0001415889-23-015577.txt : 20231129 0001415889-23-015577.hdr.sgml : 20231129 20231129160209 ACCESSION NUMBER: 0001415889-23-015577 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230612 FILED AS OF DATE: 20231129 DATE AS OF CHANGE: 20231129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NORTHERN PACIFIC GROWTH INVESTMENT ADVISORS, LLC CENTRAL INDEX KEY: 0001920590 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31588 FILM NUMBER: 231452125 BUSINESS ADDRESS: STREET 1: 315 EAST LAKE STREET STREET 2: SUITE 301 CITY: WAYZATA STATE: MN ZIP: 55391 BUSINESS PHONE: 952-807-3525 MAIL ADDRESS: STREET 1: 315 EAST LAKE STREET STREET 2: SUITE 301 CITY: WAYZATA STATE: MN ZIP: 55391 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pineapple Energy Inc. CENTRAL INDEX KEY: 0000022701 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 410957999 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10900 RED CIRCLE DRIVE CITY: MINNETONKA STATE: MN ZIP: 55343 BUSINESS PHONE: 9529961674 MAIL ADDRESS: STREET 1: 10900 RED CIRCLE DRIVE CITY: MINNETONKA STATE: MN ZIP: 55343 FORMER COMPANY: FORMER CONFORMED NAME: Pineapple Holdings, Inc. DATE OF NAME CHANGE: 20220328 FORMER COMPANY: FORMER CONFORMED NAME: COMMUNICATIONS SYSTEMS INC DATE OF NAME CHANGE: 19950401 4 1 form4-11292023_091157.xml X0508 4 2023-06-12 0000022701 Pineapple Energy Inc. PEGY 0001920590 NORTHERN PACIFIC GROWTH INVESTMENT ADVISORS, LLC 3109 W 50TH ST #207 MINNEAPOLIS MN 55410 false false true false 0 Common Stock 2023-06-12 4 S 0 16867 1.45 D 1597571 I By Lake Street Solar LLC Common Stock 2023-06-13 4 S 0 11016 1.46 D 1586555 I By Lake Street Solar LLC Common Stock 2023-06-14 4 S 0 5306 1.42 D 1581249 I By Lake Street Solar LLC Common Stock 2023-06-15 4 S 0 5310 1.40 D 1575939 I By Lake Street Solar LLC Common Stock 2023-08-14 4 S 0 50000 1.1189 D 1525939 I By Lake Street Solar LLC Common Stock 2023-08-21 4 S 0 50000 1.0548 D 1475939 I By Lake Street Solar LLC Common Stock 2023-09-12 4 S 0 2900 1.04 D 1473039 I By Lake Street Solar LLC Common Stock 2023-09-13 4 S 0 22100 1.01 D 1450939 I By Lake Street Solar LLC Common Stock 2023-11-03 4 J 0 301587 0 D 1149352 I By Lake Street Solar LLC Common Stock 2023-11-14 4 S 0 2600 0.676 D 1146752 I By Lake Street Solar LLC Common Stock 2023-11-15 4 S 0 9616 0.6549 D 1137136 I By Lake Street Solar LLC Common Stock 2023-11-16 4 S 0 4630 0.6175 D 1132506 I By Lake Street Solar LLC Common Stock 2023-11-17 4 S 0 4600 0.6171 D 1127906 I By Lake Street Solar LLC Common Stock 2023-11-20 4 S 0 2488 0.61 D 1125418 I By Lake Street Solar LLC Common Stock 12500 D Reflects the weighted average price of 16,867 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on June 12, 2023 with sale prices ranging from $1.43 to $1.455 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 11,016 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on June 13, 2023 with sale prices ranging from $1.42 to $1.53 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 5,306 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on June 14, 2023 with sale prices ranging from $1.39 to $1.44 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 5,310 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on June 15, 2023 with sale prices ranging from $1.38 to $1.43 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 50,000 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on August 14, 2023 with sale prices ranging from $1.06 to $1.22 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 50,000 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on August 21, 2023 with sale prices ranging from $1.03 to $1.10 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 2,900 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on September 12, 2023 with sale prices ranging from $1.03 to $1.05 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 22,100 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on September 13, 2023 with sale prices ranging from $0.92 to $1.05 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. As previously reported on the Form 4 filed by the reporting person on April 4, 2022, the reporting person had 301,587 shares of the issuer's common stock (the "Escrowed Shares") held in escrow by a third-party escrow agent in connection with a merger (the "Merger") between the issuer and Pineapple Energy, LLC that closed on March 28, 2022. This Form 4 is being filed to report that the Escrowed Shares were released and distributed according to the terms of an escrow agreement that was entered into on the closing date of the Merger by and among the issuer and certain Pineapple shareholders. Reflects the weighted average price of 2,600 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on November 14, 2023 with sale prices ranging from $0.67 to $0.68 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 9,616 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on November 15, 2023 with sale prices ranging from $0.64 to $0.6849 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 4,630 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on November 16, 2023 with sale prices ranging from $0.6111 to $0.6200 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 4,600 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on November 17, 2023 with sale prices ranging from $0.6000 to $0.6310 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 2,488 shares of common stock of Pineapple Energy, Inc. sold by the reporting person in multiple transactions on November 20, 2023 with sale prices ranging from $0.605 to $0.620 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. /s/ Scott Honour, Managing Director 2023-11-29