Mga Batayang Estadistika
| CIK | 1605997 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Northern Power Systems Corp
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 27, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 27, 2019 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of incor |
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| June 11, 2019 |
8-K 1 f8k061119.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 6, 2019 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or o |
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| April 30, 2019 |
Exhibit 2.1 ASSET PURCHASE AGREEMENT between Northern Power Systems, Inc. and ERIE RENEWABLES, INC. dated as of April 30, 2019 Asset Purchase Agreement This Asset Purchase Agreement (this “Agreement”), dated as of April 30, 2019, is entered into between Northern Power Systems, Inc., a Delaware corporation (”Seller” or “NPS”) and ERIE RENEWABLES, INC, a Michigan corporation (”Buyer” or “ERIE”). |
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| April 30, 2019 |
Northern Power Systems Corp. Announces Disposition of Its US Service Business and Board Resignation EX-99.1 3 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Systems Corp. Announces Disposition of Its US Service Business and Board Resignation BARRE, Vt., April 30, 2019 (GLOBE NEWSWIRE) - On April 30, 2019, Northern Power Systems Corp (“Northern” or the “Company”) through its wholly owned subsidiary, Northern Power Systems, Inc. (“NPS”), executed an Asset Purchase Agreement with Erie Renewab |
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| April 30, 2019 |
8-K 1 f8k043019.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 25, 2019 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Oth |
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| April 2, 2019 |
8-K 1 f8k040219.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 1, 2019 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or |
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| April 1, 2019 |
NPS / Northern Power Systems Corp. NT 10-K OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: October 31, 2018 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER CUSIP NUMBER NOTIFICATION OF LATE FILING (Check one): [X] Form 10-K [] Form 20-F [] Form 11-K [] Form 10-Q [] Form 10-D [] Form N-SAR [] Form N-CSR For Period Ended: June 30, 2018 [] Transi |
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| March 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 23, 2019 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Other Jurisdiction of Incorpo |
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| March 12, 2019 |
Northern Power Announces Board Resignations EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Announces Board Resignations BARRE, Vt., March 12, 2019 (GLOBE NEWSWIRE) - Northern Power Systems Corp. (“Northern” or “Company”), a distributed wind company, today announced that John Simon and Kevin Kopczynski, each a member of the Board of Directors (the “Board”) of Northern Power Systems Corp., provided the Board with a notice of h |
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| February 22, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 19, 2019 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Other Jurisdiction of Incorpo |
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| February 22, 2019 |
Northern Power Announces Board Resignation EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Announces Board Resignation BARRE, Vt., Feb. 22, 2019 (GLOBE NEWSWIRE) - Northern Power Systems Corp. (“Northern” or “Company”), a distributed wind company, today announced Alexander “Hap” Ellis, III has resigned from the Board of Directors of the Company (“Board”), effective February 19, 2019. The Board will initiate a process to iden |
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| February 12, 2019 |
Exhibit 10.2 SECOND AMENDED AND RESTATED FORBEARANCE AGREEMENT This Second Amended and Restated Forbearance Agreement (this “Agreement”) is entered into as of February 7, 2019 (the “Effective Date”), by and between Northern Power Systems, Inc., a Delaware corporation (“Borrower”) and Comerica Bank, a Texas banking association (“Bank”), with reference to the following facts: A. Borrower has borrowe |
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| February 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 11, 2019 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Other Jurisdiction of Incorpo |
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| February 12, 2019 |
EXHIBIT 99.1 Northern Power Systems Corp. Announces Disposition of Its Energy Storage Business and Management Changes BARRE, Vt., Feb. 12, 2019 (GLOBE NEWSWIRE) - Northern Power Systems Corp. (“Northern” or “Company”), a distributed wind company, today announced that on February 11, 2019, the Company effected the disposition of the Company’s energy storage business, including Northern’s energy sto |
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| February 12, 2019 |
Exhibit 2.1 ASSET PURCHASE AGREEMENT between Northern Power Systems, Inc.; and WEG Electric Corp.; dated as of February 11, 2019 Asset Purchase Agreement This Asset Purchase Agreement (this “Agreement”), dated as of February 11, 2019, is entered into between Northern Power Systems, Inc., a Delaware corporation (”Seller” or “NPS”) and WEG Electric Corp., a Georgia corporation (”Buyer” or “WEG”). |
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| December 12, 2018 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 7, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of inco |
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| December 12, 2018 |
Exhibit 2.1 DATED 2018 (1) NORTHERN POWER SYSTEMS INC. AND NORTHERN POWER SYSTEMS LTD (2) NATURAL GENERATION LIMITED agreement for the sale and purchase of Contracts and Assets of Northern Power Systems Inc. and Northern Power Systems Ltd. 1 THIS AGREEMENT is made the 7th day of December 2018 AMONG 1. NORTHERN POWER SYSTEMS Inc. a company duly incorporated and existing under the laws of the State |
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| December 4, 2018 |
EX-10.2 2 exh102.htm EXHIBIT 10.2 Exhibit 10.2 AMENDED AND RESTATED FORBEARANCE AGREEMENT This Amended and Restated Forbearance Agreement (this “Agreement”) is entered into as of November 30, 2018 (the “Effective Date”), by and between Northern Power Systems, Inc., a Delaware corporation (“Borrower”) and Comerica Bank, a Texas banking association (“Bank”), with reference to the following facts: A. |
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| December 4, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 30, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of inc |
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| November 20, 2018 |
Exhibit 16.1 Letter from RSM US LLP dated November 20, 2018 EX-16.1 2 exh161.htm EXHIBIT 16.1 Exhibit 16.1 November 20, 2018 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 We have read the first five paragraphs included in Item 4.01(a) of Form 8-K of Northern Power Systems Corp. dated November 20, 2018, expected to be filed with the Securities and Exchange Commission on November 20, 2018, and are in agreement with the sta |
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| November 20, 2018 |
Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits 8-K 1 f8k112018.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 15, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State |
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| November 16, 2018 |
NPS / Northern Power Systems Corp. FORM NT 10-Q OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: October 31, 2018 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER CUSIP NUMBER NOTIFICATION OF LATE FILING (Check one): [] Form 10-K [] Form 20-F [] Form 11-K [X] Form 10-Q [] Form 10-D [] Form N-SAR [] Form N-CSR For Period Ended: September 30, 2018 [] T |
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| October 24, 2018 |
Northern Power Systems Corp. Announces TSX Delisting EXHIBIT 99.1 Northern Power Systems Corp. Announces TSX Delisting BARRE, Vt., Oct. 24, 2018 (GLOBE NEWSWIRE) - Northern Power Systems Corp. (the “Company”), a next generation renewable energy and energy storage technology company, today announced that on October 22, 2018, in accordance with previously disclosed information on a Form 8-K filed with the U.S. Securities and Exchange Commission on Sep |
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| October 24, 2018 |
8-K 1 f8k102418.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): October 22, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or O |
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| September 21, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 21, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Other Jurisdiction of Incorp |
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| September 21, 2018 |
Northern Power Systems Corp. Announces Effective Date of TSX Delisting EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Systems Corp. Announces Effective Date of TSX Delisting BARRE, Vt., Sept. 21, 2018 (GLOBE NEWSWIRE) - Northern Power Systems Corp. (TSX: NPS) (the “Company”), a next generation renewable energy and energy storage technology company, today announced that on September 20, 2018 the Company received a letter from the Toronto Stock Exchange |
