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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
6.00% Convertible Debentures due December 31, 2019 | $ 11.7 (2) | 06/09/2015 | P | $ 40,330 (3) | 06/09/2015 | 12/31/2019 | Common shares | 3,448 (4) | $ 68.2 (5) | $ 40,330 (3) | D | ||||
6.25% Convertible Debentures due March 15, 2017 | $ 10.49 (6) | 06/09/2015 | P | $ 48,396 (7) | 06/09/2015 | 03/15/2017 | Common shares | 4,615 (8) | $ 75.82 (10) | $ 88,726 (9) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McNeil John Alexander C/O ATLANTIC POWER CORPORATION 3 ALLIED DRIVE, SUITE 220 DEDHAM, MA 02026 |
X |
John S. Miele, attorney-in-fact | 06/10/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The common shares were acquired at a price of Cdn$3.48 which was converted to the U.S. dollar equivalent of $2.81 using the June 8, 2015 end of day exchange rate of .8066. |
(2) | The 6.00% Convertible Debentures due December 31, 2019 are convertible into approximately 68.9655 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$14.50 per common share. The conversion price of Cdn$14.50 was converted to the U.S. dollar equivalent of $11.70 using the June 8, 2015 end of day exchange rate of .8066. |
(3) | The Cdn$50,000 principal of 6.00% Convertible Debentures due December 31, 2019 were converted to a U.S. dollar equivalent of $40,330 using the June 8, 2015 end of day exchange rate of .8066. |
(4) | The 6.00% Convertible Debentures due December 31, 2019 are convertible into approximately 68.9655 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$14.50 per common share. The Cdn$50,000 of convertible debentures converts to 3,448 common shares using the June 8, 2015 end of day exchange rate of .8066. |
(5) | The Cdn$50,000 principal of 6.00% Convertible Debentures due December 31, 2019 were purchased at a price of Cdn$84.55. This was converted to a U.S. dollar equivalent of $68.20 using the June 8, 2015 end of day exchange rate of .8066. |
(6) | The 6.25% Convertible Debentures due March 15, 2017 are convertible into approximately 76.9231common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$13.00 per common share. The conversion price of Cdn$13.00 was converted to the U.S. dollar equivalent of $10.49 using the June 8, 2015 end of day exchange rate of .8066. |
(7) | The Cdn$60,000 principal of 6.25% Convertible Debentures due March 15, 2017 were converted to a U.S. dollar equivalent of $48,396 using the June 8, 2015 end of day exchange rate of .8066. |
(8) | The 6.25% Convertible Debentures due March 15, 2017 are convertible into approximately 76.9231 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$13.00 per common share. The Cdn$60,000 of convertible debentures converts to 4,615 common shares using the June 8, 2015 end of day exchange rate of .8066. |
(9) | The cumulative Cdn$110,000 principal of 6.25% Convertible Debentures due March 15, 2017 owned were converted to a U.S. dollar equivalent of $88,726 using the June 8, 2015 end of day exchange rate of .8066. |
(10) | The Cdn$60,000 principal of 6.25% Convertible Debentures due March 15, 2017 were purchased at a price of Cdn$94.00. This was converted to a U.S. dollar equivalent of $75.82 using the June 8, 2015 end of day exchange rate of .8066. |