0001209191-17-036243.txt : 20170530
0001209191-17-036243.hdr.sgml : 20170530
20170530182612
ACCESSION NUMBER: 0001209191-17-036243
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170525
FILED AS OF DATE: 20170530
DATE AS OF CHANGE: 20170530
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: 17878972
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-05-25
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
2017-05-25
4
A
0
30000
0.00
A
30000
D
Common Shares
4892665
I
BY ROCKPORT CAPITAL PARTNERS III, LP
Common Shares
75000
I
By R P Capital Management LLC
Each restricted stock unit represents a contingent right to receive one share of NPS common stock. The grant represents an annual grant of restricted stock units to non-executive directors under the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan. 25% of the shares vest upon grant and the remaining 75% vest in equal installments over the subsequent 3 quarters.
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.
Shares are held directly by R P Capital Management LLC. Mr. Ellis is a General Partner of R P Capital Management LLC, and therefore may be deemed to hold voting and dispositive power over the shares held by R P Capital Management LLC. Mr. Ellis disclaims beneficial ownership of the shares held by R P Capital Management LLC. Mr. Ellis transferred the shares to R P Capital Management LLC.
/s/ William St. Lawrence, Attorney-in-Fact
2017-05-30
EX-24.4_727620
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby authorizes Ciel
Caldwell, Eric Larson or William St. Lawrence 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 25th day of May, 2017.
/s/ Alexander Ellis III
Alexander Ellis III