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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Herron J Brendan 1906 TOWNE CENTRE BLVD. SUITE 370 ANNAPOLIS, MD 21401 |
EVP & CFO |
/s/ Brendan Herron | 03/18/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On March 17, 2015, the reporting person was granted 20,325 shares of restricted Common Stock that were issued pursuant to the 2013 Hannon Armstrong Sustainable Infrastructure Capital Inc. Equity Incentive Plan (the "Plan"). The shares vest on December 31, 2016. |
(2) | Excludes 135,938 limited partnership units ("OP units") in Hannon Armstrong Sustainable Infrastructure, L.P., the Issuer's operating partnership subsidiary (the "Partnership"), of which the Issuer is the general partner, held by the reporting person, which are redeemable for cash or at the option of the Issuer for shares of Common Stock of the Issuer on a one-for-one basis. Concurrently with the closing of the Issuer's initial public offering on April 23, 2013, 129,524 OP units were issued to the Reporting Person pursuant to the terms of the partnership agreement of the Partnership upon conversion of the reporting person's existing limited partnership interest in the Partnership. As part of the same transaction, but 30 days after the initial issuance, an additional 6,414 OP units were issued to the reporting person. |
(3) | On March 17, 2015, the reporting person was granted 39,570 shares of restricted Common Stock that were issued pursuant to the Plan. The shares will vest upon the later of (i) December 31, 2017 and (ii) the achievement of certain dividend growth targets. The grant is being reported here for informational purposes only. |