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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 | |
Compass Group Diversified Holdings LLC SIXTY ONE WILTON ROAD SECOND FLOOR WESTPORT, CT 06880 |
X |
/s/ James J. Bottiglieri, Chief Financial Officer | 08/14/2013 | |
**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) | In connection with the initial public offering ("IPO") of common stock, par value $0.001 per share (the "Common Stock") of the Issuer, Reporting Person, as a selling stockholder, pursuant to an underwriting agreement (the "Underwriting Agreement") and final prospectus, each dated August 7, 2013, sold 4,734,889 shares of Common Stock at $13.95 per share, which represents the $15.00 IPO price per share of Common Stock, less the underwriters' discount of $1.05. |
(2) | Pursuant to the Underwriting Agreement and in connection with the IPO, the underwriters exercised their option (the "Over-Allotment Option") to purchase an additional 1,065,349 shares of Common Stock from the Reporting Person, as a selling stockholder. The Over-Allotment Option closed simultaneously with the IPO on August 13, 2013. |
(3) | Compass Diversified Holdings, a Delaware statutory trust, is the parent of Compass Group Diversified Holdings LLC. All shares of the common stock of the Issuer listed on Table I hereto are beneficially owned by Compass Group Diversified Holdings LLC. |