SEC Form 4 · accession 0001209191-16-152166
Northern Power Systems Corp. · NPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marcus D. Baker
Director
Period of report
Nov 28, 2016
Accepted (ET)
Nov 28, 2016 · 4:05 pm EST
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 SharesF1 | Nov 28, 2016 | A | 30,000 | $0.00 | A | 30,000 | D | |
| Common SharesF2 | holding | — | — | — | 1,428,981 | I | By Baker Investments, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Annual grant of restricted common shares under the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan. The shares are fully vested as of the grant date.
- F2Shares are held directly by Baker Investments, LLC. Mr. Baker is President of Baker Companies, Inc. and is limited partner or member of its operating businesses, including Baker Investments, LLC.