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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM 8-K
</B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant
to Section&nbsp;13 or 15(d) </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of Earliest Event Reported):&nbsp;September&nbsp;26, 2013 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>PATTERN ENERGY GROUP INC. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>001-36087</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>90-0893251</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>(State or other jurisdiction</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>(Commission</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(IRS Employer</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>of incorporation)</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>File Number)</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>Identification Number)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Pier 1, Bay 3 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>San Francisco, CA 94111 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address and zip code of principal executive offices) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(415) 283-4000 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s telephone number, including area code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former
name or former address, if changed since last report) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below
if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): </P>
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<TD ALIGN="left" VALIGN="top">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR&nbsp;240.14d-2(b)) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></TD>
<TD ALIGN="left" VALIGN="top">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </TD></TR></TABLE> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>

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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;1.01. Entry into a Material Definitive Agreement. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On October&nbsp;2, 2013, Pattern Energy Group Inc., a Delaware corporation (the &#147;Company&#148;), closed its initial public offering (the
&#147;Offering&#148;) of 16,000,000 shares of its Class&nbsp;A common stock, par value $0.01 per share (&#147;Class A shares&#148;). Concurrent with the closing of its initial public offering (the &#147;Offering&#148;), the Company engaged in a
series of restructuring transactions (the &#147;Contribution Transactions&#148;) and, in connection therewith, entered into the following agreements, each dated as of October&nbsp;2, 2013 (the &#147;Transactions Agreements&#148;): </P>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="1%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">Registration Rights Agreement between the Company and Pattern Energy Group LP; </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="1%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">Contribution Agreement among the Company, Pattern Renewables LP, Pattern Energy Group LP, and Pattern Renewable Holdings Canada ULC (the &#147;Contribution Agreement&#148;); </TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="1%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">Purchase Rights Agreement among the Company, Pattern Energy Group LP, Pattern Energy Group Holdings LP and Pattern Energy GP LLC; </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="1%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">Bilateral Management Services Agreement between the Company and Pattern Energy Group LP; </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="1%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">Non-Competition Agreement between the Company and Pattern Energy Group LP; and </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR>
<TD WIDTH="4%">&nbsp;</TD>
<TD WIDTH="1%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">Shareholder Approval Rights Agreement between the Company and Pattern Energy Group LP. </TD></TR></TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Copies
of the Transaction Agreements are filed as exhibits to this report and are incorporated into this Item&nbsp;1.01 by reference. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">A form of
each of the Transaction Agreements was filed as an exhibit to the Company&#146;s Registration Statement on Form S-1, as amended (File No.&nbsp;333-190538), initially filed by the Company with the U.S. Securities and Exchange Commission (the
&#147;Commission&#148;) in connection with the Offering on August&nbsp;9, 2013 (the &#147;Registration Statement&#148;). The material terms of the Offering are described in the prospectus, dated September&nbsp;26, 2013 (the &#147;Prospectus&#148;),
filed by the Company with the Commission on September&nbsp;27, 2013 pursuant to Rule 424(b)(1) under the Securities Act of 1933, as amended (the &#147;Securities Act&#148;). More detailed descriptions concerning the Transaction Agreements are set
forth in the Registration Statement of which the Prospectus forms a part. Such descriptions in the Prospectus are incorporated herein. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;3.02.
