SEC Form 4 · accession 0001209191-16-152996
Northern Power Systems Corp. · NPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Robert L Lentz
Director
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:08 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 30, 2016 | A | 28,000 | $0.00 | A | 136,537 | D | |
| Common Shares | holding | — | — | — | 11,000 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were issued to the Reporting Person pursuant to the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan in lieu of 50% of the director meeting fees. The shares are fully vested as of the grant date.