UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Common Stock, $0.001 par value | Â (1) | Â (1) | Class A Common Stock | 0 | $ (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alvarez Michael C/O FIRST WIND 179 LINCOLN STREET, SUITE 500 BOSTON, MA 02111 |
 |  |  President and CFO |  |
/s/ Paul H. Wilson, Jr., Attorney-in-Fact for Michael Alvarez | 10/27/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Prior to the closing of the initial public offering, certain outstanding Series A units in First Wind Holdings, LLC held by Mr. Alvarez will be exchanged for First Wind Holdings, LLC Series B Membership Interests and an equal number of shares of First Wind Holdings Inc. Class B common stock. One Series B Membership Interest and one share of Class B common stock are together exchangeable, at the holder's election, for one share of First Wind Holdings Inc. Class A common stock. This exchange right has no expiration date. |