UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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 | ||||
Convertible Series B Preferred Stock | 05/23/2014 | 05/23/2024 | Common Stock | 3,932,018 | $ 7.25 | D (3) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kaluzny Stefan L C/O SYCAMORE PARTNERS 9 WEST 57TH STREET NEW YORK, NY 10019 |
 X |  X |  |  |
Sycamore Partners MM, L.L.C. C/O SYCAMORE PARTNERS 9 WEST 57TH STREET NEW YORK, NY 10019 |
 |  X |  |  |
Sycamore Partners GP, L.L.C. C/O SYCAMORE PARTNERS 9 WEST 57TH STREET NEW YORK, NY 10019 |
 |  X |  |  |
Lemur LLC C/O SYCAMORE PARTNERS 9 WEST 57TH STREET NEW YORK, NY 10019 |
 |  |  | Part of 10% owner group |
Aero Investors LLC C/O SYCAMORE PARTNERS 9 WEST 57TH STREET NEW YORK, NY 10019 |
 |  |  | Part of 10% owner group |
/s/ Stefan L. Kaluzny | 05/30/2014 | |
**Signature of Reporting Person | Date | |
/s/ Stefan L. Kaluzny, Managing Member of Sycamore Partners MM, L.L.C. | 05/30/2014 | |
**Signature of Reporting Person | Date | |
/s/ Stefan L. Kaluzny, Managing Member of Sycamore Partners MM, L.L.C., the General Partner of Sycamore Partners GP, L.L.C. | 05/30/2014 | |
**Signature of Reporting Person | Date | |
/s/ Stefan L. Kaluzny, Managing Member of Sycamore Partners MM, L.L.C., the General Partner of Sycamore Partners GP, L.L.C., the Managing Member of SP Investment Holdings L.P., the Managing Member of Lemur LLC | 05/30/2014 | |
**Signature of Reporting Person | Date | |
/s/ Stefan L. Kaluzny, President and Chief Executive Officer of Aero Investors LLC | 05/30/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These securities are owned by Lemur LLC, which is a member of a "group" with Aero Investors LLC, Sycamore Partners GP, L.L.C., Sycamore Partners MM, L.L.C. and Stefan Kaluzny for purposes of Section 13(d) of the Exchange Act. |
(2) | These securities are beneficially owned by Aero Investors LLC, which is a member of a "group" with Lemur LLC, Sycamore Partners GP, L.L.C., Sycamore Partners MM, L.L.C. and Stefan Kaluzny for purposes of Section 13(d) of the Exchange Act. These securities represent the shares of common stock issuable upon the full conversion of the 1,000 shares of Series B convertible preferred stock of the Issuer set forth in Table II and payment of the $7.25 per share conversion price thereof. |
(3) | This represents 1,000 shares of Convertible Series B Preferred Stock that are beneficially owned by Aero Investors LLC, which is a member of a "group" with Aero Investors LLC, Sycamore Partners GP, L.L.C., Sycamore Partners MM, L.L.C. and Stefan Kaluzny for purposes of Section 13(d) of the Exchange Act. |