Unregistered Sale of Equity Securities. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The information in Item&nbsp;8.01 is incorporated herein by reference. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item 7.01 Regulation FD Disclosure. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On
October 2, 2013, the Company issued a press release in connection with the closing of the Offering. A copy of the press release is furnished as Exhibit 99.1 to this Form 8-K and is incorporated by reference herein. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In accordance with General Instruction B.2 of Form 8-K, the press release is deemed to be &#147;furnished&#148; and shall not be deemed
&#147;filed&#148; for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the &#147;Exchange Act&#148;), or otherwise subject to the liabilities of that section, nor shall such information and Exhibit 99.1 be deemed
incorporated by reference into any filing under the Securities Act or the Exchange Act. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;8.01 Other Events. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On September&nbsp;26, 2013, in connection with the Offering, the Company entered into an underwriting agreement (the &#147;Underwriting
Agreement&#148;), by and among BMO Nesbitt Burns Inc., RBC Dominion Securities Inc. and Morgan Stanley&nbsp;&amp; Co. LLC, as representatives of the several underwriters listed in Schedule I of the Underwriting Agreement (the
&#147;Underwriters&#148;), Pattern Renewables LP, a Delaware limited partnership (the &#147;Selling Stockholder&#148;), Pattern Energy Group LP, a Delaware limited partnership and the sole member of the general partner of the Selling Stockholder
(&#147;PEG LP&#148; and, together with the Selling Stockholder, the &#147;PEG Parties&#148;), and the Company, providing for the offer and sale by the Company, and purchase by the Underwriters, of 16,000,000 Class&nbsp;A shares at a price to the
public of $22.00 per share. Pursuant to the Underwriting Agreement, the Selling Stockholder also granted the Underwriters an option for a period of 30 days from the closing of the Offering to purchase up to an additional 2,400,000 Class&nbsp;A
shares, if any, from the Selling Stockholder on the same terms. The Company will not receive any proceeds from any exercise by the Underwriters of their option to purchase additional shares from the Selling Stockholder. </P>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">2 </P>


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 <P STYLE="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Underwriting Agreement, the form of which was filed as Exhibit 1.1 to the Registration
Statement, contains customary representations, warranties and agreements of the Company and the PEG Parties, and customary conditions to closing, obligations of the parties and termination provisions. The Company and the PEG Parties have agreed to
indemnify the Underwriters against certain liabilities, including liabilities under the Securities Act, or to contribute to payments the Underwriters may be required to make because of any of those liabilities. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company received net proceeds (after deducting underwriting discounts and commissions and offering expenses) from the Offering of
approximately $318.6 million. As described in the Prospectus, the Company will use the net proceeds from the Offering as partial consideration for its initial portfolio of wind assets that were contributed to the Company by PEG LP in connection with
the completion of the Offering, to repay the outstanding indebtedness under the Company&#146;s revolving credit facility and the remainder for working capital and general corporate purposes. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In connection with the restructuring transactions, and pursuant to the Contribution Agreement referred to above, the Company also issued to
PEG LP 19,445,000 Class&nbsp;A shares and 15,555,000 shares of its Class B common stock, par value $0.01 per share (&#147;Class B shares&#148;), as partial consideration for the assets contributed to it by PEG LP (the &#147;Consideration
Shares&#148;). The Consideration Shares were issued in reliance on the registration exemption contained in Section&nbsp;4(a)(2) of the Securities Act on the basis that the transaction did not involve a public offering, as well as the safe harbor
provided by Rule 506 of Regulation D under the Securities Act. No underwriters were involved in the transaction. As a result, immediately following the closing of the Offering and PEG LP&#146;s distribution of shares to certain members of
management, PEG LP held approximately 54.2% of the outstanding Class&nbsp;A shares and 99.1% of the outstanding Class B shares (and will hold 47.5% and 99.1%, respectively, if the Underwriters exercise their option to purchase additional
Class&nbsp;A shares in full), representing in the aggregate an approximate 67.9% voting interest in the Company (or a 63.2% voting interest if the Underwriters exercise their option to purchase additional Class&nbsp;A shares in full). The remaining
0.9% of the outstanding Class B shares are held by members of the Company&#146;s management. A description of the Company&#146;s capital stock, including in respect of the Class&nbsp;A shares and Class B shares, is included in the Prospectus under
the heading &#147;Description of Capital Stock.&#148; </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;9.01 Financial Statements and Exhibits. </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Exhibit</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1.00pt solid #000000; width:28.45pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Number</B></P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE="border-bottom:1.00pt solid #000000; width:39.50pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>10.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Registration Rights Agreement between the Company and Pattern Energy Group LP, dated as of October&nbsp;2, 2013.</TD></TR>
<TR>
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<TD VALIGN="top" NOWRAP>10.2</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Contribution Agreement among the Company, Pattern Renewables LP, Pattern Energy Group LP, and Pattern Renewable Holdings Canada ULC, dated as of October&nbsp;2, 2013.</TD></TR>