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| August 27, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 27, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of incor |
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| August 16, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 14, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Other Jurisdiction of Incorpora |
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| August 16, 2018 |
Northern Power Systems Reports Second Quarter 2018 Results EXHIBIT 99.1 Northern Power Systems Reports Second Quarter 2018 Results Business Highlights: Continued delays in the clarification of the Italian feed-in-tariff continue to negatively impact our revenue in our first half of 2018 as compared to the same period in 2017. The release of a revised Italian feed-in-tariff has been delayed since July of 2017. We continue to expect further delays in such p |
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| August 16, 2018 |
NPS / Northern Power Systems Corp. FORM 10-Q (Quarterly Report) United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-55184 NORTHERN POW |
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| August 14, 2018 |
NPS / Northern Power Systems Corp. FORM NT 10-Q OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: October 31, 2018 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER CUSIP NUMBER NOTIFICATION OF LATE FILING (Check one): [] Form 10-K [] Form 20-F [] Form 11-K [X] Form 10-Q [] Form 10-D [] Form N-SAR [] Form N-CSR For Period Ended: June 30, 2018 [] Transi |
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| August 7, 2018 |
8-K 1 f8k080718.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 7, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Oth |
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| August 7, 2018 |
Northern Power Shuffles Management and Announces a Resignation from the Board of Directors Exhibit 99.1 Northern Power Shuffles Management and Announces a Resignation from the Board of Directors BARRE, Vt., Aug. 07, 2018 (GLOBE NEWSWIRE) - On August 7, 2018, Northern Power Systems Corp ("Northern" or the “Company”) (TSX:NPS) announced that Ciel R. Caldwell, the Company’s President and Chief Operating Officer and current interim Chief Financial Officer, announced her intention to resign |
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| August 7, 2018 |
EX-10.2 3 exh102.htm EXHIBIT 10.2 Exhibit 10.2 |
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| August 7, 2018 |
Employment Side Letter between the Company and Ciel R. Caldwell dated August 7, 2018 Exhibit 10.1 August 7, 2018 Via Email Ciel R. Caldwell 437 D Street, 6C Boston, MA 02210 Re: Employment Matters Dear Ciel: This employment letter agreement (” Letter Agreement”) by and between Northern Power Systems, Inc. (“NPS”) and Ciel R. Caldwell (“Employee”) is intended to supersede and replace in all respects that certain Employment Agreement dated January 31, 2013 by and between NPS and Emp |
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| August 2, 2018 |
EX-10.1 2 exh101.htm EXHIBIT 10.1 Exhibit 10.1 NORTHERN POWER SYSTEMS CORP. SUBORDINATED CONVERTIBLE NOTE PURCHASE AGREEMENT AUGUST 2, 2018 NORTHERN POWER SYSTEMS CORP. SUBORDINATED CONVERTIBLE NOTE PURCHASE AGREEMENT This Subordinated Convertible Note Purchase Agreement (this “Agreement”) is made as of August 2, 2018 by and between Northern Power Systems Corp., a British Columbia corporation (the |
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| August 2, 2018 |
Northern Power Closes Private Placement Financing Under Financial Hardship Exemption EX-99.1 4 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Closes Private Placement Financing Under Financial Hardship Exemption BARRE, Vt., Aug. 02, 2018 (GLOBE NEWSWIRE) - Northern Power Systems Corp ("Northern" or the “Company”) (TSX:NPS) announced today that it completed the initial closing of a private placement financing effected under the financial hardship exemption available to compan |
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| August 2, 2018 |
8-K 1 f8k080118.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 2, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Oth |
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| August 2, 2018 |
Forbearance Agreement, dated August 2, 2018 between the Company and Comerica Bank Exhibit 10.2 FORBEARANCE AGREEMENT This Forbearance Agreement (this “Agreement”) is entered into as of August 2, 2018 (the “Effective Date”), by and between NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”) and COMERICA BANK, a Texas banking association (“Bank”), with reference to the following facts: A. Borrower has borrowed funds from Bank pursuant to that certain Amended and Res |
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| July 19, 2018 |
EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Announces Reliance on Financial Hardship Exemption in Connection with a Private Placement Financing BARRE, Vt., July 19, 2018 (GLOBE NEWSWIRE) - Northern Power Systems Corp ("Northern" or the “Company”) (TSX:NPS) announced today its intention to effect a financing pursuant to which the Company will issue Convertible Subordinated Promis |
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| July 19, 2018 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits 8-K 1 f8k071918.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 19, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia, Canada 000-55184 98-1181717 (State or Othe |
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| July 6, 2018 |
8-K 1 f8k070618.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 6, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or o |
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| July 2, 2018 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 27, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of incorpo |
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| June 5, 2018 |
NPS / Northern Power Systems Corp. DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| June 4, 2018 |
8-K 1 f8k060418.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 4, 2018 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or o |
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| May 31, 2018 |
Northern Power Systems Corp. Announces Receipt of TSX Notice EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Systems Corp. Announces Receipt of TSX Notice BARRE, Vt., May 31, 2018 (GLOBE NEWSWIRE) - Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy and energy storage technology company, today announced that on May 24, 2018, Northern Power Systems Corp. (the “Company”) received a letter from the Toronto Stock Exchange |
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| May 31, 2018 |
8-K 1 f8k053118.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 24, 2018 NORTHERN POWER SYSTEMS CORP. (Exact Name of Registrant as Specified in Charter) British Columbia 000-55184 98-1181717 (State or Other Jurisdi |
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| May 15, 2018 |
Northern Power Systems Reports First Quarter 2018 Results EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Systems Reports First Quarter 2018 Results Business Highlights: Uncertainty in the Italian market due to the expiration of the feed-in-tariff for distributed wind has created challenges with our core distributed wind business. Revenues from all geographic markets in the first quarter of 2018 were $1.6M, 25% of which was generated from |
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| May 15, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 f8k051518.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 15, 2018 Northern Power Systems Corp (Exact Name of Registrant as Specified in Charter) British Columbia 000-55184 98-1181717 (State or Other Jurisdic |
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| May 15, 2018 |
NPS / Northern Power Systems Corp. FORM 10-Q (Quarterly Report) 10-Q 1 f10q051518p.htm FORM 10-Q United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission |
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| April 2, 2018 |
Northern Power Systems Reports Fourth Quarter and Full Year 2017 Results EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Northern Power Systems Reports Fourth Quarter and Full Year 2017 Results Business Highlights: Global fleet of installed distributed wind turbines expanded to 845-units, achieving over 20 million run-time hours while delivering continued 98% grid-connected availability. Recorded $11.1 million and $38.6 million in revenues for the fourth quarter and fi |
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| April 2, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 f8k040218.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): April 2, 2018 Northern Power Systems Corp (Exact Name of Registrant as Specified in Charter) British Columbia 000-55184 98-1181717 (State or Other Jurisdi |
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| April 2, 2018 |
Subsidiaries of the Registrant EX-21.1 6 exh211.htm EXHIBIT 21.1 Exhibit 21.1 Subsidiaries of the Registrant Name Jurisdiction Northern Power Systems, Inc. DE Northern Power Systems AG Switzerland Northern Power Systems SrL Italy Northern Power Systems Limited United Kingdom |
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| April 2, 2018 |
