SEC Form 4 · accession 0001209191-16-152291
Northern Power Systems Corp. · NPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ciel R. Caldwell
Officer — President & Chief Exec.Officer · Director
Period of report
Nov 25, 2016
Accepted (ET)
Nov 29, 2016 · 4:15 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 25, 2016 | P | 100,000 | $0.25 | A | 112,840 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.185 to $0.25, inclusive. The reporting person undertakes to provide Northern Power Systems Corp., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.