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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 | |
CHING MEREDITH J 221 EAST FOURTH STREET CINCINNATI, OH 45202 |
X |
/s/ Christopher J. Wilson by Power of Attorney for Meredith J. Ching | 07/03/2018 | |
**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 maximum number of common shares of the Issuer issuable to the Reporting Person as merger consideration pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 9, 2017, among the Issuer, Twin Acquisition Corp. and Hawaiian Telcom Holdco, Inc. ("Hawaiian Telcom") based on the assumption that the Reporting Person elected to receive common shares of the Issuer as the sole form of merger consideration with respect to all of the outstanding shares of Hawaiian Telcom common stock and Hawaiian Telcom restricted stock units held by the Reporting Person immediately prior to the effective time of the merger. Such election is subject to proration as set forth in the Merger Agreement and the proration calculation has not been completed as of the date of this report. Thus, it is not possible to determine the exact number of common shares of the Issuer issuable to the Reporting Person pursuant to the Merger Agreement. |
(2) | (Continued from Footnote 1) Once the proration calculation is completed in accordance with the Merger Agreement, the Reporting Person will file an amendment to this report disclosing the exact number of common shares of the Issuer received by such Reporting Person as merger consideration. The closing price of the Issuer's common shares on July 2, 2018 was $15.65. |