0001104659-19-007953.txt : 20190213 0001104659-19-007953.hdr.sgml : 20190213 20190213164520 ACCESSION NUMBER: 0001104659-19-007953 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 GROUP MEMBERS: NOMURA GLOBAL FINANCIAL PRODUCTS, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Pattern Energy Group Inc. CENTRAL INDEX KEY: 0001561660 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87967 FILM NUMBER: 19598146 BUSINESS ADDRESS: STREET 1: 1088 SANSOME STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 283-4000 MAIL ADDRESS: STREET 1: 1088 SANSOME STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOMURA HOLDINGS INC CENTRAL INDEX KEY: 0001163653 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: M0 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 9-1 NIHONBASHI 1-CHOME STREET 2: CHUO-KU CITY: TOKYO STATE: M0 ZIP: 103-8645 BUSINESS PHONE: 81-3-5255-1000 MAIL ADDRESS: STREET 1: 9-1 NIHONBASHI 1-CHOME STREET 2: CHUO-KU CITY: TOKYO STATE: M0 ZIP: 103-8645 SC 13G 1 a19-4499_1sc13g.htm SC 13G

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

 

 

 

 

Pattern Energy Group Inc.

(Name of Issuer)

 

 

Class A Common Stock, par value $0.01

(Title of Class of Securities)

 

 

70338P 100

(CUSIP Number)

 

 

December 31, 2018

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

 

x

Rule 13d-1(b)

 

o

Rule 13d-1(c)

 

o

Rule 13d-1(d)

 

 

 

* The remainder of this cover page shall be filled out for a person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (the “Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No. 70338P 100

13G

Page 2 of 9 Pages

 

 

 

 

 

1.

Names of Reporting Persons

Nomura Holdings, Inc.

 

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

 

 

(b)

 

o

 

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization:  Japan

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power

0

 

6.

Shared Voting Power

8,113,942.21 (1)

 

7.

Sole Dispositive Power

0

 

8.

Shared Dispositive Power

8,113,942.21 (1)

 

 

 

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
8,113,942.21

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o

Not applicable

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.3% (2)

 

 

12.

Type of Reporting Person (See Instructions)
HC

 

(1)                     This represents 8,113,942.21 shares beneficially owned by Nomura Global Financial Products, Inc. (“NGFP”). NGFP is a wholly owned subsidiary of Nomura Holdings, Inc., which accordingly may be deemed to beneficially own the shares beneficially owned by NGFP.

 

(2)                     The percent of class is calculated based on 98,095,884 shares of Class A common stock issued and outstanding as of November 1, 2018 as reported in the Issuer’s Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2018 filed with the SEC on November 5, 2018.

 


 

CUSIP No. 70338P 100

13G

Page 3 of 9 Pages

 

 

 

 

 

1.

Names of Reporting Persons

Nomura Global Financial Products, Inc.

 

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

 

 

(b)

 

o

 

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization:  Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power

0

 

6.

Shared Voting Power

8,113,942.21

 

7.

Sole Dispositive Power

0

 

8.

Shared Dispositive Power

8,113,942.21

 

 

 

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
8,113,942.21

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o

Not applicable

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.3% (1)

 

 

12.

Type of Reporting Person (See Instructions)
BD

 

(1)                     The percent of class is calculated based on 98,095,884 shares of Class A common stock issued and outstanding as of November 1, 2018 as reported in the Issuer’s Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2018 filed with the SEC on November 5, 2018.

 


 

CUSIP No. 70338P 100

13G

Page 4 of 9 Pages

 

Item 1.

(a)

Name of Issuer:

Pattern Energy Group Inc.  

 

(b)

Address of Issuer’s Principal Executive Offices:

Dianna Rosser Aprile

c/o Riverstone Holdings LLC

712 Fifth Avenue, 36th Floor

New York, NY 10019

 

 

Item 2.

(a)

Name of Person(s) Filing:
Nomura Holdings, Inc.

Nomura Global Financial Products, Inc.

 

(b)

Address of Principal Business Office or, if none, Residence:
Nomura Holdings, Inc.

1-9-1 Nihonbashi, Chuo-ku, Tokyo 103-8645, Japan

 

Nomura Global Financial Products, Inc.

Worldwide Plaza

309 West 49th Street

New York, NY 10019

 

(c)

Citizenship:
Nomura Holdings, Inc.

Japan

 

Nomura Global Financial Products, Inc.

Delaware

 

(d)

Title of Class of Securities:

Class A common stock, par value $0.01

 

(e)

CUSIP Number:

70338P 100

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

x

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 


 

CUSIP No. 70338P 100

13G

Page 5 of 9 Pages

 

 

(g)

x

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

o

A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);

 

(k)

o

Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: _____________________

 

 

Item 4.

Ownership.

 

 

 

Items 5-11 of the cover page are incorporated by reference

 

Item 5.

Ownership of Five Percent or Less of a Class.

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  o.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

 

 

Not applicable

 

 

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

 

 

 

See Exhibit B

 

 

Item 8.

Identification and Classification of Members of the Group.

 

 

 

Not applicable

 

Item 9.

Notice of Dissolution of Group.

 

 

 

Not applicable

 


 

CUSIP No. 70338P 100

13G

Page 6 of 9 Pages

 

 

 

 

Item 10.

Certification.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

 

 

 

SIGNATURE

 

After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

EXECUTED as a sealed instrument this 13th day of February, 2019.

 

 

 

Nomura Holdings, Inc.

 

 

 

/s/ Kentaro Okuda

 

 

Name: Kentaro Okuda

 

 

Title: Senior Managing Director

 

 

 

 

 

 

 

 

 

 

Nomura Global Financial Products, Inc.

 

 

 

/s/ Jonathan Raiff

 

 

Name: Jonathan Raiff

 

 

Title: Senior Managing Director

 

 


 

CUSIP No. 70338P 100

13G

Page 7 of 9 Pages

 

Index to Exhibits

 

Exhibit

 

Exhibit

A

 

Joint Filing Agreement

B

 

Subsidiaries

 


 

EXHIBIT A

 

JOINT FILING AGREEMENT

 

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, the persons or entities named below agree to the joint filing on behalf of each of them of this Schedule 13G with respect to the Securities of the Issuer and further agree that this Joint Filing Agreement be included as an exhibit to this Schedule 13G. In evidence thereof, the undersigned hereby execute this Joint Filing Agreement as of February 13, 2019.

 

Nomura Holdings, Inc.

 

 

 

/s/ Kentaro Okuda

 

 

Name: Kentaro Okuda

 

 

Title: Senior Managing Director

 

 

 

 

 

 

 

 

 

Nomura Global Financial Products, Inc.

 

 

 

/s/ Jonathan Raiff

 

 

Name: Jonathan Raiff

 

 

Title: Senior Managing Director

 

 


 

CUSIP No. 70338P 100

13G

Page 9 of 9 Pages

 

EXHIBIT B

 

SUBSIDIARIES

 

Nomura Global Financial Products, Inc. is a wholly owned subsidiary of Nomura Holdings, Inc.