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 | ||||
FA Sub 2 Limited Exchangeable Class B Ordinary Shares (2) (3) | 11/02/2007 | Â (3) | Common Stock (3) | 58,900,370 | $ (3) | D (2) | Â |
Series A Voting Preferred Stock (2) (3) (4) | 11/02/2007 | Â (3) | Common Stock (3) | 58,900,370 | $ (3) | D (2) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schreyer Leslie J C/O GLG PARTNERS, INC. 399 PARK AVENUE, 38TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
GOTTESMAN GLG TRUST C/O GLG PARTNERS, INC. 399 PARK AVENUE, 38TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
Leslie J. Schreyer, by: /s/ Alejandro San Miguel, as attorney-in-fact | 02/17/2009 | |
**Signature of Reporting Person | Date | |
Leslie J. Schreyer, in his capacity as trustee of the Gottesman GLG Trust, by: /s/ Alejandro San Miguel, as attorney-in-fact | 02/17/2009 | |
**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 shares of restricted stock of GLG Partners, Inc. ("GLG") were awarded to Mr. Schreyer in his individual capacity by GLG on November 2, 2007 under GLG's 2007 Restricted Stock Plan (the "Restricted Stock Plan") and GLG's 2007 Long-Term Incentive Plan (the "LTIP") in the amounts of 500,000 and 76,923 shares, respectively (the "November 2007 Awards"). The shares of restricted stock vest in four equal installments on each of November 2, 2008, 2009, 2010 and 2011. This amendment to the original Form 3 adds the shares of restricted stock granted to Mr. Schreyer in his individual capacity which were inadvertently omitted from the original Form 3 filed on November 6, 2007. |
(2) | Mr. Schreyer holds these securities solely in his capacity as trustee of the Gottesman GLG Trust, a trust established for the benefit of Noam Gottesman and his family. Mr. Schreyer does not have any pecuniary interest in these shares. On November 6, 2007, Mr. Schreyer, in his capacity as trustee of the Gottesman GLG Trust, filed an initial statement of beneficial ownership on Form 3 with respect to the reported securities held on behalf of the Gottesman GLG Trust. This amendment to the original Form 3 adds the Gottesman GLG Trust as an additional reporting person. There has been no change in the securities held on behalf of the Gottesman GLG Trust by Mr. Schreyer, in his capacity as trustee of the Gottesman GLG Trust, and the holdings of securities are being re-reported solely to gain access to the EDGAR system. |
(3) | The FA Sub 2 Limited Exchangeable Shares are exchangeable at any time at the election of the holder for one share of common stock of GLG Partners, Inc. For each Exchangeable Share that is exchanged for common stock of GLG Partners, Inc., a corresponding share of Series A voting preferred stock will automatically be redeemed for its par value of $0.0001 per share. |
(4) | The Series A voting preferred stock entitles the holder to one vote on all matters that the common stock has the right to vote on. |