Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 31, 2022
NorthWestern Corporation
(Exact name of registrant as specified in its charter)
Delaware
1-10499
46-0172280
(State or other jurisdiction of incorporation or organization)
(Commission File Number)
(I.R.S. Employer Identification No.)
3010 W. 69th Street
Sioux Falls
South Dakota
57108
(Address of principal executive offices)
(Zip Code)
Registrant’s telephone number, including area code: 605-978-2900
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common stock
NWE
Nasdaq Stock Market LLC
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))
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging Growth Company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
On August 31, 2022, NorthWestern Corporation d/b/a NorthWestern Energy (Nasdaq: NWE) (NorthWestern) announced that Heather Grahame, General Counsel and Vice President – Regulatory and Federal Government Affairs, informed the company that she will retire from her position as of January 1, 2023.
In the same announcement, NorthWestern announced that, effective September 1, 2022, Curtis Pohl would move to a newly created role and become Vice President – Asset Management & Business Development. At the same time, Jason Merkel will move into an executive leadership role and succeed Mr. Pohl as Vice President – Distribution. There are no changes to Mr. Pohl’s existing compensation related to his new role.
NorthWestern also announced, effective January 1, 2023, that Cyndee Fang and Shannon Heim will join its executive team as, respectively, Vice President – Regulatory and Vice President and General Counsel.
A copy of NorthWestern’s press release issued on August 31, 2022, concerning these announcements is attached hereto as Exhibit 99.1.
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
