Statement of Changes in Beneficial Ownership (4)
April 11 2017 - 5:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Eckel Jeffrey
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2. Issuer Name
and
Ticker or Trading Symbol
Hannon Armstrong Sustainable Infrastructure Capital, Inc.
[
HASI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
1906 TOWNE CENTRE BLVD. SUITE 370
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/4/2016
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(Street)
ANNAPOLIS, MD 21401
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock, par value $0.01 per share
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11/4/2016
(1)
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G
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700
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D
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$0.00
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856952
(2)
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D
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Common stock, par value $0.01 per share
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11/4/2016
(1)
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G
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700
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A
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$0.00
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1520
(3)
(4)
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I
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By grandson
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Common stock, par value $0.01 per share
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544105
(5)
(6)
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I
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By Jeffrey W. Eckel Revocable Trust
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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The transaction reported on this line is being reported late due to an inadvertent administrative oversight.
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(2)
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Excludes 525,895 shares previously reported as owned directly; this was an inadvertent administrative oversight as these shares are held by the Jeffrey W. Eckel Revocable Trust, as referred to in the third row of this Form 4. Also, excludes 2,800 shares previously reported on a Form 4, dated March 13, 2017, as acquired and owned directly; this was an inadvertent administrative oversight, as 50 of these shares were acquired by the reporting person as custodian for his grandson under the Uniform Gifts to Minors Act, as referred to in the second row of this Form 4, and the remaining 2,750 of these shares were acquired by the Jeffrey W. Eckel Revocable Trust, as referred to in the third row of this Form 4.
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(3)
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The reporting person acts as custodian for his grandson under the Uniform Gifts to Minors Act. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
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(4)
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Includes 50 shares previously reported on a Form 4 dated March 13, 2017, as acquired and owned directly due to an inadvertent administrative oversight.
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(5)
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These shares are held by the Jeffrey W. Eckel Revocable Trust, of which Jeffrey W. Eckel is the sole trustee and beneficiary.
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(6)
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Includes (i) 525,895 shares previously reported as owned directly and (ii) 2,750 shares previously reported on a Form 4, dated March 13, 2017, as acquired and owned directly; this was an inadvertent administrative oversight, as these shares are held by the Jeffrey W. Eckel Revocable Trust.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Eckel Jeffrey
1906 TOWNE CENTRE BLVD. SUITE 370
ANNAPOLIS, MD 21401
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X
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President and CEO
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Signatures
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/s/ Jeffrey Eckel
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4/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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