SEC Form 5 · accession 0001209191-18-004757
Northern Power Systems Corp. · NPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard N Hokin
Director
Period of report
Dec 31, 2017
Accepted (ET)
Jan 22, 2018 · 5:13 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 Shares | Dec 14, 2017 | G | 41,000 | $0.00 | D | 353,883 | D | |
| Common SharesF1 | holding | — | — | — | 1,870,260 | I | By CWE LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares are held directly by CWE LLC. Mr. Hokin is the Manager of CWE LLC, and therefore may be deemed to hold voting and dispositive power over the shares held by CWE LLC. Mr. Hokin disclaims beneficial ownership of the shares held by CWE LLC.