SEC Form 4 · accession 0000899243-16-026856
HA Sustainable Infrastructure Capital, Inc. · HASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Brendan Herron
Officer — EVP & CFO
Period of report
Aug 10, 2016
Accepted (ET)
Aug 11, 2016 · 6:04 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 shareF2,F3 | Aug 10, 2016 | S | 15,590 | $23.55 | D | 189,675 | D | |
| Common stock, par value $0.01 per shareF4 | holding | — | — | — | 5,000 | I | By spouse | |
| Common stock, par value $0.01 per shareF5 | holding | — | — | — | 1,920 | I | By spouse as UTMA custodian for children |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan, dated May 24, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.36 to $23.72, inclusive. The Reporting Person undertakes to provide Hannon Armstrong Sustainable Infrastructure Capital, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Excludes 135,938 limited partnership units in Hannon Armstrong Sustainable Infrastructure, L.P., the issuer's operating partnership subsidiary, held by the reporting person, which are redeemable for cash or at the option of the issuer for shares of Common Stock of the issuer on a one-for-one basis.
- F4These shares are held by the reporting person's spouse. The reporting person disclaims beneficial ownership other than to the extent of his pecuniary interest.
- F5These shares are held by the reporting person's spouse as custodian for reporting person's three children under the Uniform Transfers to Minors Act. The reporting person disclaims beneficial ownership other than to the extent of his pecuniary interest.