Exhibit 10.22 AMENDMENT NO. 4 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amendment No. 4 to Amended and Restated Loan and Security Agreement (“Amendment”) is made on December 6, 2017 (“Third Amendment Effective Date”) between Northern Power Systems, Inc., a Delaware corporation (“Borrower”) and Comerica Bank, a Texas banking association (“Bank”). Borrower and Bank entered into an Ame |
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| April 2, 2018 |
Exhibit 10.24 EXPORT-IMPORT BANK OF THE UNITED STATES WORKING CAPITAL GUARANTEE PROGRAM BORROWER AGREEMENT TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 1.01 Definition of Terms 1 1.02 Rules of Construction 14 1.03 Incorporation of Recitals 15 ARTICLE II OBLIGATIONS OF BORROWER 15 2.01 Use of Credit Accommodations 15 2.02 Security Interests 15 2.03 Loan Documents and Loan Authorization Agreement 16 2. |
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| April 2, 2018 |
Letter Agreement by and between the Registrant and Comerica Bank, dated December 6, 2017 Exhibit 10.21 Comerica Bank December , 2017 Northern Power Systems, Inc. Attention: Ciel Caldwell 29 Pitman Road Barre, Vermont 05641 Re: $2,500,000 Working Capital Transaction Specific Revolving Credit Facility (the “Export Revolving Loan”) Guaranteed by the Export-Import Bank of the United States (“Ex-Im Bank”) Dear Ms. Caldwell: This Letter Agreement shall constitute the agreement between Comer |
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| April 2, 2018 |
NPS / Northern Power Systems Corp. FORM 10-K (Annual Report) 10-K 1 f10k033018p.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0 |
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| April 2, 2018 |
Exhibit 10.23 AMENDMENT NO. 3 TO MASTER REVOLVING NOTE This Amendment No. 3 to Master Revolving Note (“Amendment”) dated as of December 6, 2017, is made between Northern Power Systems, Inc. a Delaware corporation (“Borrower”) and Comerica Bank, a Texas banking association (“Bank”) in order to amend the terms of the $6,000,000.00 Master Revolving Note dated June 30, 2014, made by Borrower to Bank ( |
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| November 13, 2017 |
Northern Power Systems Reports Third Quarter 2017 Results EdgarFiling EXHIBIT 99.1 Northern Power Systems Reports Third Quarter 2017 Results Business Highlights: Sustained growth leading to an 800-unit global installed fleet of distributed wind turbines, achieving almost 18 million run-time hours while delivering continued 98% grid-connected availability. Announced our entry into the energy storage space as a turn-key project developer providing integrat |
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| November 13, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 13, 2017 Northern Power Systems Corp (Exact Name of Registrant as Specified in Charter) British Columbia 000-55184 98-1181717 (State or Other Jurisdiction of Incorporation) ( |
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| November 13, 2017 |
NRTHF / Northern Power Systems Corp FORM 10-Q (Quarterly Report) 10-Q 1 f10q110817p.htm FORM 10-Q United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commiss |
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| August 11, 2017 |
Northern Power Systems Reports Second Quarter 2017 Results EXHIBIT 99.1 Northern Power Systems Reports Second Quarter 2017 Results Business Highlights: ? Installed a record 81 and 111 of its flagship distributed wind turbines in the second quarter and first half of 2017, respectively. ? Achieved a 700+ unit global installed fleet of distributed wind turbines, with over 16 million run-time hours delivering continued 98% grid-connected availability. ? Annou |
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| August 11, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 11, 2017 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of incor |
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| August 11, 2017 |
NRTHF / Northern Power Systems Corp FORM 10-Q (Quarterly Report) United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000-55184 NORTHERN POW |
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| July 20, 2017 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 25, 2017 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of incorpor |
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| June 23, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 23, 2017 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of incorpo |
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| June 23, 2017 |
Exhibit 10.1 LEASE AGREEMENT This Lease Agreement (the ?Lease?) is by and between MALONE 29 PITMAN ROAD PROPERTIES, LLC, a Vermont limited liability company with a place of business in Montpelier, Vermont (the ?Landlord?) and NORTHERN POWER SYSTEMS, INC., a Delaware corporation with a place of business in Barre, Vermont (the ?Tenant?). Background 1. Landlord is the owner of four (4) parcels of lan |
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| June 6, 2017 |
NRTHF / Northern Power Systems Corp / BERYLSON CAPITAL PARTNERS, LLC Passive Investment SC 13G 1 a70920sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Northern Power Systems Corp. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 66561Y107 (CUSIP Number) June 5, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to de |
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| May 12, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2017 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of inco |
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| May 12, 2017 |
Northern Power Systems Reports First Quarter 2017 Results EX-99.1 Exhibit 99.1 Northern Power Systems Reports First Quarter 2017 Results Business Highlights: ? Increased order backlog to $30 million at March 31, 2017 compared to $26 million at March 31, 2016. ? Our cash and cash equivalents increased $1.2 million in first quarter of 2017 compared to a decrease of $2.3 million for the same period in the prior year. ? Furthered the commercialization of an |
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| May 12, 2017 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000 |
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| May 1, 2017 |
Northern Power Systems DEFINITIVE PROXY STATEMENT DEF 14A 1 d346004ddef14a.htm DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for U |
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| March 31, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2017 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of in |
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| March 31, 2017 |
Northern Power Systems Announces Fourth Quarter and Full Year 2016 Results EX-99.1 Exhibit 99.1 Northern Power Systems Announces Fourth Quarter and Full Year 2016 Results PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: 31 March 2017 Fourth Quarter 2016 Highlights: ? Our cash and cash equivalents increased $2.2 million in fourth quarter of 2016 compared to $0.7 million for the same period in the prior year. ? Increased order backlog at December 31, 2016 to $28 million as |
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| March 31, 2017 |
Exhibit 21.1 Subsidiaries of the Registrant Name Jurisdiction Northern Power Systems, Inc. DE Northern Power Systems AG Switzerland Northern Power Systems SrL Italy Northern Power Systems Limited United Kingdom |
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| March 31, 2017 |
EX-10.17 5 d348161dex1017.htm EX-10.17 Exhibit 10.17 EXPORT-IMPORT BANK OF THE UNITED STATES WORKING CAPITAL GUARANTEE PROGRAM BORROWER AGREEMENT Ex-Im Bank 12/31/05 TABLE OF CONTENTS ARTICLE I DEFINITIONS 1 1.01 Definition of Terms 1 1.02 Rules of Construction 14 1.03 Incorporation of Recitals 15 ARTICLE II OBLIGATIONS OF BORROWER 15 2.01 Use of Credit Accommodations 15 2.02 Security Interests 15 |
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| March 31, 2017 |
Exhibit 10.16 AMENDMENT NO. 2 TO MASTER REVOLVING NOTE This Amendment No. 2 to Master Revolving Note (“Amendment”) dated as of September 30, 2016, is made between Northern Power Systems, Inc. a Delaware corporation (“Borrower”) and Comerica Bank, a Texas banking association (“Bank”) in order to amend the terms of the $6,000,000.00 Master Revolving Note dated June 30, 2014, made by Borrower to Bank |
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| March 31, 2017 |
Exhibit 10.15 AMENDMENT NO. 3 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amendment No. 3 to Amended and Restated Loan and Security Agreement (“Amendment”) is made on September 30, 2016 (“Third Amendment Effective Date”) between NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”) and COMERICA BANK, a Texas banking association (“Bank”). Borrower and Bank entered into an A |
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| March 31, 2017 |
Exhibit 10.19 ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this “Agreement”) is entered into as of October 26, 2016 (“Effective Date”), by and between: (i) WEG Electric Corp., a corporation incorporated and existing under the laws of the State of Georgia. U.S.A., with its principal office at 6655 Sugarloaf Parkway, Duluth, GA 30097, U.S.A. (“WEC”); (ii) WEG Equipamentos Eletricos S.A., |
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| March 31, 2017 |
