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 | ||||
Series E-1 Preferred Stock | Â (1) | Â (1) | Common Stock | 262,500 | $ (1) | D (2) | Â |
Series E-2 Preferred Stock | Â (3) | Â (3) | Common Stock | 487,500 | $ (3) | D (2) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AGC Equity Partners Special Opportunities Fund I, L.P. 33 DAVIES STREET, 1ST AND 2ND FLOOR LONDON, X0 W1K 4LR |
 |  X |  |  |
AGC Equity Partners Special Opportunities General Partner 1 Ltd 33 DAVIES STREET, 1ST AND 2ND FLOOR LONDON, X0 W1K 4LR |
 |  X |  |  |
AGC Equity Partners Investment Management Ltd 33 DAVIES STREET, 1ST AND 2ND FLOOR LONDON, X0 W1K 4LR |
 |  X |  |  |
/s/ Walid Abu-Suud, Director, AGC Equity Partners Special Opportunities General Partner I Limited (the general partner of AGC Equity Partners Special Opportunities Fund I L.P.) | 06/30/2015 | |
**Signature of Reporting Person | Date | |
/s/ Walid Abu-Suud, Director, AGC Equity Partners Special Opportunities General Partner I Limited | 06/30/2015 | |
**Signature of Reporting Person | Date | |
/s/ Walid Abu-Suud, Director, AGC Equity Partners Investment Management Limited | 06/30/2015 | |
**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) | The Series E-1 Preferred Stock is convertible into Common Stock on a two-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the election of AGC Equity Partners Special Opportunities Fund I L.P. ("AGC Equity Partners"), and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |
(2) | The reported securities are owned (i) directly by AGC Equity Partners, (ii) indirectly by AGC Equity Partners Special Opportunities General Partner I Limited ("AGC GP"), as the general partner of AGC Equity Partners and (iii) indirectly by AGC Equity Partners Investment Management Limited ("AGC Management"), as the owner of AGC GP and the investment manager of AGC Equity Partners. Each of AGC GP and AGC Management disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
(3) | The Series E-2 Preferred Stock is convertible into Common Stock on a two-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at AGC Equity Partners' election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |