Form 4 TERRAFORM GLOBAL, INC. For: Dec 28 Filed by: Brookfield BRP Holdings (Canada) Inc.
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person
*
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
TERRAFORM GLOBAL, INC. [ GLBL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
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3. Date of Earliest Transaction
(Month/Day/Year) 12/28/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check
Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, Class A, $0.01 par value | 12/28/2017 | J | 19,535,004 (5) (6) | D (5) (6) | $ 0 | 0 (5) (6) | I (2) (3) (9) | Held by Orion US Holdings 1 L.P. (1) (2) (3) (9) | ||
Common Stock, Class A, $0.01 par value | 12/28/2017 | U | 1,000 (5) (7) | D (5) (7) | $ 5.10 (5) (7) | 0 (5) (7) | I (2) (4) (9) | Held by Brookfield BRP Holdings (Canada) Inc. (1) (2) (4) (9) | ||
Common Stock, Class A, $0.01 par value | 12/28/2017 | J | 1 (5) (8) | A (5) (8) | (5) (8) | 1 (5) (8) | I (2) (3) (9) | Held by Orion US Holdings 1 L.P. (1) (2) (3) (9) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
/s/ A.J. Silber for Brookfield Asset Management Inc. | 12/28/2017 | |
** Signature of Reporting Person | Date | |
/s/ Andrea Rocheleau for Brookfield BRP Holdings (Canada) Inc. | 12/28/2017 | |
** Signature of Reporting Person | Date | |
/s/ Jane Sheere for Brookfield Renewable Energy L.P., by its general partner BREP Holding L.P., by its general partner BRP Bermuda GP Limited | 12/28/2017 | |
** Signature of Reporting Person | Date | |
/s/ Jane Sheere for Brookfield Renewable Partners L.P., by its general partner Brookfield Renewable Partners Limited | 12/28/2017 | |
** Signature of Reporting Person | Date | |
/s/ Jane Sheere for Brookfield Renewable Partners Limited | 12/28/2017 | |
** Signature of Reporting Person | Date | |
/s/ Jane Sheere for BREP Holding L.P., by its general partner BRP Bermuda GP Limited | 12/28/2017 | |
** Signature of Reporting Person | Date | |
/s/ Jane Sheere for BRP Bermuda GP Limited | 12/28/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |
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