Filing Details

Accession Number:
0001209191-16-155961
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-19 17:16:37
Reporting Period:
2016-12-15
Filing Date:
2016-12-19
Accepted Time:
2016-12-19 17:16:37
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1605997 Northern Power Systems Corp. NPS () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1076418 N Richard Hokin 800 Post Rd
Darien CT 06820
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares Acquisiton 2016-12-15 31,000 $0.25 364,883 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares 1,870,260 Indirect BY CWE LLC
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.2481 to $0.2730, inclusive. The reporting person undertakes to provide to Northern Power Systems Corp., any security holder of Northern Power Systems Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) to this Form 4.
  2. Price reported is in Canadian dollars.
  3. Shares 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.