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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 | |
R/C Renewable Energy GP II, L.L.C. 712 FIFTH AVENUE, 36TH FLOOR NEW YORK, NY 10019 |
X | X | ||
Riverstone/Carlyle Renewable Energy Grant GP, L.L.C. 712 FIFTH AVENUE, 36TH FLOOR NEW YORK, NY 10019 |
X | X | ||
R/C Wind II LP 712 FIFTH AVENUE, 36TH FLOOR NEW YORK, NY 10019 |
X | X | ||
Pattern Energy Group Holdings GP LLC 712 FIFTH AVENUE, 36TH FLOOR NEW YORK, NY 10019 |
X | X | ||
Pattern Energy Group Holdings LP PIER 1, BAY 3 SAN FRANCISCO, CA 94111 |
X | X | ||
Pattern Energy GP, LLC PIER 1, BAY 3 SAN FRANCISCO, CA 94111 |
X | X | ||
Pattern Energy Group LP PIER 1, BAY 3 SAN FRANCISCO, CA 94111 |
X | X | ||
Pattern Renewables GP LLC PIER 1, BAY 3 SAN FRANCISCO, CA 94111 |
X | X | ||
Pattern Renewables LP PIER 1, BAY 3 SAN FRANCISCO, CA 94111 |
X | X |
R/C Renewable Energy GP II, LLC By: /s/Thomas Walker Title: Authorized Person | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Riverstone/Carlyle Renewable Energy Grant GP, L.L.C. By: R/C Renewable Energy GP II, LLC, its sole member By: /s/Thomas WalkerTitle: Authorized Person | 10/09/2013 | |
**Signature of Reporting Person | Date | |
R/C Wind II LP By: Riverstone/Carlyle Renewable Energy Grant GP, L.L.C., its general partner By: R/C Renewable Energy GP II, LLC, its sole member By: /s/Thomas Walker Title: Authorized Person | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Pattern Energy Group Holdings GP LLC By: R/C Wind II LP, its managing member By: Riverstone/Carlyle Renewable Energy Grant GP, L.L.C., its general partner By: R/C Renewable Energy GP II, LLC, its sole member By: /s/Thomas Walker Title: Authorized Person | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Pattern Energy Group Holdings LP By: /s/Daniel M. Elkort Title: Vice President | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Pattern Energy GP, LLC By: /s/Daniel M. Elkort Title: Vice President | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Pattern Energy Group LP By: /s/Dyann S. Blaine Title: Vice President | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Pattern Renewables GP, LLC By: /s/Dyann S. Blaine Title: Vice President | 10/09/2013 | |
**Signature of Reporting Person | Date | |
Pattern Renewables LP By: /s/Dyann S. Blaine Title: Vice President | 10/09/2013 | |
**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) | The reporting persons disposed of the Class A Common Stock in exchange for limited partnership interests in Pattern Energy Group LP having an estimated market value of $4.0 million. |
(2) | By Pattern Renewables LP. Pattern Renewables GP LLC is the general partner of Pattern Renewables LP. Pattern Energy Group LP is the sole member of Pattern Renewables GP LLC. Pattern Energy GP, LLC is the general partner of Pattern Energy Group LP. Pattern Energy Group Holdings LP is the managing member of Pattern Energy GP, LLC. Pattern Energy Group Holdings GP LLC is the general partner of Pattern Energy Group Holdings LP. R/C Wind II LP is the managing member of Pattern Energy Group Holdings GP LLC. Riverstone/Carlyle Renewable Energy Grant GP, L.L.C. is the general partner of R/C Wind II LP. R/C Renewable Energy GP II, LLC is the managing member of Riverstone/Carlyle Renewable Energy Grant GP, L.L.C. |
(3) | R/C Renewable Energy GP II, LLC is managed by an eight-person investment committee. Pierre F. Lapeyre, Jr., David M. Leuschen, Ralph C. Alexander, Lord John Browne, Michael B. Hoffman, Stephen J. Schaefer, Daniel A. D'Aniello and Edward J. Mathias, as the members of the investment committee of R/C Renewable Energy GP II, LLC, may be deemed to share beneficial ownership of the shares beneficially owned by R/C Wind II LP. Such individuals expressly disclaim any such beneficial ownership. |