PATTERN ENERGY GROUP INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-03-16: Reporting owner Shugart Christopher M.; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-03-16: Reporting owner Pedersen Esben W.; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-03-16: Reporting owner Lyon Michael J.; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-03-16: Reporting owner Garland Michael M.; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-03-16 | Shugart Christopher M. Officer (SVP, Corporate Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −29,169 0 owned after | $22.00 exercise price | 2020-03-16 | |
| 2020-03-16 | Pedersen Esben W. Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −36,461 0 owned after | $22.00 exercise price | 2020-03-16 | |
| 2020-03-16 | Lyon Michael J. Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −36,461 0 owned after | $22.00 exercise price | 2020-03-16 | |
| 2020-03-16 | Garland Michael M. Director, Officer (Director and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −175,012 0 owned after | $22.00 exercise price | 2020-03-16 | |
| 2020-03-16 | Elkort Daniel M. Officer (EVP and Chief Legal Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −44,283 0 owned after | $22.00 exercise price | 2020-03-16 | |
| 2020-03-16 | Armistead Hunter H. Officer (EVP, Business Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −60,768 0 owned after | $22.00 exercise price | 2020-03-16 | |
| 2014-11-07 | Lillybeck Eric S. Officer (Sr. VP, Fiscal and Admin Serv.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,430 18,639 owned after | $22.00 exercise price | 2014-11-10 | |
| 2014-08-11 | Lillybeck Eric S. Officer (Sr. VP, Fiscal and Admin Serv.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,430 21,069 owned after | $22.00 exercise price | 2014-08-13 | |
| 2014-05-14 | Elkort Daniel M. Officer (Exec. VP and General Counsel) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,331 44,283 owned after | $22.00 exercise price | 2014-05-15 | |
| 2014-05-13 | Lillybeck Eric S. Officer (S. VP, Fiscal and Admin Serv.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,670 23,499 owned after | $22.00 exercise price | 2014-05-15 | |
| 2013-09-26 | Elkort Daniel M. Officer (Exec. VP and General Counsel) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,614 48,614 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Russell Dean S. Officer (S. VP, Engineering & Constr.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,169 29,169 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Lillybeck Eric S. Officer (S. VP, Fiscal and Admin Serv.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,169 29,169 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Armistead Hunter H. Officer (Exec. VP, Business Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,768 60,768 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Pedersen Esben W. Officer (Chief Investment Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,461 36,461 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Garland Michael M. Director, Officer (Director, President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,012 175,012 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Lyon Michael J. Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,461 36,461 owned after | $22.00 exercise price | 2013-09-30 | |
| 2013-09-26 | Shugart Christopher M. Officer (Senior VP, Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,169 29,169 owned after | $22.00 exercise price | 2013-09-30 |