SEC Form 4 · accession 0000899243-17-009967
HA Sustainable Infrastructure Capital, Inc. · HASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Eckel
Officer — President and CEO · Director
Period of report
Nov 4, 2016
Accepted (ET)
Apr 11, 2017 · 6:21 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,F2 | Nov 4, 2016 | G | 700 | $0.00 | D | 856,952 | D | |
| Common stock, par value $0.01 per shareF1,F3,F4 | Nov 4, 2016 | G | 700 | $0.00 | A | 1,520 | I | By grandson |
| Common stock, par value $0.01 per shareF5,F6 | holding | — | — | — | 544,105 | I | By Jeffrey W. Eckel Revocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported on this line is being reported late due to an inadvertent administrative oversight.
- F2Excludes 525,895 shares previously reported as owned directly; this was an inadvertent administrative oversight as these shares are held by the Jeffrey W. Eckel Revocable Trust, as referred to in the third row of this Form 4. Also, excludes 2,800 shares previously reported on a Form 4, dated March 13, 2017, as acquired and owned directly; this was an inadvertent administrative oversight, as 50 of these shares were acquired by the reporting person as custodian for his grandson under the Uniform Gifts to Minors Act, as referred to in the second row of this Form 4, and the remaining 2,750 of these shares were acquired by the Jeffrey W. Eckel Revocable Trust, as referred to in the third row of this Form 4.
- F3The reporting person acts as custodian for his grandson under the Uniform Gifts to Minors Act. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F4Includes 50 shares previously reported on a Form 4 dated March 13, 2017, as acquired and owned directly due to an inadvertent administrative oversight.
- F5These shares are held by the Jeffrey W. Eckel Revocable Trust, of which Jeffrey W. Eckel is the sole trustee and beneficiary.
- F6Includes (i) 525,895 shares previously reported as owned directly and (ii) 2,750 shares previously reported on a Form 4, dated March 13, 2017, as acquired and owned directly; this was an inadvertent administrative oversight, as these shares are held by the Jeffrey W. Eckel Revocable Trust.