0001209191-16-152994.txt : 20161202
0001209191-16-152994.hdr.sgml : 20161202
20161202160822
ACCESSION NUMBER: 0001209191-16-152994
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161130
FILED AS OF DATE: 20161202
DATE AS OF CHANGE: 20161202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Northern Power Systems Corp.
CENTRAL INDEX KEY: 0001605997
STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510]
IRS NUMBER: 826503088
STATE OF INCORPORATION: A1
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 29 PITMAN ROAD
CITY: BARRE
STATE: VT
ZIP: 05641
BUSINESS PHONE: 802-461-2955
MAIL ADDRESS:
STREET 1: 29 PITMAN ROAD
CITY: BARRE
STATE: VT
ZIP: 05641
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ELLIS ALEXANDER III
CENTRAL INDEX KEY: 0001228600
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55184
FILM NUMBER: 162031247
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-11-30
0
0001605997
Northern Power Systems Corp.
NPS
0001228600
ELLIS ALEXANDER III
C/O ROCKPORT CAPITAL PARTNERS III, L.P.
160 FEDERAL STREET 18TH FLOOR
BOSTON
MA
02110
1
0
1
0
Common Shares
2016-11-30
4
A
0
30000
0.00
A
75000
D
Common Shares
4892665
I
BY ROCKPORT CAPITAL PARTNERS III, LP
These shares were issued to the Reporting Person pursuant to the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan in lieu of 50% of the director meeting fees. The shares are fully vested as of the grant date.
Shares are held directly by RockPort Capital Partners III, L.P. Mr. Ellis is a General Partner of RockPort Capital Partners III, L.P., and therefore may be deemed to hold voting and dispositive power over the shares held by RockPort Capital Partners III, L.P. Mr. Ellis disclaims beneficial ownership of the shares held by RockPort Capital Partners III, L.P.
/s/ June Marie Morris, Attorney-in-Fact
2016-12-02
EX-24.4_687082
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby authorizes June Marie
Morris of Northern Power Systems Corp., a British Columbia corporation (the
"Company"), to execute for and on behalf of the undersigned, in the
undersigned's capacity as an Officer and/or Director of the Company, Forms 3, 4
and 5, and any amendments thereto, and cause such form(s) to be filed with the
United States Securities and Exchange Commission pursuant to Section 16(a) of
the Securities Act of 1934, relating to the undersigned's beneficial ownership
of securities in the Company. The undersigned hereby grants to such
attorney-in-fact full power and authority to do and perform any and every act
and thing whatsoever requisite, necessary, or proper to be done in the exercise
of any of the rights and powers herein granted, as fully to all intents and
purposes as the undersigned might or could do if personally present, with full
power of substitution or revocation, hereby ratifying and confirming all such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorney-in-fact, in serving in such capacity at the request of the
undersigned, is not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the earliest
of: (1) the undersigned is no longer required to file Forms 3, 4 and 5 with
respect to the undersigned's holdings of, and transactions in, securities issued
by the Company; (2) this Power of Attorney is revoked by the undersigned in a
signed writing delivered to the foregoing attorney-in-fact; or (3) as to a
specific attorney-in-fact, the employment of such attorney-in-fact with the
Company is terminated.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 30th day of November, 2016.
/s/ Alexander Ellis
ALEXANDER ELLIS