0000899243-16-017755.txt : 20160407
0000899243-16-017755.hdr.sgml : 20160407
20160407150246
ACCESSION NUMBER: 0000899243-16-017755
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160210
FILED AS OF DATE: 20160407
DATE AS OF CHANGE: 20160407
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: Allen Herbert A III
CENTRAL INDEX KEY: 0001295077
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55184
FILM NUMBER: 161559828
MAIL ADDRESS:
STREET 1: ALLEN & COMPANY LLC
STREET 2: 711 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ALLEN OPERATIONS LLC
CENTRAL INDEX KEY: 0001389544
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55184
FILM NUMBER: 161559829
BUSINESS ADDRESS:
STREET 1: 711 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-339-2637
MAIL ADDRESS:
STREET 1: 711 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Allen & CO LLC
CENTRAL INDEX KEY: 0001303053
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1104
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55184
FILM NUMBER: 161559830
BUSINESS ADDRESS:
STREET 1: 711 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-832-8000
MAIL ADDRESS:
STREET 1: 711 FIFTH AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-02-10
1
0001605997
Northern Power Systems Corp.
NPS
0001303053
Allen & CO LLC
711 FIFTH AVENUE
NEW YORK
NY
10022
0
0
1
0
0001389544
ALLEN OPERATIONS LLC
711 FIFTH AVENUE
NEW YORK
NY
10022
0
0
1
0
0001295077
Allen Herbert A III
711 FIFTH AVENUE
NEW YORK
NY
10022
0
0
1
0
Common Stock
2016-02-10
4
J
0
3799376
0.00
D
0
I
See Footnote
This report on Form 4 relates to shares that were owned directly by Allen & Company LLC, which is a wholly owned subsidiary of Allen Operations LLC. Herbert A. Allen III is the President of Allen & Company LLC and Allen Operations LLC. Mr. Allen and Allen Operations LLC were deemed indirect beneficial owners of the reported securities. Mr. Allen and Allen Operations LLC expressly disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interests therein, if any.
Certain employees, affiliates and related parties of Allen & Company LLC held a beneficial interest in the shares held of record by Allen & Company LLC. Allen & Company LLC distributed all such shares to the applicable beneficial owners, and, as a result, Allen & Company LLC no longer owns or controls any shares of Common Stock of the Issuer.
ALLEN & COMPANY LLC, By: /s/ Peter DiIorio, Peter DiIorio, General Counsel
2016-04-07
ALLEN OPERATIONS LLC, By: /s/ Peter DiIorio, Peter DiIorio, General Counsel
2016-04-07
HERBERT A. ALLEN III, By: /s/ Herbert A. Allen III
2016-04-07