SEC Form 4 · accession 0001209191-15-036238
HA Sustainable Infrastructure Capital, Inc. · HASI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathaniel Rose
Officer — Senior Vice President & CIO
Period of report
Apr 23, 2015
Accepted (ET)
Apr 24, 2015 · 7:22 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,F3 | Apr 23, 2015 | F | 3,519 | $19.02 | D | 217,012 | D | |
| Common stock, par value $0.01 per shareF4 | holding | — | — | — | 10,000 | I | By Spouse |
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 10,928 shares of Common Stock.
- F2Represents the closing price of the Common Stock on April 23, 2015.
- F3On April 23, 2013, the reporting person was granted 43,714 shares of restricted Common Stock that were issued pursuant to the Hannon Armstrong Sustainable Infrastructure Capital Inc. 2013 Equity Incentive Plan. The shares vested as to one fourth on April 23, 2014 and one fourth on April 23, 2015 and will vest as to one fourth on April 23, 2016 and one fourth on April 23, 2017.
- 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.