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