SEC Form 4 · accession 0000899243-16-017223
HA Sustainable Infrastructure Capital, Inc. · HASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathaniel Rose
Officer — EVP & COO
Period of report
Mar 29, 2016
Accepted (ET)
Mar 31, 2016 · 6:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561894
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.01 per shareF1 | Mar 29, 2016 | A | 17,212 | $0.00 | A | 232,702 | D | |
| Common stock, par value $0.01 per shareF2 | Mar 29, 2016 | A | 12,330 | $0.00 | A | 245,032 | D | |
| Common stock, par value $0.01 per shareF3 | Mar 29, 2016 | A | 25,033 | $0.00 | A | 270,065 | D | |
| Common stock, par value $0.01 per shareF4 | holding | — | — | — | 10,000 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 29, 2016, the reporting person was granted 17,212 shares of restricted Common Stock that were issued pursuant to the 2013 Hannon Armstrong Sustainable Infrastructure Capital Inc. Equity Incentive Plan (the "Plan"). The shares vest on March 5, 2018.
- F2On March 29, 2016, the reporting person was granted 12,330 shares of restricted Common Stock that were issued pursuant to the Plan. The shares will vest on March 5, 2019.
- F3On March 29, 2016, the reporting person was granted 25,033 shares of restricted Common Stock that were issued pursuant to the Plan. The shares will vest upon the latest of (i) March 5, 2019, (ii) the achievement of certain dividend growth targets and (iii) the achievement of certain earnings targets. The grant is being reported here for informational purposes only.
- F4These shares are held by the reporting person's spouse. The reporting person disclaims ownership other than to the extent of his pecuniary interest.