EX-10.14 Exhibit 10.14 AMENDMENT NO. 2 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amendment No. 2 to Amended and Restated Loan and Security Agreement (“Amendment”) is made on April 30, 2015 (“First Amendment Effective Date”) between NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”) and COMERICA BANK, a Texas banking association (“Bank”). Borrower and Bank entered into |
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| March 31, 2017 |
Exhibit 10.20 First Amendment to the Technological Know-How Transfer Agreement for NPS 2.X by and between WEG Equipamentos Elétricos S.A. and Northern Power Systems, Inc. Jaraguá do Sul (Brazil), October 26, 2016. First Amendment to the Technological Know-How Transfer Agreement for NPS 2.X This First Amendment to the Technological Know-How Transfer Agreement for NPS 2.X (this “Amendment”) is made |
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| March 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 31, 2017 |
Exhibit 10.18 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated October 5, 2016, effective as of two weeks from signing the Agreement (the “Effective Date”), by and between Northern Power Systems, Inc., a Delaware corporation (the “Company”) and June M. Morris (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the Company wi |
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| February 16, 2017 |
Marcus Baker resigning after Eight Years of Service EX-99.1 Exhibit 99.1 Kevin Kopczynski Joins Northern Power Systems Board of Directors Marcus Baker resigning after Eight Years of Service Barre, VT USA (February 16, 2017) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced that Mr. Kevin Kopczynski has been appointed to the company?s Board of Directors, replacing Marcus Baker, Presiden |
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| February 16, 2017 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 10, 2017 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdicti |
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| December 9, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D/A (Amendment No. |
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| November 15, 2016 |
Northern Power Systems Reports Third Quarter 2016 Results EX-99.1 2 d271507dex991.htm EX-99.1 Exhibit 99.1 Northern Power Systems Reports Third Quarter 2016 Results Barre, VT USA (14 November 2016) – Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced financial results for its third quarter ended September 30, 2016. Business Highlights: • Continued sequential improvement in revenue to $12.1 mill |
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| November 15, 2016 |
EX-99.2 November 15, 2016 Q3 2016 Earnings Presentation Northern Power Systems Ciel Caldwell President and COO Eric Larson VP and CAO Exhibit 99.2 Forward Looking Statement and non-gaap disclosures All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, a |
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| November 15, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 15, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of |
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| November 14, 2016 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q 10-Q Table of Contents United States Securities and Exchange Commission Washington, D. |
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| October 26, 2016 |
Northern Power Systems Corp. WEG and Northern Power Systems look to the future with technology EX-99.1 Exhibit 99.1 Northern Power Systems Corp. WEG and Northern Power Systems look to the future with technology Barre, VT USA (October 26, 2016) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, announced that WEG S.A. (Bovespa: WEGE3 / OTC: WEGZY) and NPS have executed a definitive agreement for WEG to acquire Northern Power System?s Utility Win |
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| October 26, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 26, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 Pending (State or other jurisdiction of inc |
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| October 18, 2016 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 17, 2016 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (St |
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| October 18, 2016 |
EX-99.1 2 exhibit1.htm EX-99.1 June M. Morris joins Northern Power Systems as VP and General Counsel Experienced Public Company Technology Counsel Joins Management Team Barre, VT USA (October 18, 2016) – Northern Power Systems (TSX: NPS) a next generation renewable energy technology company announced today that June M. Morris has joined its team as Vice President, and General Counsel. Ms. Morris b |
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| September 22, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 22, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction o |
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| September 22, 2016 |
EX-99.1 September 22, 2016 Q2 2016 Earnings Presentation Northern Power Systems Ciel Caldwell President and COO Eric Larson VP and CAO Exhibit 99.1 Forward Looking Statement and non-gaap disclosures All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, |
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| September 14, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 14, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction o |
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| September 14, 2016 |
EX-99.1 Exhibit 99.1 Northern Power Systems Reports Second Quarter 2016 Results; Completes Required Financial Filings to Remove Failure to File Cease Trade Order Barre, VT USA (14 September 2016) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced financial results and completed its quarterly filing requirements for its second quarter e |
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| September 14, 2016 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D. |
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| August 31, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 31, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of i |
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| August 31, 2016 |
Northern Power Systems Reports First Quarter 2016 Results EX-99.1 Exhibit 99.1 Northern Power Systems Reports First Quarter 2016 Results Barre, VT USA (31 August 2016) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced financial results for its first quarter ended March 31, 2016. As communicated on August 26, 2016 the Company expects to file its second quarter of 2016 results by September 15, |
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| August 31, 2016 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 26, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of i |
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| August 31, 2016 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D. |
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| August 15, 2016 |
Northern Power Systems NT 10-Q NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING 000-55184 Commission File Number (Check one): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Repo |
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| August 15, 2016 |
Northern Power Systems NT 10-Q NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING 000-55184 Commission File Number (Check one): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Repo |
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| August 10, 2016 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2016 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (Sta |
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| August 10, 2016 |
EX-99.1 2 exhibit1.htm EX-99.1 Northern Power Systems Announces Leadership Transition with Focus on Distributed Energy Solutions CEO Troy C. Patton to transition to Board Advisory Role; remaining a member of Board of Directors Office of the President and COO formed driving the Company’s refined focus on distributed energy; Ciel R. Caldwell named to role Barre, VT USA (August 10, 2016) – Northern P |
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| August 5, 2016 |
Northern Power Systems DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. |
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| August 2, 2016 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 28, 2016 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (State |
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| August 2, 2016 |
Ciel R. Caldwell appointed Director to Northern Power Systems Board EX-99.1 Ciel R. Caldwell appointed Director to Northern Power Systems Board PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: August 2, 2016 MEDIA CONTACT: Eric Larson (+1-802-661-4673) [email protected] Barre, VT USA (August 2, 2016) ? Northern Power Systems Corp. (TSX: NPS) today announced the appointment of Ciel R. Caldwell to the Company?s Board of Directors. Ms. Caldwell currently serves as |
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| July 25, 2016 |
EX-99.1 Exhibit 99.1 Northern Power Systems Announces Fourth Quarter and Full Year 2015 Results Concludes Previously Announced Financial Restatement PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: 25 July 2016 Year End 2015 Highlights (as compared to restated 2014): ? Delivered revenues of $54.0 million, which is consistent with 2014 revenues, overcoming market delays the Company experienced in th |
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| July 25, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d206400d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 25, 2016 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or |
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| July 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 25, 2016 |
EX-21.1 Exhibit 21.1 Subsidiaries of the Registrant Name Jurisdiction Northern Power Systems, Inc. DE Northern Power Systems AG Switzerland Northern Power Systems SrL Italy Northern Power Systems Limited United Kingdom |
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| May 27, 2016 |
EX-99.2 3 a70164exhibit99-2.htm SCHEDULE OF TRANSACTIONS Exhibit 2 Schedule of Transactions Berylson Master Fund, LP Date Number of Common Shares Price Per Common Shares in CDN$* Total Purchase Price in CDN$ 05/06/16 400,000 0.23 96,000 05/06/16 10,000 0.225 2,350 05/09/16 9,500 0.25 2,470 05/11/16 4,000 0.25 1,040 05/12/16 1,500 0.25 420 05/13/16 9,000 0.25 2,340 05/16/16 2,000 0.25 520 05/19/16 |
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| May 27, 2016 |
NRTHF / Northern Power Systems Corp / BERYLSON CAPITAL PARTNERS, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)* Northern Power Systems Corp. (Name of Issuer) Common Stock, no Par Value (Title of Class of Securities) 66561Y107 (CUSIP Number) David K. Robbin |
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| May 27, 2016 |
Exhibit 1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of May 27, 2016, is by and among Berylson Capital Partners, LLC, Berylson Master Fund, LP and James Berylson (collectively, the “Filers”). |
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| May 25, 2016 |
EX-99.1 Northern Power Systems to Restate Annual and Quarterly Financial Results for 2013, 2014 and First Three Quarters of 2015 Company incurred no adverse effect on cash position or cash flow from operations. Company expects to announce 2015 annual results by the end of June 2016. Barre, VT USA (24 May 2016 ) ? Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology |
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| May 25, 2016 |
Northern Power Systems LIVE FILING (Current Report/Significant Event) Northern Power Systems Corp. (Form: 8-K/A) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2016 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55 |
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| May 24, 2016 |
EX-99.1 Northern Power Systems to Restate Annual and Quarterly Financial Results for 2013, 2014 and First Three Quarters of 2015 Company incurred no adverse effect on cash position or cash flow from operations. Company expects to announce 2015 annual results by the end of June 2016. Barre, VT USA (24 May 2016 ) ? Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology |
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| May 24, 2016 |
8-K 1 htm53598.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2016 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (State or other j |
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| May 23, 2016 |
EX-99.1 Northern Power Systems Concludes Strategic Review of Business; Determines to Pursue Strategic Alternatives for its Utility Scale Wind Business Barre, VT USA (23 May 2016) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced that, after extensive consideration of its business direction, the company will dedicate its focus to distr |
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| May 23, 2016 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 20, 2016 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (State |
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| May 17, 2016 |
Northern Power Systems NT 10-Q NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING 000-55184 Commission File Number (Check one): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: March 31, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Rep |
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| April 13, 2016 |
WPS / iShares International Developed Property ETF / SIMON JOHN - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Northern Power Systems Corp. |
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| April 7, 2016 |
EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock of Northern Power Systems Corp. |
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| April 7, 2016 |
NRTHF / Northern Power Systems Corp / Allen & CO LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 (Amendment No. 3)* NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHARE (Title of Class of Securiti |
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| March 29, 2016 |
Northern Power Systems NT 10-K NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING 000-55184 Commission File Number (Check one): x Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2015 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition |
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| February 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Northern Power Systems Corp. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 11, 2016 |
NRTHF / Northern Power Systems Corp / Wellington Trust Co NA - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Northern Power Systems Corp. (Name of Issuer) Common Shares (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Northern Power Systems Corp. (Name of Issuer) Common Shares (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Northern Power Systems Corp. (Name of Issuer) Common Shares (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 11, 2016 |
SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Northern Power Systems Corp. (Name of Issuer) Common Shares (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropri |
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| January 6, 2016 |
Amendment No. 2 to Schedule 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 (Amendment No. 2)* NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHARE (Tit |
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| January 6, 2016 |
Exhibit 1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock of Northern Power Systems Corp. |
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| November 13, 2015 |
EX-99.1 2 d43892dex991.htm EX-99.1 Exhibit 99.1 Northern Power Systems Reports Third Quarter 2015 Results Continued distributed wind revenue and order growth Barre, VT USA (12 November 2015) –Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced financial results for its third quarter ended September 30, 2015. Revenue for the three months e |
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| November 13, 2015 |
EX-99.2 Troy Patton ? CEO Ciel Caldwell ? CFO November 13, 2015 Q3 2015 Earnings Presentation Northern Power Systems Exhibit 99.2 FORWARD LOOKING STATEMENT AND NON -GAAP DISCLOSURES All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, are identified by |
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| November 13, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2015 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of |
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| November 12, 2015 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| October 26, 2015 |
EX-99.1 NORTHERN POWER SYSTEMS CORP. Northern Power Systems Corp. Announces Resignation of Vice President and General Counsel PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: October 26, 2015 MEDIA CONTACT: Ciel R. Caldwell (+1 857 209 3606) [email protected] Barre, VT USA (October 26, 2015): Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology provider, announce |
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| October 26, 2015 |
Northern Power Systems LIVE FILING (Current Report/Significant Event) Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 22, 2015 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (St |
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| August 13, 2015 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15-(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 000- |
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| August 12, 2015 |
EX-99.2 Troy Patton ? CEO Ciel Caldwell ? CFO August 12, 2015 Q2 2015 Earnings Presentation Northern Power Systems Exhibit 99.2 FORWARD LOOKING STATEMENT AND NON -GAAP DISCLOSURES 2 All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, are identified by |
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| August 12, 2015 |
Northern Power Systems Reports Second Quarter 2015 Results Strong sequential revenue improvement EX-99.1 Exhibit 99.1 Northern Power Systems Reports Second Quarter 2015 Results Strong sequential revenue improvement Barre, VT USA (12 August 2015) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced financial results for its second quarter ended June 30, 2015. Revenues for the three months ended June 30, 2015 were $12.5 million, compa |
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| August 12, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d50496d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 12, 2015 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State o |
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| July 22, 2015 |
Northern Power Systems LIVE FILING (Current Report/Significant Event) Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 21, 2015 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (State |
