0001561894-18-000066.txt : 20180511 0001561894-18-000066.hdr.sgml : 20180511 20180511164358 ACCESSION NUMBER: 0001561894-18-000066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180509 FILED AS OF DATE: 20180511 DATE AS OF CHANGE: 20180511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wooten M Rhem CENTRAL INDEX KEY: 0001574205 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35877 FILM NUMBER: 18827516 MAIL ADDRESS: STREET 1: 1906 TOWNE CENTRE BLVD. STREET 2: SUITE 370 CITY: ANNAPOLIS STATE: MD ZIP: 21401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hannon Armstrong Sustainable Infrastructure Capital, Inc. CENTRAL INDEX KEY: 0001561894 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 461347456 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1906 TOWNE CENTRE BLVD, SUITE 370 CITY: ANNAPOLIS STATE: MD ZIP: 21401 BUSINESS PHONE: (410) 571-9860 MAIL ADDRESS: STREET 1: 1906 TOWNE CENTRE BLVD, SUITE 370 CITY: ANNAPOLIS STATE: MD ZIP: 21401 4 1 wf-form4_152607134693597.xml FORM 4 X0306 4 2018-05-09 1 0001561894 Hannon Armstrong Sustainable Infrastructure Capital, Inc. HASI 0001574205 Wooten M Rhem 1906 TOWNE CENTRE BLVD. SUITE 370 ANNAPOLIS MD 21401 0 1 0 0 EVP Common stock, par value $0.01 per share 2018-05-09 4 F 0 63822 19.08 D 228318 D Common stock, par value $0.01 per share 29345 I By spouse Consists of shares of Common Stock withheld by the issuer, with approval of the issuer's Board of Directors, in order to satisfy the tax withholding obligation of the reporting person in connection with the vesting of 131,594 shares of Common Stock. Represents the closing price of the Common Stock on May 9, 2018. In a prior Form 4, dated March 17, 2017, the reporting person reported for informational purposes an award of up to a maximum of 39,000 Restricted Stock Units ("RSUs") under the Company's 2013 Equity Incentive Plan, as amended, which represented the right to receive one share of Common Stock for each RSU at vesting. As then disclosed, the number of RSUs to be awarded ranged from zero to 39,000 based on the Company's performance relative to the return targets, and the amount reported assumed the reporting person receives the maximum possible grant. The reporting person retired as an officer of the Company, effective on April 30, 2018. On May 9, 2018, following his retirement and execution and effectiveness of the waiver provisions under a letter agreement between the Company and the reporting person, 19,500 of those previously reported RSUs were awarded to the reporting person and converted into fully vested Common Stock at a 1-to-1 ratio. The reporting person's beneficial ownership amount excludes the 19,500 RSUs that will not be awarded to the reporting person and will not vest and convert into fully vested Common Stock. These shares are held by the reporting person's spouse. The reporting person disclaims ownership other than to the extent of his pecuniary interest. /s/ M. Rhem Wooten 2018-05-09