SEC Form 4 · accession 0000899243-17-000248
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
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 4:32 pm EST
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,F2,F3 | Dec 31, 2016 | F | 11,118 | $19.04 | D | 160,745 | 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
- F1Consists of shares of Common Stock withheld by the issuer, with approval of the issuer's Board of Directors, in order to satisfy the tax withholding obligation of the reporting person in connection with the vesting of 22,001 shares of Common Stock.
- F2Represents the opening price of the Common Stock on December 30, 2016.
- F3Excludes 135,938 limited partnership units in Hannon Armstrong Sustainable Infrastructure, L.P., the issuer's operating partnership subsidiary, held by the reporting person, previously reported 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 the 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.