SEC Form 4 · accession 0001561894-18-000007
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
Mar 5, 2018
Accepted (ET)
Mar 8, 2018 · 5:28 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 | Mar 5, 2018 | F | 15,310 | $18.02 | D | 692,308 | D | |
| Common stock, par value $0.01 per shareF3 | holding | — | — | — | 42,000 | I | By significant other | |
| Common stock, par value $0.01 per shareF4 | holding | — | — | — | 1,520 | I | By grandson | |
| Common stock, par value $0.01 per shareF5 | holding | — | — | — | 559,105 | I | By Jeffrey W. Eckel Revocable Trust |
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 33,333 shares of Common Stock.
- F2Represents the closing price of the Common Stock on March 5, 2018.
- F3These shares are held by the reporting person's significant other. The reporting person disclaims ownership other than to the extent of his pecuniary interest.
- F4The 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.
- F5These shares are held by the Jeffrey W. Eckel Revocable Trust, of which Jeffrey W. Eckel is the sole trustee and beneficiary.