SEC Form 4 · accession 0001209191-15-013938
HA Sustainable Infrastructure Capital, Inc. · HASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Brendan Herron
Officer — EVP and CFO
Period of report
Feb 12, 2015
Accepted (ET)
Feb 13, 2015 · 9:10 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 | Feb 12, 2015 | S | 11,200 | $14.588 | D | 128,868 | D |
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 September 9, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.52 to $14.66, 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 ("OP units") in Hannon Armstrong Sustainable Infrastructure, L.P., the Company's operating partnership subsidiary, held by the Reporting Person, which are redeemable for cash or at the option of the Company for shares of Common Stock of the Company on a one-for-one basis. Concurrently with the closing of the Company's initial public offering ("IPO") on April 23, 2013, 129,524 limited partnership units ("OP units") in Hannon Armstrong Sustainable Infrastructure, L.P., a Delaware limited partnership (the "Partnership"), of which the Company is the general partner, were issued to the Reporting Person pursuant to the terms of the partnership agreement of the Partnership upon conversion of the Reporting Person's existing limited partnership interest in the Partnership. As part of the same transaction, but 30 days after the initial issuance, an additional 6,414 OP units were issued to the Reporting Person.