Form 144 Azure Power Global Ltd Filed by: IFC GIF Investment Co I

November 13, 2017 10:50 AM
UNITED STATES
OMB APPROVAL
SECURITIES AND EXCHANGE COMMISSION
 OMB Number: 3235-0101
Washington, D.C. 20549
 Expires:
June 30, 2020 
 
 Estimated average burden
FORM 144
 hours per response
1.00 
NOTICE OF PROPOSED SALE OF SECURITIES
SEC USE ONLY
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
 DOCUMENT SEQUENCE NO.
   
 
 CUSIP NUMBER
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.
 
   
 1 (a) NAME OF ISSUER (Please type or print)
 (b) IRS IDENT. NO.
 (c) S.E.C. FILE NO.
 WORK LOCATION
 
Azure Power Global Limited
 
N.A.
 001-37909  
 1 (d) ADDRESS OF ISSUER
 STREET 
CITY
STATE
ZIP CODE
 (e) TELEPHONE NO
          AREA CODE NUMBER
 c/o AAA Global Services Ltd., 1st Floor, The Exchange 18 Cybercity
 Ebene
 Mauritius
 
91
11-9409800
 2 (a) NAME OF PERSON FOR WHOSE ACCOUNT
 THE SECURITIES ARE TO BE SOLD
 
 (b) RELATIONSHIP TO ISSUER
(c) ADDRESS STREET 
CITY
STATE
ZIP CODE
 
 IFC GIF Investment Company I
 
More than 10%
stockholder
 
c/o Cim Fund Services Ltd., 33 Edith Cavell Street
Port Louis
Mauritius
 

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
 
  3 (a)
  (b)
SEC USE ONLY
  (c)
  (d)
  (e)
  (f)
  (g)
Title of the Class
of Securities
To Be Sold
Name and Address of Each Broker Through
Whom the Securities are to be Offered or Each
Market Maker who is Acquiring the Securities
Broker-Dealer
File Number
Number of Shares
or Other Units
To Be Sold
Aggregate
Market
Value
Number of Shares
or Other Units
Outstanding
Approximate
Date of Sale
Name of Each
Securities
Exchange
 
 
    
(See instr. 3(c))
(See instr. 3(d))
(See instr. 3(e))
(See instr. 3(f))
(MO.  DAY  YR.)
(See instr. 3(g))
 
Equity Shares  
Deutsche Bank Securities Inc
60 Wall Street
New York, NY  10005  
    
129,580
  
U.S.$1,983,870
  
25,915,956  
November 15, 2017
  
New York Stock Exchange
    
 
  
    
 
  
 
  
 
  
 
  
 
       
 
 
                 
INSTRUCTIONS:
 
 
 
 
1.
(a)
Name of issuer
 
3.
(a)
Title of the class of securities to be sold
 
(b)
Issuer’s I.R.S. Identification Number
   
(b)
Name and address of each broker through whom the securities are intended to be sold
 
(c)
Issuer’s S.E.C. file number, if any
   
(c)
Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
 
(d)
Issuer’s address, including zip code
   
(d)
Aggregate market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice
 
(e)
Issuer’s telephone number, including area code
   
(e)
Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
         
(f)
Approximate date on which the securities are to be sold
2.
(a)
Name of person for whose account the securities are to be sold
 
(g)
Name of each securities exchange, if any, on which the securities are intended to be sold
 
(b)
Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
 
 
 
 
(c)
Such person’s address, including zip code
     
Potential persons who are to 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 1147 (08-07)

TABLE I — SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
 
Title of
the Class
Date you
Acquired
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of
Securities Acquired
Date of
Payment
Nature of Payment
 Equity Shares
09/19/2016
Purchase of 55,535 shares of Series I compulsorily convertible preferred shares by way of private placement
Azure Power Global Limited 
55,535 shares of Series I compulsorily convertible preferred shares
09/30/2016
Cash 
 Equity Shares   06/24/2015
Purchase of 111,071 shares of Series H compulsorily convertible preferred shares by way of private placement
 Azure Power Global Limited
111,071 shares of Series H compulsorily convertible preferred shares
 07/30/2015
Cash 


INSTRUCTIONS:
 
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.



TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 
Name and Address of Seller
Title of Securities Sold
Date of Sale
Amount of
Securities Sold
Gross Proceeds
  None
 
 
 
 
 
 
 
 
REMARKS:
 
 
INSTRUCTIONS:
 
ATTENTION:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
 
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.




 
November 13, 2017
     /s/ Ruth E. Horowitz  
  DATE OF NOTICE     (SIGNATURE)  
         
 
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
 
The notice shall be signed by the person for whose account the securities are to be sold. At least one
copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.


  ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
SEC 1147 (02-08)
 
 

Categories

SEC Filings