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<TD VALIGN="top" NOWRAP>10.3</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Purchase Rights Agreement among the Company, Pattern Energy Group LP, Pattern Energy Group Holdings LP and Pattern Energy GP LLC, dated as of October&nbsp;2, 2013.</TD></TR>
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<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
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<TD VALIGN="top" NOWRAP>10.4</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Bilateral Management Services Agreement between the Company and Pattern Energy Group LP, dated as of October&nbsp;2, 2013.</TD></TR>
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<TD VALIGN="top" NOWRAP>10.5</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Non-Competition Agreement between the Company and Pattern Energy Group LP, dated October&nbsp;2, 2013.</TD></TR>
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<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>10.6</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Shareholder Approval Rights Agreement between the Company and Pattern Energy Group LP, dated as of October&nbsp;2, 2013.</TD></TR>
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<TD HEIGHT="8"></TD>
<TD HEIGHT="8" COLSPAN="2"></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top" NOWRAP>99.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top">Press Release dated October&nbsp;2, 2013 announcing the closing of Pattern Energy Group Inc.&#146;s initial public offering.</TD></TR>
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 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">3 </P>


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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURE </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><B>PATTERN ENERGY GROUP INC.</B></TD></TR>
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<TD VALIGN="top"> <P STYLE="margin-left:1.00em; text-indent:-1.00em; font-size:10pt; font-family:Times New Roman">Dated:&nbsp;October 2, 2013</P></TD>
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<TD VALIGN="bottom">By:</TD>
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<TD VALIGN="bottom">/s/ Dyann S. Blaine</TD></TR>
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<TD VALIGN="bottom">Name:</TD>
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<TD VALIGN="bottom">Dyann S. Blaine</TD></TR>
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<TD VALIGN="bottom">Title:</TD>
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<TD VALIGN="bottom">Vice President and Secretary</TD></TR>
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8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): September 26, 2013
PATTERN ENERGY GROUP INC.
(Exact name of registrant as specified in its charter)
Delaware
001-36087
90-0893251
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
File Number)
Identification Number)
Pier 1, Bay 3
San Francisco, CA 94111
(Address and zip code of principal executive offices)
(415) 283-4000
(Registrant's telephone number, including area code)
Not Applicable
(Former
name or former address, if changed since last report)
Check the appropriate box below
if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 1.01. Entry into a Material Definitive Agreement.
On October 2, 2013, Pattern Energy Group Inc., a Delaware corporation (the "Company"), closed its initial public offering (the
"Offering") of 16,000,000 shares of its Class A common stock, par value $0.01 per share ("Class A shares"). Concurrent with the closing of its initial public offering (the "Offering"), the Company engaged in a
series of restructuring transactions (the "Contribution Transactions") and, in connection therewith, entered into the following agreements, each dated as of October 2, 2013 (the "Transactions Agreements"):
•
Registration Rights Agreement between the Company and Pattern Energy Group LP;
•
Contribution Agreement among the Company, Pattern Renewables LP, Pattern Energy Group LP, and Pattern Renewable Holdings Canada ULC (the "Contribution Agreement");
•
Purchase Rights Agreement among the Company, Pattern Energy Group LP, Pattern Energy Group Holdings LP and Pattern Energy GP LLC;
•
Bilateral Management Services Agreement between the Company and Pattern Energy Group LP;
•
Non-Competition Agreement between the Company and Pattern Energy Group LP; and
•
Shareholder Approval Rights Agreement between the Company and Pattern Energy Group LP.
Copies
of the Transaction Agreements are filed as exhibits to this report and are incorporated into this Item 1.01 by reference.
A form of
each of the Transaction Agreements was filed as an exhibit to the Company's Registration Statement on Form S-1, as amended (File No. 333-190538), initially filed by the Company with the U.S. Securities and Exchange Commission (the
"Commission") in connection with the Offering on August 9, 2013 (the "Registration Statement"). The material terms of the Offering are described in the prospectus, dated September 26, 2013 (the "Prospectus"),
filed by the Company with the Commission on September 27, 2013 pursuant to Rule 424(b)(1) under the Securities Act of 1933, as amended (the "Securities Act"). More detailed descriptions concerning the Transaction Agreements are set
forth in the Registration Statement of which the Prospectus forms a part. Such descriptions in the Prospectus are incorporated herein.
Item 3.02.
Unregistered Sale of Equity Securities.
The information in Item 8.01 is incorporated herein by reference.
Item 7.01 Regulation FD Disclosure.
On
October 2, 2013, the Company issued a press release in connection with the closing of the Offering. A copy of the press release is furnished as Exhibit 99.1 to this Form 8-K and is incorporated by reference herein.
In accordance with General Instruction B.2 of Form 8-K, the press release is deemed to be "furnished" and shall not be deemed
"filed" for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall such information and Exhibit 99.1 be deemed
incorporated by reference into any filing under the Securities Act or the Exchange Act.
Item 8.01 Other Events.
