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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1605997	Northern Power Systems Corp.	NPS	Engines & Turbines (3510)	826503088

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1048638	John Simon	711 Fifth Ave New York NY 10022		Yes	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Shares	Acquisiton	2015-08-21	972,000	$0.44	1,219,300	No	4	P	Direct
Common Shares	Acquisiton	2015-08-25	15,000	$0.00	15,000	No	4	A	Direct
Common Shares	Acquisiton	2015-08-25	81,691	$0.44	81,691	No	4	A	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	A	Direct
No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Shares	1,139,533	Indirect	By Allen & Company LLC

Footnotes

Annual grant of restricted common shares under Northern Power Systems Corp. 2014 Stock Option and Incentive Plan. 75% of the shares will vest on September 30, 2015, and the remaining 25% of the shares will vest on December 31, 2015.
Grant of restricted common shares under Northern Power Systems Corp. 2014 Stock Option and Incentive Plan in lieu of cash payment for retainer fees. 40,846 of the shares vested immediately upon the date of the grant. The remaining 40,845 shares will vest in two equal installments, on September 30, 2015, and December 31, 2015, respectively.
Mr. Simon is an employee of Allen & Company LLC, and does not hold voting or dispositive power over the 4,399,376 common shares held by Allen & Company LLC, but has a beneficial interest in 1,139,533 common shares held by Allen & Company LLC for the account of Mr. Simon.