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| July 22, 2015 |
NORTHERN POWER SYSTEMS CORP. Greg Wolf Joins Northern Power Systems Board EX-99.1 NORTHERN POWER SYSTEMS CORP. Greg Wolf Joins Northern Power Systems Board PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: 22 July 2015; 9AM EDT MEDIA CONTACT: Ciel R. Caldwell (+1 857 209 3606) [email protected] Barre, VT USA (July 22, 2015) ? Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology company, announced today the appointment of Mr. Gregory C. |
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| May 28, 2015 |
Northern Power Systems FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 27, 2015 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of |
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| May 13, 2015 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 Commission File Number 000-55184 NORTHERN POWER SYSTEMS CORP |
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| May 13, 2015 |
AMENDMENT NO. 2 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT Exhibit 10.14 AMENDMENT NO. 2 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amendment No. 2 to Amended and Restated Loan and Security Agreement (“Amendment”) is made on April 30, 2015 (“First Amendment Effective Date”) between NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”) and COMERICA BANK, a Texas banking association (“Bank”). Borrower and Bank entered into an Amend |
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| May 12, 2015 |
EX-99.1 Exhibit 99.1 Northern Power Systems Reports First Quarter 2015 Results Quarterly Distributed Turbine Orders Double Barre, VT USA (12 May 2015) ? Northern Power Systems Corp. (TSX: NPS), a next generation renewable energy technology company, today announced financial results for its first quarter ended March 31, 2015. Revenues for the three months ended March 31, 2015 were $8.3 million, com |
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| May 12, 2015 |
EX-99.2 Troy Patton ? CEO Ciel Caldwell ? CFO May 12, 2015 Q1 2015 Earnings Presentation Northern Power Systems Exhibit 99.2 2 All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, are identified by the use of words such as ?seek?, ?anticipate?, ?believ |
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| May 12, 2015 |
Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2015 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of inco |
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| April 16, 2015 |
Northern Power Systems NOTICE AND PROXY STATEMENT Notice and Proxy Statement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange At of 1934 (Amendment No. |
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| April 16, 2015 |
Northern Power Systems DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange At of 1934 (Amendment No. |
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| March 31, 2015 |
EX-99.2 Troy Patton ? CEO Ciel Caldwell - CFO 31March2015 YE ? Q4 2014 Earnings Presentation Northern Power Systems Exhibit 99.2 2 All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, are identified by the use of words such as ?seek?, ?anticipate?, ?be |
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| March 31, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 31, 2015 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of in |
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| March 31, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-55184 NORTHERN POWER SYSTEMS C |
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| March 31, 2015 |
Northern Power Systems Announces Record Annual Revenue Growth EX-99.1 Exhibit 99.1 Northern Power Systems Announces Record Annual Revenue Growth Year End 2014 Highlights ? Revenues grew to $56.5 million from $20.6 million in 2013 driven by strong continued demand for the Company?s distributed class turbines. ? Reduced net loss to $7.9 million from $14.1 million in the prior year; reduced full year non-GAAP adjusted EBITDA loss to $4.8 million as compared to |
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| February 17, 2015 |
Schedule 13G Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(b) Under the Securities Exchange Act of 1934 (Amendment No. 1) NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR V |
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| February 17, 2015 |
Schedule 13D Amendment No. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) Under the Securities and Exchange Act of 1934 (Amendment No. 1) NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHARE (Title o |
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| February 17, 2015 |
NRTHF / Northern Power Systems Corp / Cwe Llc - SCHEDULE 13G AMENDMENT NO. 1 Passive Investment SC 13G/A 1 d874374dsc13ga.htm SCHEDULE 13G AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(b) Under the Securities Exchange Act of 1934 (Amendment No. 1) NORTHERN POWER SYSTEMS CORP. (Name of |
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| February 12, 2015 |
Intact Investment Management Inc. - Schedule 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NORTHERN POWER SYSTEMS CORP (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2014 (Date of Event which Requires |
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| February 12, 2015 |
NRTHF / Northern Power Systems Corp / Wellington Trust Co NA - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Northern Power Systems Corp. (Name of Issuer) Common Shares (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Northern Power Systems Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 66561Y107 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| January 14, 2015 |
WPS / iShares International Developed Property ETF S-1/A - - S-1/A S-1/A Table of Contents As filed with the Securities and Exchange Commission on January 14, 2015. |
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| January 8, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Northern Power Systems Corp. (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 66561Y107 (CUSIP Number) April 22, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| January 8, 2015 |
Exhibit 99.1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of January 8, 2015, is by and among Berylson Capital Partners, LLC, Berylson Master Fund, LP and James Berylson (collectively, the "Filers"). Each of the Filers may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13D and/or 13G with respect to Common Shares of Northern Po |
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| January 6, 2015 |
Northern Power Systems Corp. Northern Power Systems files for a $30 million US public offering EX-99.1 Northern Power Systems Corp. Northern Power Systems files for a $30 million US public offering BARRE, Vt.—(BUSINESS WIRE)—Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology company, today announced that it has publicly filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission, relating to a proposed initial U.S. public of |
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| January 6, 2015 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 2, 2015 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (Sta |
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| January 6, 2015 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 5, 2015 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 (Sta |
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| January 5, 2015 |
EX-10.8 Exhibit 10.8 AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amended and Restated Loan and Security Agreement (this “Agreement”) is entered into as of December 31, 2013, by and between COMERICA BANK (“Bank”) and NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”). RECITALS: Borrower wishes to obtain credit from time to time from Bank, and Bank desires to extend credit t |
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| January 5, 2015 |
EX-10.4 Exhibit 10.4 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of January 31, 2013, effective as of February 1, 2013 (the “Effective Date”) by and between Northern Power Systems Utility Scale, Inc., a Delaware corporation (the “Company”) and Ciel R. Caldwell (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the C |
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| January 5, 2015 |
EX-21.1 EXHIBIT 21.1 Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Incorporation or Organization Northern Power Systems, Inc. Delaware |
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| January 5, 2015 |
EX-10.6 Exhibit 10.6 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of September 2, 2010, to be effective as of September 7, 2010 (the “Effective Date”) by and between Northern Power Systems, Inc., a Delaware corporation (the “Company”) and Elliot J. Mark (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the Company w |
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| January 5, 2015 |
WPS / iShares International Developed Property ETF S-1 - Registration Statement - FORM S-1 Form S-1 Table of Contents As filed with the Securities and Exchange Commission on January 5, 2015. |
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| January 5, 2015 |
