SEC Form 4 · accession 0000899243-17-027877
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
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 6:05 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 shareF2,F3 | Nov 30, 2017 | S | 11,063 | $23.96 | D | 251,733 | D | |
| Common stock, par value $0.01 per shareF3 | Nov 30, 2017 | G | 2,336 | $0.00 | D | 249,397 | D | |
| Common stock, par value $0.01 per shareF5 | holding | — | — | — | 5,000 | I | By spouse | |
| Common stock, par value $0.01 per shareF6 | 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
- F1This sale was effected pursuant to a Rule 10b5-1 trading plan, dated September 14, 2017 (the "Plan").
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.90 to $24.11, inclusive on November 30, 2017. 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, 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.
- F4This charitable gift was effected pursuant to the Plan.
- F5These shares are held by the reporting person's spouse. The reporting person disclaims beneficial ownership other than to the extent of his pecuniary interest.
- F6These 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.