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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Advent CR, Inc. C/O ADVENT INTERNATIONAL CORPORATION 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
Advent CR Cayman Limited Partnership C/O ADVENT INTERNATIONAL CORPORATION 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI LP C/O ADVENT INTERNTAIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL CORP/MA C/O ADVENT INTERNATIONAL CORPORATION 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI-A LP C/O ADVENT INTERNATIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI-B LP C/O ADVENT INTERNATIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI-C LP C/O ADVENT INTERNATIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI-D LP C/O ADVENT INTERNATIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI-E LP C/O ADVENT INTERNATIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X | |||
ADVENT INTERNATIONAL GPE VI-F LP C/O ADVENT INTERNATIONAL CORP 75 STATE STREET, 29TH FLOOR BOSTON, MA 02109 |
X |
SEE EXHIBIT 99.1 | 10/14/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Represents the shares of Common Stock of Charlotte Russe Holding, Inc. directly owned by Advent CR, Inc. ("Purchaser"). All other entities or persons are included within this report due to their affiliation with Purchaser. |
(2) | The shares of Common Stock of Charlotte Russe may be deemed to be indirectly beneficially owned by the following, all of which are Reporting Persons: (a) Advent CR Holdings, Inc., the sole stockholder of Purchaser ("Parent"), (ii) Advent CR Cayman Limited Partnership, the controlling stockholder of Parent ("Advent Cayman"), (iii) Advent International GPE VI Limited Partnership ("GPE VI"), Advent International GPE VI-A Limited Partnership ("GPE VI-A"), Advent International GPE VI-B Limited Partnership ("GPE VI-B"), Advent International GPE VI-C Limited Partnership ("GPE VI-C"), Advent International GPE VI-D Limited Partnership ("GPE VI-D"), Advent International GPE VI-E Limited Partnership ("GPE VI-E"), Advent International GPE VI-F Limited Partnership ("GPE VI-F"), Advent International GPE VI-G Limited Partnership ("GPE VI-G"), |
(3) | [Continuation of Footnote 2] Advent Partners GPE VI 2008 Limited Partnership ("AP GPE VI 2008"), Advent Partners GPE VI 2009 Limited Partnership ("AP GPE VI 2009") and Advent Partners GPE VI-A Limited Partnership ("AP GPE VI-A," collectively, the "Advent Funds"), which are the interest holders of Advent Cayman, (iv) Advent CR GP Limited, which is the general partner of Advent Cayman, (v) GPE VI GP Limited Partnership, a Cayman Islands limited partnership ("GPE VI GP"), which is the general partner of GPE VI, GPE VI-A, GPE VI-B, GPE VI-F and GPE VI-G, (vi) GPE VI GP (Delaware) Limited Partnership, a Delaware limited partnership ("GPE VI GP Delaware"), which is the general partner of GPE VI-C, GPE VI-D and GPE VI-E, |
(4) | [Continuation of Footnote 2] (vii) Advent International LLC, a Massachusetts limited liability company ("Advent LLC," and collectively with GPE VI GP and GPE VI GP Delaware, the "Advent General Partners"), which is the general partner of AP GPE VI-A, AP GPE VI 2008, AP GPE VI 2009, GPE VI GP, and GPE VI GP (Delaware) and (viii) Advent International Corporation, a Delaware corporation and the manager of Advent LLC. The Reporting Persons listed in this footnote disclaim beneficial ownership of the reported Common Stock, and this report shall not be deemed an admission that the Reporting Persons listed in this footnote are the beneficial owners of the reported Common Stock for the purpose of Section 16 or any other purpose, except, in each case, to the extent of its pecuniary interest therein. |
Remarks: Due to technical limitations in the number of reporting persons that can be included in a single filing, this Form 4 is the first of two filings referencing identical transactions entered into by the filing group. See Exhibit 99.1 - Signatures. |