EX-10.5 Exhibit 10.5 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of September 19, 2010 (the “Effective Date”) by and between Northern Power Systems, Inc., a Delaware corporation (the “Company”) and Jonathan Lynch (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the Company wishes to employ Employee in the capaciti |
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| December 11, 2014 |
EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock of Northern Power Systems Corp., and that this Agreement be included as an Exhibit to such j |
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| December 11, 2014 |
EX-21.1 EXHIBIT 21.1 Subsidiaries of the Registrant Name of Subsidiary Jurisdiction of Incorporation or Organization Northern Power Systems, Inc. Delaware |
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| December 11, 2014 |
NRTHF / Northern Power Systems Corp / Allen & CO LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 (Amendment No. 1)* NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHARE (Title of Class of Securiti |
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| December 11, 2014 |
EX-10.6 Exhibit 10.6 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of September 2, 2010, to be effective as of September 7, 2010 (the “Effective Date”) by and between Northern Power Systems, Inc., a Delaware corporation (the “Company”) and Elliot J. Mark (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the Company w |
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| December 11, 2014 |
AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT EX-10.8 Exhibit 10.8 AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amended and Restated Loan and Security Agreement (this “Agreement”) is entered into as of December 31, 2013, by and between COMERICA BANK (“Bank”) and NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”). RECITALS: Borrower wishes to obtain credit from time to time from Bank, and Bank desires to extend credit t |
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| December 11, 2014 |
WPS / iShares International Developed Property ETF DRS - - DRS S-1 Table of Contents As submitted confidentially to the Securities and Exchange Commission on December 11, 2014. |
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| December 11, 2014 |
EX-10.5 Exhibit 10.5 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of September 19, 2010 (the “Effective Date”) by and between Northern Power Systems, Inc., a Delaware corporation (the “Company”) and Jonathan Lynch (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the Company wishes to employ Employee in the capaciti |
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| December 11, 2014 |
EX-10.4 Exhibit 10.4 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of January 31, 2013, effective as of February 1, 2013 (the “Effective Date”) by and between Northern Power Systems Utility Scale, Inc., a Delaware corporation (the “Company”) and Ciel R. Caldwell (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the C |
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| November 13, 2014 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 Commission File Number 000-55184 NORTHERN POWER SYSTEMS |
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| November 10, 2014 |
EX-99.2 3 d818771dex992.htm EX-99.2 Q3 2014 Earnings Presentation November 10, 2014 Exhibit 99.2 2 All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, are identified by the use of words such as “seek”, “anticipate”, “believe”, “plan”, “estimate”, “exp |
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| November 10, 2014 |
EX-99.1 Exhibit 99.1 Northern Power Systems Announces Strong Third Quarter 2014 Revenue Growth and Achieves EBITDA Profitability PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: 10 November 2014; 4:30 PM EST Third Quarter 2014 Highlights: • Expanded quarterly revenues to $15 million from $5.6 million in the prior year third quarter driven by strong continued demand for the Company’s distributed cla |
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| November 10, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 10, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdicti |
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| September 17, 2014 |
EX-16.1 EXHIBIT 16.1 September 16, 2014 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 We have read the first four paragraphs included in Item 4.01 of Form 8-K of Northern Power Systems Corp. dated September 11, 2014, expected to be filed with the Securities and Exchange Commission on September 17, 2014, and are in agreement with the statements concerning our Fir |
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| September 17, 2014 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 11, 2014 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 98-1181717 ( |
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| September 17, 2014 |
EX-16.2 EXHIBIT 16.2 September 16, 2014 Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549-7561 Ladies and Gentlemen: We have read the last three paragraphs included in Item 4.01 of Form 8-K of Northern Power Systems Corp. dated September 11, 2014, expected to be filed with the Securities and Exchange Commission on September 17, 2014, and are in agreement with the statements |
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| September 3, 2014 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 3, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction of |
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| September 3, 2014 |
EX-99.1 Exhibit 99.1 Northern Power Systems Corp. (Formerly known as Wind Power Holdings, Inc.) Index to the Consolidated Financial Statements PAGE Report of Independent Registered Public Accounting Firm F-2 Consolidated Balance Sheets as of December 31, 2013 and 2012 F-3 Consolidated Statements of Operations and Comprehensive Loss for the Years Ended December 31, 2013 and 2012 F-5 Consolidated St |
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| August 14, 2014 |
Exhibit 10.6 LEASE AGREEMENT between MALONE 29 PITMAN ROAD PROPERTIES, LLC (“Landlord”) and NORTHERN POWER SYSTEMS, INC. (“Tenant”) Dated as of June 19, 2014 TABLE OF CONTENTS Page Section 1. Lease of Premises 1 Section 2. Term of Lease 1 Section 3. Use of Premises 2 Section 4. Minimum Rent 2 Section 5. Security Deposit 3 Section 6. Common Area Charges 3 Section 7. Tenant’s Taxes 3 Section 8. Tena |
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| August 14, 2014 |
Exhibit 10.7 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”), dated as of May 5, 2014, effective as of May 27, 2014 (the “Effective Date”) by and between Northern Power Systems, Inc., a Delaware corporation (the “Company”) and Lawrence D. Willey (“Employee”), sets forth the terms and conditions of Employee’s employment with the Company. WHEREAS, the Company wishes to employ Emplo |
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| August 14, 2014 |
AMENDMENT NO. 1 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT Exhibit 10.5 AMENDMENT NO. 1 TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT This Amendment No. 1 to Amended and Restated Loan and Security Agreement (“Amendment”) is made on June 30, 2014 (“First Amendment Effective Date”) between NORTHERN POWER SYSTEMS, INC., a Delaware corporation (“Borrower”) and COMERICA BANK, a Texas banking association (“Bank”). Borrower and Bank entered into an Amended |
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| August 14, 2014 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q 10-Q 1 d751946d10q.htm 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 Commission File Number 000-55184 |
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| August 5, 2014 |
EX-99.2 Q2 2014 Earnings Presentation August 5, 2014 Exhibit 99.2 All statements and other information contained in this document related to anticipated future events or results constitute forward-looking statements. Forward-looking statements often, but not always, are identified by the use of words such as “seek”, “anticipate”, “believe”, “plan”, “estimate”, “expect”, “intend”, “forecast”, “proj |
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| August 5, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State or other jurisdiction |
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| August 5, 2014 |
EX-99.1 Exhibit 99.1 Northern Power Systems Corp. Northern Power Systems Announces Q2 2014 Financial Results Strong revenue growth; substantially reduced EBITDA losses Second Quarter 2014 Highlights: • Expanded quarterly revenues to $13.8 million from $4.3 million in the prior year period; revenue expansion driven by strong continued demand for the Company’s distributed class turbines. • Reduced q |
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| July 14, 2014 |
SC 13G 1 secfiling.htm DISCLOSURE DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Northern Power Systems Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 66561Y107 (CUSIP Number) July 3, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| June 27, 2014 |
WPS / iShares International Developed Property ETF S-8 - - FORM S-8 Form S-8 As Filed With the Securities and Exchange Commission on June 27, 2014 Registration No. |
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| June 25, 2014 |
8-K12G3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 16, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 98-1181717 (State o |
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| June 25, 2014 |
