SEC Form 4 · accession 0001209191-16-154141
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
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 4:07 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,F2,F3 | Dec 6, 2016 | S | 90,000 | $0.25 | D | 1,338,981 | I | By Baker Investments, LLC |
| Common Shares | holding | — | — | — | 56,875 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold in a private sale.
- F2The price reported is in Canadian dollars.
- F3Shares 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.