0001770907-19-000006.txt : 20190402 0001770907-19-000006.hdr.sgml : 20190402 20190402195747 ACCESSION NUMBER: 0001770907-19-000006 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190401 FILED AS OF DATE: 20190402 DATE AS OF CHANGE: 20190402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hencken Frederick S. III CENTRAL INDEX KEY: 0001770907 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15957 FILM NUMBER: 19727166 MAIL ADDRESS: STREET 1: C/O CAPSTONE TURBINE CORP. STREET 2: 16640 STAGG ST. CITY: VAN NUYS STATE: CA ZIP: 91406 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPSTONE TURBINE Corp CENTRAL INDEX KEY: 0001009759 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 954180883 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 16640 STAGG STREET CITY: VAN NUYS STATE: CA ZIP: 91406 BUSINESS PHONE: 818-734-5300 MAIL ADDRESS: STREET 1: 16640 STAGG STREET CITY: VAN NUYS STATE: CA ZIP: 91406 FORMER COMPANY: FORMER CONFORMED NAME: CAPSTONE TURBINE CORP DATE OF NAME CHANGE: 20000314 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2019-04-01 0 0001009759 CAPSTONE TURBINE Corp cpst 0001770907 Hencken Frederick S. III C/O CAPSTONE TURBINE CORP. 16640 STAGG ST. VAN NUYS CA 91406 0 1 0 0 Chief Accounting Officer Common Stock 35837 I By Trust Restricted Stock Unit 0 Common Stock 30000 D Restricted Stock Unit 0 Common Stock 30000 D These shares are owned directly by the Hencken Family Trust dated March 11, 2018. The Reporting Person and his spouse are trustees of the Hencken Family Trust dated March 11, 2018. On November 15, 2017, the Reporting Person was granted 30,000 Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest in equal installments on an annual basis over a four year period ending November 15, 2021, assuming continued employment through the applicable vesting date. On October 24, 2018, the Reporting Person was granted 30,000 RSUs. Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest in equal installments on an annual basis over a four year period ending October 24, 2022, assuming continued employment through the applicable vesting date. Exhibit 24 - Power of Attorney Colby Petersen, Power of Attorney for Frederick Hencken III, Reporting Person 2019-04-02 EX-24 2 ex24.htm EXHIBIT 24 ex24 
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and appoints Colby Petersen, signing singly, the undersigneds true and lawful attorney-in-fact to:
(1)	execute for and on behalf of the undersigned, in the undersigned capacity as an officer and/or director of Capstone Turbine Corporation (the Company), (i) Form ID, including any attached documents, to effect the assignment of codes to the undersigned to be used in the transmission of information to the United States Securities and Exchange Commission using the EDGAR System, (ii) Forms 3, 4 and 5, (iii) Schedule 13D, (iv) Schedule 13G and (v) amendments of each thereof, in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder;
(2)	do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, Schedule 13D. Schedule 13G or any amendments thereto and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and
(3)	take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact discretion.
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned responsibilities to comply with Section 16 or Regulation 13D-G of the Securities Exchange Act of 1934, as amended. The undersigned hereby agrees to indemnify the attorney-in-fact and the Company from and against any demand, damage, loss, cost or expense arising from any false or misleading information provided by the undersigned to the attorney-in-fact.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.  This Power of Attorney may be filed with the United States Securities and Exchange Commission as a confirming statement of the authority granted herein. This Power of Attorney supersedes any prior power of attorney in connection with the undersigned capacity as an officer and/or director of the Company.  This Power of Attorney shall expire as to any individual attorney-in-fact if such attorney-in-fact ceases to be an executive officer of the Company.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of March 15, 2019.
/s/ Frederick S. Hencken III
Name: Frederick S. Hencken III