SEC Form 4 · accession 0001179110-19-000896
ATLANTIC POWER CORP · AT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J Moore Jr.
Officer — Chief Executive Officer · Director
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 4:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001419242
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common sharesF1 | Jan 22, 2019 | M | 179,968 | — | A | 647,108 | D | |
| Common shares | Jan 22, 2019 | F | 89,983 | $2.37 | D | 647,108 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Transition notional sharesF2 | — | Jan 22, 2019 | M | 269,951 | D | — | — | Common shares | 269,951 | 269,952 | D |
Explanation of responses
- F1Mr. Moore acquired shares pursuant to the vesting (disclosed on Table II) of transition notional shares awarded in 2015. Two thirds of the vested transition notional shares were settled in common shares and one third were settled in cash, which was deposited into the reporting persons applicable payroll tax withholding account.
- F2Mr. Moore vested 50%, plus accumulated dividend equivalent units, of the transition notional shares granted in 2015. The vesting date for these transition notional shares was the four year anniversary of their grant date.