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