EX-13.1 Exhibit 13.1 NORTHERN POWER SYSTEMS CORP. (FORMERLY MIRA III ACQUISITION CORP.) UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS The following unaudited pro forma condensed consolidated financial statements are based on the separate historical financial statements of Wind Power Holdings, Inc. (“Wind Power”) and Mira III Acquisition Corp. (“Mira III”), after giving effect to |
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| June 23, 2014 |
NRTHF / Northern Power Systems Corp / Baker Investments Llc - SCHEDULE 13G Passive Investment SC 13G 1 d746257dsc13g.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(b) UNDER THE SECURITIES EXCHANGE ACT OF 1934 NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON SHARES, NO PAR VALUE P |
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| June 5, 2014 |
NRTHF / Northern Power Systems Corp / Cwe Llc - SC 13G Passive Investment SC 13G 1 d739578dsc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(b) UNDER THE SECURITIES EXCHANGE ACT OF 1934 NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHAR |
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| June 2, 2014 |
EX-99.1 NORTHERN POWER SYSTEMS CORP. Lawrence Willey joins Northern Power Systems Executive Team Energy industry veteran starts as new Chief Operating Officer Barre, VT USA (June 2, 2014) – Northern Power Systems (TSX: NPS) today announced that Lawrence Willey has joined its executive team as the Chief Operating Officer. He brings over thirty years of experience in renewable energy & power technol |
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| June 2, 2014 |
Northern Power Systems Corp. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 27, 2014 Northern Power Systems Corp. (Exact name of registrant as specified in its charter) British Columbia 000-55184 pending (State or |
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| May 29, 2014 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 Commission File Number 001-36317 NORTHERN POWER SYSTEMS CORP |
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| May 29, 2014 |
EX-99.1 2 d735356dex991.htm EX-99.1 Exhibit 99.1 Northern Power Systems Announces Q1 2014 Financial Results Strong revenue and order growth; reinvesting in business expansion PRESS RELEASE FOR ONLINE PUBLICATION AND PRINT: 29 May 2014; 4:30 PM EST MEDIA CONTACT: Ciel R. Caldwell (+1 857 209 3606) [email protected] First Quarter 2014 Highlights: • Expanded quarterly revenues to $13.8 million fro |
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| May 29, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 29, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 Pending (State or other jurisdiction of incorpo |
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| May 15, 2014 |
Northern Power Systems Corp. David W. Cornhill Joins Northern Power Systems’ Board EX-99.1 Exhibit 99.1 Northern Power Systems Corp. David W. Cornhill Joins Northern Power Systems’ Board Barre, VT USA (May 12, 2014) – Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology provider, announced today the appointment of Mr. David W. Cornhill to the company’s board of directors. “David has extraordinary energy sector and business expertise and I am deli |
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| May 15, 2014 |
8-K 1 d728394d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 Pending (State or othe |
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| May 8, 2014 |
NRTHF / Northern Power Systems Corp / Rockport Capital Partners Iii, Lp - SC 13D Activist Investment SC 13D 1 d721974dsc13d.htm SC 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHARE CLASS B RESTRICTED VO |
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| April 30, 2014 |
EX-99.1 Exhibit 99.1 Northern Power Systems Corp. NORTHERN POWER SYSTEMS CORP. ANNOUNCES COMPLETION OF QUALIFYING TRANSACTION AND CONCURRENT C$24.5 MILLION FINANCING FOR IMMEDIATE RELEASE Barre, Vermont – April 16, 2014 – Northern Power Systems Corp. (the “Corporation”), formerly named Mira III Acquisition Corp., is pleased to announce the completion of its qualifying transaction (the “Transaction |
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| April 30, 2014 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 16, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 000-55184 Pending (State or other jurisdiction of |
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| April 30, 2014 |
Northern Power Systems raises C$24.5 Million on Toronto Stock Exchange debut EX-99.2 3 d719923dex992.htm EX-99.2 Exhibit 99.2 Northern Power Systems raises C$24.5 Million on Toronto Stock Exchange debut NPS capital raise enabling ongoing growth of its renewable technology business Barre, VT USA (25 April 2014) – Northern Power Systems Corp. (TSX:NPS), a next generation renewable energy technology provider, announced this week the completion of a reverse takeover transactio |
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| April 28, 2014 |
NRTHF / Northern Power Systems Corp / Allen & CO LLC - SC 13D Activist Investment SC 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 NORTHERN POWER SYSTEMS CORP. (Name of Issuer) COMMON STOCK, NO PAR VALUE PER SHARE CLASS B RESTRICTED VOTING SHARES, NO PAR VALUE P |
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| April 28, 2014 |
EX-99.1 2 d716444dex991.htm EX-1 Exhibit 1 LIST OF ALLEN & COMPANY LLC’S EXECUTIVE OFFICERS Officers Title Herbert A. Allen III President Kim M. Wieland Chief Financial Officer and Managing Director Peter DiIorio General Counsel, Vice President and Secretary Terence C. McCarthy Vice President and Chief Operations Officer Howard M. Felson Vice President, Controller and Assistant Secretary Eugene Pr |
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| April 28, 2014 |
EX-99.6 4 d716444dex996.htm EX-6 Exhibit 6 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock and class B restricted voting stock of Northern Power Systems Corp. |
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| April 28, 2014 |
LIST OF ALLEN OPERATIONS LLC’S EXECUTIVE OFFICERS AND EXECUTIVE COMMITTEE MEMBERS EX-99.2 3 d716444dex992.htm EX-2 Exhibit 2 LIST OF ALLEN OPERATIONS LLC’S EXECUTIVE OFFICERS AND EXECUTIVE COMMITTEE MEMBERS Executive Committee Members Herbert A. Allen III William W. Bradley Stephen D. Greenberg Donald R. Keough Kaveh Khosrowshahi Nancy B. Peretsman Officers Title Herbert A. Allen III President Kim M. Wieland Chief Financial Officer and Vice President Peter DiIorio General Couns |
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| April 23, 2014 |
EX-10.2 Exhibit 10.2 NORTHERN POWER SYSTEMS CORP. 2014 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Northern Power Systems Corp. (the “ |
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| April 23, 2014 |
EX-3.1 Exhibit 3.1 Incorporation Number BC0932715 Effective Date: February 14, 2012 As Amended Effective: April 14, 2014 - See Schedule “A” PROVINCE OF BRITISH COLUMBIA BUSINESS CORPORATIONS ACT ARTICLES OF NORTHERN POWER SYSTEMS CORP. Fasken Martineau DuMoulin LLP Barristers & Solicitors Canada TABLE OF CONTENTS Page PART 1 INTERPRETATION 1 1.1 Definitions 1 1.2 Business Corporations Act Definiti |
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| April 23, 2014 |
EX-10.4 Exhibit 10.4 ESCROW AGREEMENT THIS AGREEMENT is made as of the 16th day of April, 2014 AMONG: Northern Power Systems Corp. (the “Issuer”) AND: Equity Financial Trust Company (the “Escrow Agent”) AND: EACH OF THE UNDERSIGNED SECURITYHOLDERS OF THE ISSUER (a “Securityholder” or “you”) (collectively, the “Parties”) This Agreement is being entered into by the Parties under National Policy 46-2 |
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| April 23, 2014 |
EX-13.1 Exhibit 13.1 NORTHERN POWER SYSTEMS CORP. (FORMERLY MIRA III ACQUISITION CORP.) PRO FORMA CONSOLIDATED BALANCE SHEET (Unaudited) As of December 31, 2013 (Expressed in thousands of U.S. Dollars) NORTHERN POWER SYSTEMS CORP. (FORMERLY MIRA III ACQUISITION CORP.) NOTES TO PRO FORMA CONSOLIDATED BALANCE SHEET (unaudited) As of December 31, 2013 (Expressed in thousands of U.S. dollars except sh |
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| April 23, 2014 |
EX-10.3 5 d714283dex103.htm EX-10.3 Exhibit 10.3 NON-QUALIFIED STOCK OPTION GRANT NOTICE UNDER THE NORTHERN POWER SYSTEMS CORP. 2014 STOCK OPTION AND INCENTIVE PLAN Pursuant to the Northern Power Systems Corp. 2014 Stock Option and Incentive Plan (the “Plan”), Northern Power Systems Corp., a corporation incorporated pursuant to the laws of the Province of British Columbia (the “Company”), has gran |
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| April 23, 2014 |
8-K12G3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 16, 2014 NORTHERN POWER SYSTEMS CORP. (Exact name of registrant as specified in its charter) British Columbia, Canada 001-36317 26-3011376 (State or other jurisdiction o |
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| April 23, 2014 |
EX-10.1 Exhibit 10.1 WIND POWER HOLDINGS, INC. FIFTH AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT as of April 14, 2014 TABLE OF CONTENTS Page No. 1. Registration Rights 2 1.1 Definitions 2 1.2 Request for Registration 3 1.3 Company Registration 5 1.4 Form S-3 Registration 5 1.5 Obligations of the Company 6 1.6 Information From Holders 7 1.7 Expenses of Registration 8 1.8 Underwriting Requireme |
