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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter disclosures provided in a prior cover page
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1
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NAMES OF REPORTING PERSONS:
Algonquin Power & Utilities Corp.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) ☑
(b) □
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS:
BK, WC
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e): ☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION:
Canada
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER:
0
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8
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SHARED VOTING POWER:
41,557,663
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9
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SOLE DISPOSITIVE POWER:
0
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10
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SHARED DISPOSITIVE POWER:
41,557,663
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
41,557,663
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: ☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
41.5%
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14
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TYPE OF REPORTING PERSON:
CO, HC
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1
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NAMES OF REPORTING PERSONS:
Algonquin (AY Holdco) B.V.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) ☑
(b) □
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS:
AF
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e): ☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION:
Netherlands
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER:
0
|
|
8
|
SHARED VOTING POWER:
41,557,663
|
||
9
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SOLE DISPOSITIVE POWER:
0
|
||
10
|
SHARED DISPOSITIVE POWER:
41,557,663
|
||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
41,557,663
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: ☐
|
||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
41.5%
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14
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TYPE OF REPORTING PERSON:
CO, HC
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1
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NAMES OF REPORTING PERSONS:
AAGES (AY Holdings) B.V.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) ☑
(b) □
|
||
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS:
AF
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||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e): ☐
|
||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION:
Netherlands
|
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER:
0
|
|
8
|
SHARED VOTING POWER:
41,557,663
|
||
9
|
SOLE DISPOSITIVE POWER:
0
|
||
10
|
SHARED DISPOSITIVE POWER:
41,557,663
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||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
41,557,663
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: ☐
|
||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
41.5%
|
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14
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TYPE OF REPORTING PERSON:
CO
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ALGONQUIN POWER & UTILITIES CORP.
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By:
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/s/ Ian Robertson
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Name: Ian Robertson
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Title: Chief Executive Officer
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By:
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/s/ Chris Jarratt
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Name: Chris Jarratt
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Title: Vice Chair
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ALGONQUIN (AY HOLDCO) B.V.
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By:
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/s/ Ryan Robert Farquhar
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Name: Ryan Robert Farquhar
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Title: Managing Director A
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By:
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/s/ Laurens Klein
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Name: Laurens Klein
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Title: Managing Director B
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AAGES (AY HOLDINGS) B.V.
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By:
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/s/ Ryan Robert Farquhar
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Name: Ryan Robert Farquhar
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Title: Managing Director A
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By:
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/s/ Laurens Klein
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Name: Laurens Klein
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Title: Managing Director B
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ALGONQUIN POWER & UTILITIES CORP.
DIRECTORS
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Name
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Business Address
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Principal Occupation or
Employment
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Citizenship
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Christopher J. Ball
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229 Niagara Street
Toronto, Ontario M6J 2L5
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Executive Vice President, Corpfinance International Limited; President, CFI Capital Inc.
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Canada
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Christopher K. Jarratt
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Vice Chair,
Algonquin Power & Utilities Corp.
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Canada
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D. Randy Laney
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Director,
Algonquin Power & Utilities Corp.
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USA
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Kenneth Moore
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70 University Avenue, Suite 1400
Toronto, Ontario M5J 2M4
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Managing Partner,
NewPoint Capital Partners Inc.
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Canada
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Ian E. Robertson
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Chief Executive Officer,
Algonquin Power & Utilities Corp.
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Canada
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Masheed Saidi
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Director,
Algonquin Power & Utilities Corp.
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USA
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Dilek Samil
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Director,
Algonquin Power & Utilities Corp.
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USA
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Melissa Stapleton Barnes
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Lilly Corporate Center
Indianapolis, Indiana 46285
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Senior Vice President, Enterprise Risk Management, and Chief Ethics and Compliance Officer,
Eli Lilly and Company
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USA
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George L. Steeves
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30 Catherine Avenue
Aurora, Ontario L4G 1K5
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Senior Project Manager,
True North Energy
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Canada
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ALGONQUIN POWER & UTILITIES CORP.
EXECUTIVE OFFICERS
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Name
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Business Address
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Principal Occupation or Employment
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Citizenship
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Ian E. Robertson
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Chief Executive Officer,
Algonquin Power & Utilities Corp.
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Canada
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Christopher K. Jarratt
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Vice Chair,
Algonquin Power & Utilities Corp.
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Canada
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David Bronicheski
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Chief Financial Officer,
Algonquin Power & Utilities Corp.
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Canada
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ALGONQUIN (AY HOLDCO) B.V.
DIRECTORS
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|||
Name
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Business Address
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Principal Occupation or Employment
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Citizenship
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Ryan Robert Farquhar
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Vice President, International Development,
Algonquin Power & Utilities Corp.
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Canada
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Gerard Jan van Spall
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Strawinskylaan 3127,
Atrium Building 8th Floor
1077 ZX Amsterdam,
The Netherlands
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Business Unit Manager,
Vistra Netherlands
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Netherlands
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Laurentius Ireneus Winfridus Klein
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Strawinskylaan 3127,
Atrium Building 8th Floor
1077 ZX Amsterdam,
The Netherlands
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Business Unit Manager,
Vistra Netherlands
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Netherlands
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AAGES (AY HOLDINGS) B.V.
DIRECTORS
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Name
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Business Address
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Principal Occupation or Employment
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Citizenship
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Ryan Robert Farquhar
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354 Davis Road, Suite 100
Oakville, Ontario L6J 2X1
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Vice President, International Development,
Algonquin Power & Utilities Corp.
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Canada
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Gerard Jan van Spall
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Strawinskylaan 3127,
Atrium Building 8th Floor
1077 ZX Amsterdam,
The Netherlands
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Business Unit Manager,
Vistra Netherlands
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Netherlands
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Laurentius Ireneus Winfridus Klein
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Strawinskylaan 3127,
Atrium Building 8th Floor
1077 ZX Amsterdam,
The Netherlands
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Business Unit Manager,
Vistra Netherlands
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Netherlands
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