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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 | ||||||||
FA Sub 2 Limited Exchangeable Class B Ordinary Shares | (3) | (3) | (3) | Common Stock | 4,623 | 4,623 | D | ||||||||
Series A Voting Preferred Stock | (3) | (3) | (3) | Common Stock | 4,623 | 4,623 | D | ||||||||
FA Sub 2 Limited Exchangeable Class B Ordinary Shares | (3) | (3) | (3) | Common Stock | 58,900,370 | 58,900,370 | I | Held by the trustee of the Gottesman GLG Trust (4) | |||||||
Series A Voting Preferred Stock | (3) | (3) | (3) | Common Stock | 58,900,370 | 58,900,370 | I | Held by the trustee of the Gottesman GLG Trust (4) | |||||||
Warrant (right to buy) (5) | $ 7.5 | (5) | 12/28/2011 | Common Stock | 390,200 | 390,200 (1) | I | by GLG Partners LP, as manager (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gottesman Noam C/O GLG PARTNERS, INC. 399 PARK AVENUE, 38TH FLOOR NEW YORK, NY 10022 |
X | X | Chairman & Co-CEO |
/s/ Alejandro San Miguel, as attorney-in-fact | 03/04/2009 | |
**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) | Mr. Gottesman disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Gottesman is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(2) | These securities are held by certain investment funds managed by GLG Partners LP, as investment manager. GLG Partners Limited is the general partner of GLG Partners LP, and Messrs. Noam Gottesman, Emmanuel Roman and Pierre Lagrange are Managing Directors of GLG Partners Limited with power to exercise investment over the securities owned by the investment funds and as a result, may be deemed to be the beneficial owner of these securities. As discussed above in footnote (1), Mr. Gottesman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
(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 Preferred Stock will automatically be redeemed for its par value of $0.0001 per share. |
(4) | Shares held by the trustee of the Gottesman GLG Trust. Mr. Gottesman has a pecuniary interest in these shares as a beneficiary of the Gottesman GLG Trust. |
(5) | Each warrant is exercisable for one share of common stock at any time commencing on or after December 21, 2007, provided in each case, that there is an effective registration statement in effect at such time covering the shares of common stock underlying the warrants. |