0001209191-18-004757.txt : 20180122 0001209191-18-004757.hdr.sgml : 20180122 20180122171352 ACCESSION NUMBER: 0001209191-18-004757 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180122 DATE AS OF CHANGE: 20180122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOKIN RICHARD N CENTRAL INDEX KEY: 0001076418 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55184 FILM NUMBER: 18540517 MAIL ADDRESS: STREET 1: 800 POST RD CITY: DARIEN STATE: CT ZIP: 06820 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Northern Power Systems Corp. CENTRAL INDEX KEY: 0001605997 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 826503088 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 29 PITMAN ROAD CITY: BARRE STATE: VT ZIP: 05641 BUSINESS PHONE: 802-461-2955 MAIL ADDRESS: STREET 1: 29 PITMAN ROAD CITY: BARRE STATE: VT ZIP: 05641 5 1 doc5.xml FORM 5 SUBMISSION X0306 5 2017-12-31 0 0 0 0001605997 Northern Power Systems Corp. NPS 0001076418 HOKIN RICHARD N 800 POST RD DARIEN CT 06820 1 0 0 0 Common Shares 2017-12-14 5 G 0 41000 0.00 D 353883 D Common Shares 1870260 I By CWE LLC Shares are held directly by CWE LLC. Mr. Hokin is the Manager of CWE LLC, and therefore may be deemed to hold voting and dispositive power over the shares held by CWE LLC. Mr. Hokin disclaims beneficial ownership of the shares held by CWE LLC. /s/ William St. Lawrence, Attorney-in-Fact 2018-01-22