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  1. Home
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  6. HA Sustainable Infrastructure Capital Inc (HASI)

  7. HA Sustainable Infrastructure Capital Inc (HASI) News

HASI HA Sustainable Infrastructure Capital Inc

31.20
-1.52 (-4.65%)
15 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
HA Sustainable Infrastructure Capital Inc NYSE:HASI NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -1.52 -4.65% 31.20 32.48 30.93 32.23 1,455,728 23:24:45

Annual Statement of Changes in Beneficial Ownership (5)

07/02/2022 9:07pm

Edgar (US Regulatory)


FORM 5
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

                                                                                  
OMB APPROVAL
OMB Number: 3235-0362
Estimated average burden
hours per response... 1.0                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Eckel Jeffrey		2. Issuer Name and Ticker or Trading Symbol

Hannon Armstrong Sustainable Infrastructure Capital, Inc. [HASI]		 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

1906 TOWNE CENTRE BLVD. SUITE 370		3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
12/31/2021 
(Street)

ANNAPOLIS, MD 21401
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed(MM/DD/YYYY)
 
6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)		2. Trans. Date2A. Deemed Execution Date, if any3. Trans. 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)
Amount(A) or (D)Price
Common stock, par value $0.01 per share 5/17/2021  J 90476 (1)D$0 16637 D  
Common stock, par value $0.01 per share 5/17/2021  J 90476 A$0 571563 (2)I By Jeffrey W. Eckel Revocable Trust 
Common stock, par value $0.01 per share 12/13/2021  G 38724 D$0 532839 (2)I By Jeffrey W. Eckel Revocable Trust 
Common stock, par value $0.01 per share 12/13/2021  G 35461 (3)A$0 80681 (4)I By Chesapeake Power Foundation 
Common stock, par value $0.01 per share        67661 (5)I By Chesapeake Power LLC 
Common stock, par value $0.01 per share        37000 (6)I By spouse 
Common stock, par value $0.01 per share        2536 (7)I By grandson 

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)		2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. 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
(MM/DD/YYYY)		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 at End of Issuer's Fiscal Year
(Instr. 4)		10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)		11. Nature of Indirect Beneficial Ownership
(Instr. 4)
(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
LTIP Units           (8)(9) (10)Common stock, par value $0.01 per share 508026.0  508026 I By HASI Management HoldCo LLC (11)
Explanation of Responses:
(1) 90,476 shares were transferred from Mr. Eckel's direct holdings to the Jeffrey W. Eckel Revocable Trust during the year ended December 31, 2021.
(2) These shares are held by the Jeffrey W. Eckel Revocable Trust, of which Jeffrey W. Eckel is the sole trustee and beneficiary.
(3) 35,461 shares were transferred from the Jeffrey W. Eckel Revocable Trust to the Chesapeake Power Foundation during the year ended December 31, 2021.
(4) These shares are held by the Chesapeake Power Foundation, the activities of which Jeffrey W. Eckel has the sole ability to direct.
(5) These shares are held by Chesapeake Power, LLC, of which Jeffrey W. Eckel is the sole member.
(6) These shares are held by the reporting person's spouse. The reporting person disclaims ownership other than to the extent of his pecuniary interest.
(7) The reporting person acts as custodian for his grandson under the Uniform Gifts to Minors Act. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
(8) 508,026 units of limited partner interest ("OP Units") in Hannon Armstrong Sustainable Infrastructure, LP (the "Partnership") are issuable upon the vesting and conversion of 508,026 long-term incentive plan units ("LTIP Units") in the Partnership. The LTIP Units were granted to the Reporting Person under the Issuer's 2013 Equity Incentive Plan, as amended.
(9) Vested LTIP Units, after achieving parity with OP Units (as described in the Partnership's Amended and Restated Agreement of Limited Partnership (the "Partnership Agreement")), are eligible to be converted into OP Units on a one-for-one basis upon the satisfaction of conditions set forth in the Partnership Agreement. Upon conversion of LTIP Units into OP Units, the Reporting Person will have the right to cause the Partnership to redeem a portion of the Reporting Person's OP Units for cash in an amount equal to the market value (as defined in the Partnership Agreement) of an equivalent number of shares of common stock, par value $0.01 per share, of Hannon Armstrong Sustainable Infrastructure Capital, Inc. (the "Issuer"), or at the Issuer's option, shares of the Issuer's common stock on a one-for-one basis, subject to certain adjustments.
(10) N/A
(11) These LTIP Units are held by HASI Management HoldCo LLC ("HoldCo LLC"). The Reporting Person is a member of HoldCo LLC. The LTIP Units reported represent only the number of LTIP Units in which the Reporting Person has a pecuniary interest in accordance with his proportionate interest in HoldCo LLC. The Reporting Person is voluntarily reporting his proportionate interest in HoldCo LLC's ownership of LTIP Units. The Reporting Person disclaims beneficial ownership other than to the extent of his pecuniary interest.
Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Eckel Jeffrey
1906 TOWNE CENTRE BLVD. SUITE 370
ANNAPOLIS, MD 21401		X
President and CEO
Signatures
/s/ Jeffrey Eckel2/7/2022
**Signature of Reporting PersonDate

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