FORM 3
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Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * GENERAL ELECTRIC CO |
2. Date of Event Requiring Statement (MM/DD/YYYY)
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3. Issuer Name and Ticker or Trading Symbol TPI COMPOSITES, INC [TPIC] |
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below) _____ Other (specify below) |
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially Owned |
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1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series B Convertible Preferred Stock | (2) | (2) | Common Stock | 2199548 | (2) | I | Note (1) |
Series B-1 Convertible Preferred Stock | (2) | (2) | Common Stock | 310113 | (2) | I | Note (1) |
Senior Redeemable Preferred Stock | (2) | (2) | Common Stock | 285573 | (2) | I | Note (1) |
Super Senior Redeemable Preferred Stock | (2) | (2) | Common Stock | 47595 | (2) | I | Note (1) |
Series B Warrants | (3) | (3) | Series B Convertible Preferred Stock | 1.7145 | $8748.81 | I | Note (1) |
Remarks:
Exhibit 24.1 - Power of Attorney (General Electric) and Exhibit 99.1 - Joint Filer Information, each incorporated herein by reference. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
GENERAL ELECTRIC CO
3135 EASTON TURNPIKE FAIRFIELD, CT 06828 |
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X |
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GE Ventures Ltd
3220 AVIATION HOUSE WESTPARK SHANNON, COUNTY CLARE, L2 00000 |
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X |
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Signatures
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/s/ Barbara Lane, Attorney-in-fact/General Electric Company | 7/21/2016 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
Jim Waterbury
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Dan Henson
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Annie Bortolot
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Barbara Lane
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Peter Dibiasi
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David Nason
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Robert Roderick
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Louis Natale
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Brian Schwinn
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Gail Pflederer
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Peter Cooke
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Michael Pastore
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Barbara J. Gould
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Paul Halas
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General Electric Company | ||
By:
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/s/ Christoph A. Pereira
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Christoph A. Pereira
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Chief Corporate, Securities & Finance Counsel and Associate Secretary
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Attest:
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/s/ Brandon Smith
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Brandon Smith
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Attesting Secretary
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Name of Joint Filer:
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GE Ventures Limited
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Address of Joint Filer:
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3220 Aviation House, Westpark
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Shannon, County Clare, Ireland
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Relationship of Joint Filer to Issuer:
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10% Owner
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Issuer Name and Ticker or Trading Symbol:
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TPI Composites, Inc. (TPIC)
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Date of Event Requiring
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Statement (Month/Day/Year):
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7/21/2016
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Designated Filer:
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General Electric Company
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Signature:
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GE VENTURES LIMITED
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/s/ Kelly Warrick
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Name: Kelly Warrick
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Title: Authorized signatory
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July 21, 2016
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Date
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