SEC Form 4 · accession 0001620702-18-000012
TERRAFORM GLOBAL, INC. · GLBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J. Mack
Director
Period of report
Dec 28, 2017
Accepted (ET)
Jan 2, 2018 · 9:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001620702
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | — | Dec 28, 2017 | D | 55,419 | D | — | — | Class A Common Stock | 55,419 | 12,081 | D |
| Restricted Stock Units (Class A common stock)F2 | — | Dec 28, 2017 | J | 12,081 | D | — | — | Class A Common Stock | 12,081 | 0 | D |
Explanation of responses
- F1On December 28, 2017, pursuant to the Agreement and Plan of Merger, dated as of March 6, 2017, by and among TerraForm Global, Inc., Orion US Holdings 1 L.P. and BRE GLBL Holdings Inc. ("Merger Sub"), Merger Sub merged with and into TerraForm Global, Inc. (the "Merger"), with TerraForm Global, Inc. continuing as the surviving corporation in the Merger and a wholly-owned subsidiary of Orion US Holdings 1 L.P. At the effective time of the Merger, for each restricted stock unit, restricted stock award and share of Class A common stock held by the filer, the filer received $5.10 per share, subject to relevant tax withholdings.
- F2This number represents restricted stock units that were forfeited in accordance with the applicable grant agreement, which provided for pro-rated vesting of the restricted stock units based on the effective time of the Merger.