SEC Form 4 · accession 0000899243-16-017755
Northern Power Systems Corp. · NPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Feb 10, 2016
Accepted (ET)
Apr 7, 2016 · 3:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001605997
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 10, 2016 | J | 3,799,376 | $0.00 | D | 0 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This report on Form 4 relates to shares that were owned directly by Allen & Company LLC, which is a wholly owned subsidiary of Allen Operations LLC. Herbert A. Allen III is the President of Allen & Company LLC and Allen Operations LLC. Mr. Allen and Allen Operations LLC were deemed indirect beneficial owners of the reported securities. Mr. Allen and Allen Operations LLC expressly disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interests therein, if any.
- F2Certain employees, affiliates and related parties of Allen & Company LLC held a beneficial interest in the shares held of record by Allen & Company LLC. Allen & Company LLC distributed all such shares to the applicable beneficial owners, and, as a result, Allen & Company LLC no longer owns or controls any shares of Common Stock of the Issuer.