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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
5.60% Convertible Debentures due June 30, 2017 (9) | $ 13.08 (1) | 12/31/2015 | P | $ 72,250 (4) | 12/31/2015 | 06/30/2017 | Common shares | 5,524 (2) | $ 64.3 (3) | $ 72,250 (4) | D | ||||
6.00% Convertible Debentures due December 31, 2019 | $ 10.48 (5) | 12/31/2015 | P | $ 36,125 (8) | 12/31/2015 | 12/31/2019 | Common shares | 3,448 (6) | $ 55.99 (7) | $ 72,250 (10) (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McNeil John Alexander C/O ATLANTIC POWER CORPORATION 3 ALLIED DRIVE, SUITE 220 DEDHAM, MA 02026 |
X |
/s John S. Miele, attorney-in-fact | 01/05/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The 5.60% Convertible Debentures due June 30, 2017 are convertible into approximately 55.2486 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$18.10 per common share. The conversion price of Cdn$18.10 was converted to the U.S. dollar equivalent of $13.08 using the December 31, 2015 end of day exchange rate of .7225. |
(2) | The 5.60% Convertible Debentures due June 30, 2017 are convertible into approximately 55.2486 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$18.10 per common share. The Cdn$100,000 of convertible debentures converts to 5,524 common shares using the December 31, 2015 end of day exchange rate of .7225. |
(3) | The Cdn$100,000 principal of 5.60% Convertible Debentures due June 30, 2017 were purchased at a price of Cdn$89.00. This was converted to a U.S. dollar equivalent of $64.30 using the December 31, 2015 end of day exchange rate of .7225. |
(4) | The Cdn$100,000 principal of 5.60% Convertible Debentures due June 30, 2017 were converted to a U.S. dollar equivalent of $72,250 using the December 31, 2015 end of day exchange rate of .7225. |
(5) | The 6.00% Convertible Debentures due December 31, 2019 are convertible into approximately 68.9655 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$14.50 per common share. The conversion price of Cdn$14.50 was converted to the U.S. dollar equivalent of $10.48 using the December 31, 2015 end of day exchange rate of .7225. |
(6) | The 6.00% Convertible Debentures due December 31, 2019 are convertible into approximately 68.9655 common shares per Cdn$1,000 principal amount, at any time, at the option of the holder representing a conversion price of Cdn$14.50 per common share. The Cdn$50,000 of convertible debentures converts to 3,448 common shares using the December 31, 2015 end of day exchange rate of .7225. |
(7) | The Cdn$50,000 principal of 6.00% Convertible Debentures due December 31, 2019 were purchased at a price of Cdn$77.50. This was converted to a U.S. dollar equivalent of $55.99 using the December 31, 2015 end of day exchange rate of .7225. |
(8) | The Cdn$50,000 principal of 6.00% Convertible Debentures due December 31, 2019 were converted to a U.S. dollar equivalent of $36,125 using the December 31, 2015 end of day exchange rate of .7225. |
(9) | The Form 4 filed for Mr. McNeil on January 4, 2016 incorrectly identified the instrument purchased as 6.25% Convertible Debentures due March 15, 2017. The correct title of the derivative security in Column 1 of Table II should have been 5.60% Convertible Debenture due June 30, 2017. All pertinent information has been corrected based on the investment actually purchased. The Number of Derivative Securities Beneficially Owned Following Reported Transaction in Column 9 of Table II has also been corrected to $72,250 from $151,725. |
(10) | The Form 4 filed for Mr. McNeil on January 4, 2016 incorrectly disclosed The Number of Derivative Securities Beneficially Owned Following Reported Transaction in Column 9 of Table II in units of securities as opposed to U.S. Dollars. This amended Form 4 corrects that error and appropriately disclosed the total in U.S. Dollars, which total includes 6.00% Convertible Debentures due December 31, 2019 previously acquired by Mr. McNeil. |