Filing Details

 

	SECURITIES AND EXCHANGE COMMISSION
	Washington, D.C. 20549
	SCHEDULE 13D

 

Under the Securities Exchange Act of 1934
(Amendment No. 5)*

 

(Name of Issuer)

 

(Title of Class of Securities)

 

(CUSIP Number)

 

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

Explanatory Note

 

This Amendment No. 5 to Schedule 13D (this Amendment No. 5) amends and supplements the Schedule 13D originally filed with the United States Securities and Exchange Commission (the SEC) on November 12, 2014 (as amended to date, the Schedule 13D), relating to the Class A common stock, par value $0.01 (the Class A shares) of Pattern Energy Group Inc. (the Issuer). Capitalized terms used herein without definition shall have the meaning set forth in the Schedule 13D.

 

Item 4.           Purpose of Transaction.

 

Item 4 of the Schedule 13D is hereby amended and supplemented by adding the following:

 

On March 14, 2018, Pattern Development Finance Company LLC (Pattern Finco) amended its previously disclosed trading plan (as so amended, the Trading Plan) pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Pursuant to the Trading Plan, a broker dealer will make periodic sales of up to an aggregate of 7,351,960 Class A shares on behalf of Pattern Finco, subject to the terms of the Trading Plan.

 

The Reporting Persons intend to use the proceeds from any sales pursuant to the Trading Plan to reduce Pattern Fincos obligations under the Loan Agreement. The Reporting Persons make no commitments in terms of the timing of such transactions, if any, which will depend on market conditions, including the price of Class A shares, as well as other factors.

 

This description of the Trading Plan does not purport to be complete and is qualified in its entirety by the text of the Trading Plan, the form of which was attached as Exhibit 99.1 to this Schedule 13D and is incorporated herein by reference.

 

Item 6.           Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

 

Item 6 of the Schedule 13D is hereby amended and supplemented by adding the following:

 

Item 4 above summarizes certain provisions of the Trading Plan and is incorporated herein by reference. The Trading Plan was attached as Exhibit 99.1 to this Schedule 13D and is incorporated herein by reference.

 

Except as set forth herein, none of the Reporting Persons have any contracts, arrangements, understandings or relationships (legal or otherwise) with any person with respect to any securities of the Issuer, including, but not limited to, any contracts, arrangements, understandings or relationships concerning the transfer or voting of such securities, finders fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or losses, or the giving or withholding of proxies.

 

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SIGNATURES

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date:      March 16, 2018

 

	PATTERN RENEWABLES LP
	By:	/s/ Dyann S. Blaine
	Name:	Dyann S. Blaine
	Title:	Vice President
	PATTERN RENEWABLES GP LLC
	By:	/s/ Dyann S. Blaine
	Name:	Dyann S. Blaine
	Title:	Vice President
	PATTERN DEVELOPMENT FINANCE COMPANY LP
	By:	/s/ Dyann S. Blaine
	Name:	Dyann S. Blaine
	Title:	Vice President
	PATTERN ENERGY GROUP LP
	By:	/s/ Dyann S. Blaine
	Name:	Dyann S. Blaine
	Title:	Vice President
	PATTERN ENERGY GP LLC
	By:	/s/ Dyann S. Blaine
	Name:	Dyann S. Blaine
	Title:	Vice President

 

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	PATTERN ENERGY GROUP HOLDINGS LP
	By:		/s/ Daniel M. Elkort
	Name:		Daniel M. Elkort
	Title:		Vice President
	PATTERN ENERGY GROUP HOLDINGS GP LLC
	By:	R/C Wind II LP, its managing member
	By:	Riverstone/Carlyle Renewable Energy Grant GP, L.L.C., its general partner
	By:	R/C Renewable Energy GP II, L.L.C., its sole member
	By:		/s/ Peter Haskopoulos
	Name:		Peter Haskopoulos
	Title:		Authorized Person
	R/C WIND II LP
	By:	Riverstone/Carlyle Renewable Energy Grant GP, L.L.C., its general partner
	By:	R/C Renewable Energy GP II, L.L.C., its sole member
	By:		/s/ Peter Haskopoulos
	Name:		Peter Haskopoulos
	Title:		Authorized Person
	RIVERSTONE/CARLYLE RENEWABLE ENERGY GRANT GP, L.L.C.
	By: R/C Renewable Energy GP II, L.L.C., its sole member
	By:		/s/ Peter Haskopoulos
	Name:		Peter Haskopoulos
	Title:		Authorized Person

 

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	R/C RENEWABLE ENERGY GP II, L.L.C.
	By:	/s/ Peter Haskopoulos
	Name:	Peter Haskopoulos
	Title:	Authorized Person

 

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