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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Algonquin Power | NYSE:AQN | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.07 | 1.14% | 6.20 | 6.25 | 6.17 | 6.20 | 3,029,156 | 01:00:00 |
Canada
(State or other jurisdiction of incorporation or organization)
|
Not Applicable
(I.R.S. Employer)
Identification No.)
|
354 Davis Road
Oakville, Ontario
L6J 2X1, Canada
(Address of principal executive offices)
|
Not Applicable
(Zip Code)
|
Large accelerated filer
|
☐
|
Accelerated filer
|
☒
|
Non-accelerated filer
|
☐
|
Smaller reporting company
|
☐
|
Title of Securities
Being Registered
|
Amount
to be
Registered
(1)
|
Proposed
Maximum
Offering Price
Per Share
(2)(3)
|
Proposed
Maximum
Aggregate
Offering Price
(2)(3)
|
Amount of
Registration
Fee
(3)
|
Common Shares, no par value
|
1,000,000
|
$9.11
|
$9,110,000
|
$917.38
|
(1) |
Pursuant to Rule 416(a) under the Securities Act of 1933, as amended, (the “Securities Act”), this Registration Statement shall also cover any additional common shares which become issuable under the Plans by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration which results in an increase in the number of outstanding shares.
|
(2) |
Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(c) and 457(h) under the Securities Act and is based upon the average of the high and low selling prices per share of the Registrant’s Common Shares, as reported on The Toronto Stock Exchange on September 12, 2016, which was Cdn$11.92 per share.
|
(3) |
U.S. dollar amounts are calculated based on the Bank of Canada noon rate of exchange reported on September 12, 2016, which was Cdn$1.00=US$0.7647.
|
Item 1. |
Plan Information.*
|
Item 2. |
Registrant Information and Employee Plan Annual Information.*
|
* |
As permitted by Rule 428 under the Securities Act, this Registration Statement omits the information specified in Part I of Form S-8. The documents containing the information specified in Part I will be delivered to the participants in the plan covered by this Registration Statement as required by Rule 428(b). Such documents are not being filed with the Securities and Exchange Commission (the “Commission”) as part of this Registration Statement or as prospectuses or prospectus supplements pursuant to Rule 424 under the Securities Act. These documents and the documents incorporated by reference in this Registration Statement pursuant to Item 3 of Part II hereof, taken together, constitute a prospectus that meets the requirements of Section 10(a) of the Securities Act. The Registrant will provide a written statement to participants advising them of the availability without charge, upon written or oral request, of the documents incorporated by reference in Item 3 of Part II hereof and including the statement in the preceding sentence. The written statement to all participants will indicate the availability without charge, upon written or oral request, of other documents required to be delivered pursuant to Rule 428(b), and will include the address and telephone number to which the request is to be directed.
|
Item 3. |
Incorporation of Documents by Reference.
|
(a) |
The Registrant’s Annual Report on Form 40-F for the year ended December 31, 2015, filed with the Commission on March 15, 2016;
|
(b) |
Each of the Registrant’s Reports on Form 6-K furnished to the Commission on or after January 1, 2016 and prior to the date of this Registration Statement; and
|
(c) |
The description of the Registrant’s Common Shares contained in the Registrant’s Registration Statement No. 000-53808 on Form 8-A, as filed with the Commission on October 27, 2009, pursuant to Section 12(g) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), including any amendment or report filed for the purpose of updating such description.
|
Item 4. |
Description of Securities.
|
Item 5. |
Interests of Named Experts and Counsel.
|
Item 6. |
Indemnification of Directors and Officers.
|
Item 7. |
Exemption from Registration Claimed.
|
Item 8. |
Exhibits.
|
Item 9. |
Undertakings.
|
(a) |
The undersigned Registrant hereby undertakes:
|
(1) |
To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:
|
(i) |
To include any prospectus required by Section 10(a)(3) of the Securities Act;
|
(ii) |
To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement; and
|
(iii) |
To include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the registration statement;
|
(2) |
That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be an initial bona fide offering thereof;
|
(3) |
To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering; and
|
(b) |
The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
|
(h) |
Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
|
ALGONQUIN POWER & UTILITIES CORP.
|
||
By:
|
/s/ David Bronicheski
|
|
Name:
|
David Bronicheski
|
|
Title:
|
Chief Financial Officer
|
Signature
|
Title of Capacities
|
Date
|
||
/s/ Ian Robertson
|
Chief Executive Officer and Director
|
September 15, 2016
|
||
Ian Robertson
|
(principal executive officer)
|
|||
/s/ David Bronicheski
|
Chief Financial Officer
|
September 15, 2016
|
||
David Bronicheski
|
(principal financial officer and principal accounting officer)
|
|||
/s/ Kenneth Moore
|
Director, Chair of the Board
|
September 15, 2016
|
||
Kenneth Moore
|
||||
/s/ Dilek L. Samil
|
Director
|
September 15, 2016
|
||
Dilek L. Samil
|
||||
/s/ Christopher J. Ball
|
Director
|
September 15, 2016
|
||
Christopher J. Ball
|
||||
/s/ Christopher Huskilson
|
Director
|
September 15, 2016
|
||
Christopher Huskilson
|
||||
/s/ Christopher K. Jarratt
|
Director
|
September 15, 2016
|
||
Christopher K. Jarratt
|
||||
/s/ Masheed Saidi
|
Director
|
September 15, 2016
|
||
Masheed Saidi
|
||||
/s/ George L. Steeves
|
Director
|
September 15, 2016
|
||
George L. Steeves
|
||||
/s/ Melissa Stapleton Barnes
|
Director
|
September 15, 2016
|
||
Melissa Stapleton Barnes
|
By:
|
/s/ Greg Sorensen
|
|
Name:
|
Greg Sorensen
|
|
Title:
|
President, Liberty Utilities Co.
|
1 Year Algonquin Power Chart |
1 Month Algonquin Power Chart |
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