SEC Form 4 · accession 0001104659-15-000430
Pattern Energy Group Inc. · PEGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owners
Pattern Energy Group Holdings LP
10% Owner
R/C Renewable Energy GP II, L.L.C.
10% Owner
R/C Wind II LP
10% Owner
Pattern Energy GP, LLC
10% Owner
Pattern Energy Group LP
10% Owner
Pattern Energy Group Holdings GP LLC
10% Owner
Pattern Renewables GP LLC
10% Owner
Pattern Renewables LP
10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 9:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561660
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Dec 31, 2014 | C | 15,407,808 | $0.00 | A | 15,407,808 | I | See Footnotes |
| Class A Common StockF2,F3 | holding | — | — | — | 5,854,000 | I | See Footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1,F2,F4 | — | Dec 31, 2014 | C | 15,407,808 | D | — | — | Class A Common Stock | 0 | 0 | I |
Explanation of responses
- F1Held of record by Pattern Renewables LP. Pattern Renewables GP LLC is the general partner of Pattern Renewables LP. Pattern Energy Group LP is the sole member of Pattern Renewables GP LLC. Pattern Energy GP LLC is the general partner of Pattern Energy Group LP. Pattern Energy Group Holdings LP is the managing member of Pattern Energy GP LLC. Pattern Energy Group Holdings GP LLC is the general partner of Pattern Energy Group Holdings LP. R/C Wind II LP is the managing member of Pattern Energy Group Holdings GP LLC. Riverstone/Carlyle Renewable Energy Grant GP, L.L.C. is the general partner of R/C Wind II LP. R/C Renewable Energy GP II, LLC is the managing member of Riverstone/Carlyle Renewable Energy Grant GP, L.L.C.
- F2R/C Renewable Energy GP II, LLC is managed by an eight-person investment committee. Pierre F. Lapeyre, Jr., David M. Leuschen, Ralph C. Alexander, Lord John Browne of Madingley, Michael B. Hoffman, Stephen J. Schaefer, Daniel A. D'Aniello and Edward J. Mathias, as the members of the investment committee of R/C Renewable Energy GP II, LLC, may be deemed to share beneficial ownership of the shares beneficially owned by R/C Wind II LP. Such individuals expressly disclaim any such beneficial ownership.
- F3Held of record by Pattern Development Finance Company LLC. Pattern Energy Group LP is the sole member of Pattern Development Finance Company LLC. Pattern Energy GP LLC is the general partner of Pattern Energy Group LP. Pattern Energy Group Holdings LP is the managing member of Pattern Energy GP LLC. Pattern Energy Group Holdings GP LLC is the general partner of Pattern Energy Group Holdings LP. R/C Wind II LP is the managing member of Pattern Energy Group Holdings GP LLC. Riverstone/Carlyle Renewable Energy Grant GP, L.L.C. is the general partner of R/C Wind II LP. R/C Renewable Energy GP II, LLC is the managing member of Riverstone/Carlyle Renewable Energy Grant GP, L.L.C.
- F4On December 31, 2014, the Issuer's shares of Class B common stock converted into shares of the Issuer's Class A common stock on a one-to-one basis.