SEC Form 4 · accession 0001620702-17-000109
TERRAFORM GLOBAL, INC. · GLBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yana Kravtsova
Officer — SVP, General Counsel & Sec.
Period of report
Oct 26, 2017
Accepted (ET)
Nov 1, 2017 · 5:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001620702
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Oct 26, 2017 | M | 5,580 | $0.00 | A | 365,475 | D | |
| Class A Common StockF1 | Oct 26, 2017 | F | 2,026 | $4.875 | D | 363,449 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (Class A common stock)F2 | — | Oct 26, 2017 | M | 5,580 | D | — | — | Class A Common Stock | 5,580 | 55,491 | D |
Explanation of responses
- F1These shares were delivered to the Company to pay for the applicable withholding tax due upon vesting of restricted stock units.
- F2This number of shares represents the vesting of restricted stock units ("RSUs") awarded on October 26, 2016 under the Company's 2014 Second Amended and Restated Long-Term Incentive Plan. The RSUs awarded on October 26, 2016 were originally reported on a Form 4 filed on November 23, 2016 which incorrectly stated the grant date as November 18, 2016. The 22,321 RSUs were awarded on October 26, 2016 under the 2014 Long-Term Incentive Plan. The RSUs vested 25% on the first anniversary of the grant date and will vest 25% on the second anniversary of the grant date and 50% on the third anniversary of the grant date.