED MATERIALS, INC.Stock Option (right to buy)A Award	Director	AAward	+5,000 sh	—	—	5,000
2011-07-05	CDTI ADVANCED MATERIALS, INC.S Sale	Director	SSale	−7,200 sh	$3.75	−$27K	322,695
2011-07-05	CDTI ADVANCED MATERIALS, INC.S Sale	Director	SSale	−72.8K sh	$3.75	−$273K	329,895
2010-11-16	CDTI ADVANCED MATERIALS, INC.Stock Option (right to buy)A Award	Director	AAward	+5,000 sh	—	—	5,000
2010-10-15	CDTI ADVANCED MATERIALS, INC.WarrantsJ Other	Director	JOther	+15.1K sh	—	—	55,328
2010-10-15	CDTI ADVANCED MATERIALS, INC.J Other	Director	JOther	+376K sh	—	—	375,853
2010-10-15	CDTI ADVANCED MATERIALS, INC.J Other	Director	JOther	+26.8K sh	—	—	402,695
2010-10-15	CDTI ADVANCED MATERIALS, INC.WarrantsJ Other	Director	JOther	+40.2K sh	—	—	40,220
2007-04-18	COMVERGE, INC.Series B Preferred StockC Conversion	Director	CConversion	−1.86M sh	—	—	0
2007-04-18	COMVERGE, INC.C Conversion	Director	CConversion	+323K sh	—	—	334,426
2007-04-18	COMVERGE, INC.C Conversion	Director	CConversion	+968K sh	—	—	1,003,282
2007-04-18	COMVERGE, INC.Series C Preferred StockC Conversion	Director	CConversion	−25K sh	—	—	0
2007-04-18	COMVERGE, INC.Series C Preferred StockC Conversion	Director	CConversion	−75K sh	—	—	0
2007-04-18	COMVERGE, INC.Series B Preferred StockC Conversion	Director	CConversion	−621K sh	—	—	0

Recent filings

Accepted (ET)
May 304
Northern Power Systems Corp.0001209191-17-036243
SEC(opens sec.gov)
Dec 24
Northern Power Systems Corp.0001209191-16-152994
SEC(opens sec.gov)
Nov 284
Northern Power Systems Corp.0001209191-16-152207
SEC(opens sec.gov)
Aug 264
Northern Power Systems Corp.0001605997-15-000010
SEC(opens sec.gov)
Dec 24
Northern Power Systems Corp.0001228600-14-000003
SEC(opens sec.gov)
Nov 124
Northern Power Systems Corp.0001228600-14-000002
SEC(opens sec.gov)
Oct 24
Northern Power Systems Corp.0001228600-14-000001
SEC(opens sec.gov)
Nov 144
ELLIS ALEXANDER III0001513162-12-000902
SEC(opens sec.gov)
Dec 24
ELLIS ALEXANDER III0001209191-11-059131
SEC(opens sec.gov)
Jul 154
MCDERMOTT CHARLES J0001209191-11-039691
SEC(opens sec.gov)
Nov 184
ELLIS ALEXANDER III0001209191-10-055952
SEC(opens sec.gov)
Oct 194
MCDERMOTT CHARLES J0001140361-10-041626
SEC(opens sec.gov)
Apr 194
Comverge, Inc.0001181431-07-026245
SEC(opens sec.gov)

Companies

Address

160 FEDERAL STREET 18TH FLOOR

BOSTON, MA, 02110-1700