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 | ||||
Warrant (1) | 08/30/2015 | 12/13/2017 | Common Stock | 1,923,537 | $ 11.5 | I (2) | By Cowen Investments LLC |
Series A-2 Warrant (1) | 07/31/2015 | 07/31/2020 | Common Stock or Series A Convertible Preferred Stock | 328,125 | $ 4.8 | I (2) | By Cowen Investments LLC |
Series A-3 Warrant (1) | 08/14/2015 | 07/31/2020 | Common Stock or Series A Convertible Preferred Stock | 65,625 | $ 4.8 | I (2) | By Cowen Investments LLC |
Series B-2 Warrant (1) | 07/31/2015 | 10/31/2016 | Common Stock or Series A Convertible Preferred Stock | 109,375 | $ 5 | I (2) | By Cowen Investments LLC |
Series B-3 Warrant (1) | 08/14/2015 | 10/31/2016 | Common Stock or Series A Convertible Preferred Stock | 21,875 | $ 5 | I (2) | By Cowen Investments LLC |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COHEN PETER A 599 LEXINGTON AVENUE 20TH FLOOR NEW YORK, NY 10022 |
 X |  X |  |  |
Cowen Investments LLC 599 LEXINGTON AVENUE NEW YORK, NY 10022 |
 |  X |  |  |
RCG LV Pearl LLC 599 LEXINGTON AVENUE NEW YORK, NY 10022 |
 |  X |  |  |
COWEN GROUP, INC. 599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
By: /s/ Peter A. Cohen | 11/06/2015 | |
**Signature of Reporting Person | Date | |
Cowen Investments, LLC, By: RCG LV Pearl LLC, sole member, By: Cowen Group, Inc., sole member, By: /s/ Owen S. Littman, General Counsel | 11/06/2015 | |
**Signature of Reporting Person | Date | |
RCG LV Pearl LLC, By: Cowen Group, Inc., sole member, By: /s/ Owen S. Littman, General Counsel | 11/06/2015 | |
**Signature of Reporting Person | Date | |
Cowen Group, Inc., By: /s/ Owen S. Littman, General Counsel | 11/06/2015 | |
**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) | This Form 3/A amends and restates in its entirety the Form 3 filed by Peter A. Cohen on October 28, 2015 and the Form 3 filed by Cowen Investments LLC ("Cowen Investments") on November 2, 2015 and constitutes the initial Form 3 of RCG LV Pearl LLC ("RCG") and Cowen Group, Inc. ("Cowen Group"). This Form 3/A is filed jointly by Cowen Investments, RCG, Cowen Group and Peter A. Cohen (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. |
(2) | Represents securities owned directly by Cowen Investments. As the sole member of Cowen Investments, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments. As the sole member of RCG, Cowen Group may be deemed to beneficially own the securities owned directly by Cowen Investments. As the Chairman and Chief Executive Officer of Cowen Group, Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. |