On September 26, 2013, in connection with the Offering, the Company entered into an underwriting agreement (the "Underwriting
Agreement"), by and among BMO Nesbitt Burns Inc., RBC Dominion Securities Inc. and Morgan Stanley & Co. LLC, as representatives of the several underwriters listed in Schedule I of the Underwriting Agreement (the
"Underwriters"), Pattern Renewables LP, a Delaware limited partnership (the "Selling Stockholder"), Pattern Energy Group LP, a Delaware limited partnership and the sole member of the general partner of the Selling Stockholder
("PEG LP" and, together with the Selling Stockholder, the "PEG Parties"), and the Company, providing for the offer and sale by the Company, and purchase by the Underwriters, of 16,000,000 Class A shares at a price to the
public of $22.00 per share. Pursuant to the Underwriting Agreement, the Selling Stockholder also granted the Underwriters an option for a period of 30 days from the closing of the Offering to purchase up to an additional 2,400,000 Class A
shares, if any, from the Selling Stockholder on the same terms. The Company will not receive any proceeds from any exercise by the Underwriters of their option to purchase additional shares from the Selling Stockholder.
2
The Underwriting Agreement, the form of which was filed as Exhibit 1.1 to the Registration
Statement, contains customary representations, warranties and agreements of the Company and the PEG Parties, and customary conditions to closing, obligations of the parties and termination provisions. The Company and the PEG Parties have agreed to
indemnify the Underwriters against certain liabilities, including liabilities under the Securities Act, or to contribute to payments the Underwriters may be required to make because of any of those liabilities.
The Company received net proceeds (after deducting underwriting discounts and commissions and offering expenses) from the Offering of
approximately $318.6 million. As described in the Prospectus, the Company will use the net proceeds from the Offering as partial consideration for its initial portfolio of wind assets that were contributed to the Company by PEG LP in connection with
the completion of the Offering, to repay the outstanding indebtedness under the Company's revolving credit facility and the remainder for working capital and general corporate purposes.
In connection with the restructuring transactions, and pursuant to the Contribution Agreement referred to above, the Company also issued to
PEG LP 19,445,000 Class A shares and 15,555,000 shares of its Class B common stock, par value $0.01 per share ("Class B shares"), as partial consideration for the assets contributed to it by PEG LP (the "Consideration
Shares"). The Consideration Shares were issued in reliance on the registration exemption contained in Section 4(a)(2) of the Securities Act on the basis that the transaction did not involve a public offering, as well as the safe harbor
provided by Rule 506 of Regulation D under the Securities Act. No underwriters were involved in the transaction. As a result, immediately following the closing of the Offering and PEG LP's distribution of shares to certain members of
management, PEG LP held approximately 54.2% of the outstanding Class A shares and 99.1% of the outstanding Class B shares (and will hold 47.5% and 99.1%, respectively, if the Underwriters exercise their option to purchase additional
Class A shares in full), representing in the aggregate an approximate 67.9% voting interest in the Company (or a 63.2% voting interest if the Underwriters exercise their option to purchase additional Class A shares in full). The remaining
0.9% of the outstanding Class B shares are held by members of the Company's management. A description of the Company's capital stock, including in respect of the Class A shares and Class B shares, is included in the Prospectus under
the heading "Description of Capital Stock."
Item 9.01 Financial Statements and Exhibits.
Exhibit
Number
Description
10.1
Registration Rights Agreement between the Company and Pattern Energy Group LP, dated as of October 2, 2013.
10.2
Contribution Agreement among the Company, Pattern Renewables LP, Pattern Energy Group LP, and Pattern Renewable Holdings Canada ULC, dated as of October 2, 2013.
10.3
Purchase Rights Agreement among the Company, Pattern Energy Group LP, Pattern Energy Group Holdings LP and Pattern Energy GP LLC, dated as of October 2, 2013.
10.4
Bilateral Management Services Agreement between the Company and Pattern Energy Group LP, dated as of October 2, 2013.
10.5
Non-Competition Agreement between the Company and Pattern Energy Group LP, dated October 2, 2013.
10.6
Shareholder Approval Rights Agreement between the Company and Pattern Energy Group LP, dated as of October 2, 2013.
99.1
Press Release dated October 2, 2013 announcing the closing of Pattern Energy Group Inc.'s initial public offering.
3
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
PATTERN ENERGY GROUP INC.
Dated: October 2, 2013
By:
/s/ Dyann S. Blaine
Name:
Dyann S. Blaine
Title:
Vice President and Secretary