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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 | ||||||||
Series A Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 12,336,114 | (1) | (1) | Common Shares | 67,046,010 | $ 0 | 0 | I | See Footnotes (7) (12) (13) | |||
Series B Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 8,281,115 | (1) | (1) | Common Shares | 45,478,980 | $ 0 | 0 | I | See Footnotes (7) (12) (13) | |||
Series C Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 364,905 | (1) | (1) | Common Shares | 1,984,092 | $ 0 | 0 | I | See Footnotes (7) (12) (13) | |||
C1 Units | (1) | 05/16/2011 | J(1) | 1,030,862 | (1) | (1) | Common Shares | 3,807,630 | $ 0 | 0 | I | See Footnotes (7) (12) (13) | |||
Series A Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 201,178 | (1) | (1) | Common Shares | 1,093,390 | $ 0 | 0 | I | See Footnotes (8) (12) (13) | |||
Series B Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 135,049 | (1) | (1) | Common Shares | 741,674 | $ 0 | 0 | I | See Footnotes (8) (12) (13) | |||
Series C Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 5,951 | (1) | (1) | Common Shares | 32,357 | $ 0 | 0 | I | See Footnotes (8) (12) (13) | |||
C1 Units | (1) | 05/16/2011 | J(1) | 16,811 | (1) | (1) | Common Shares | 62,094 | $ 0 | 0 | I | See Footnotes (8) (12) (13) | |||
Series A Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 339,602 | (1) | (1) | Common Shares | 1,845,716 | $ 0 | 0 | I | See Footnotes (9) (12) (13) | |||
Series B Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 204,364 | (1) | (1) | Common Shares | 1,122,345 | $ 0 | 0 | I | See Footnotes (9) (12) (13) | |||
Series C Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 9,628 | (1) | (1) | Common Shares | 52,350 | $ 0 | 0 | I | See Footnotes (9) (12) (13) | |||
C1 Units | (1) | 05/16/2011 | J(1) | 27,198 | (1) | (1) | Common Shares | 100,460 | $ 0 | 0 | I | See Footnotes (9) (12) (13) | |||
Series A Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 281,970 | (1) | (1) | Common Shares | 1,532,489 | $ 0 | 0 | I | See Footnotes (10) (12) (13) | |||
Series B Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 169,682 | (1) | (1) | Common Shares | 931,875 | $ 0 | 0 | I | See Footnotes (10) (12) (13) | |||
Series C Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 7,994 | (1) | (1) | Common Shares | 43,466 | $ 0 | 0 | I | See Footnotes (10) (12) (13) | |||
C1 Units | (1) | 05/16/2011 | J(1) | 22,583 | (1) | (1) | Common Shares | 83,413 | $ 0 | 0 | I | See Footnotes (10) (12) (13) | |||
Series A Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 38,286 | (1) | (1) | Common Shares | 208,082 | $ 0 | 0 | I | See Footnotes (11) (12) (13) | |||
Series B Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 23,040 | (1) | (1) | Common Shares | 126,533 | $ 0 | 0 | I | See Footnotes (11) (12) (13) | |||
Series C Convertible Preferred Units | (1) | 05/16/2011 | J(1) | 1,085 | (1) | (1) | Common Shares | 5,899 | $ 0 | 0 | I | See Footnotes (11) (12) (13) | |||
C1 Units | (1) | 05/16/2011 | J(1) | 3,066 | (1) | (1) | Common Shares | 11,325 | $ 0 | 0 | I | See Footnotes (11) (12) (13) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BCP IV GP L.L.C. C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
BLACKSTONE CAPITAL PARTNERS CAYMAN IV LP C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
BLACKSTONE CAPITAL PARTNERS CAYMAN IV- A LP C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
BLACKSTONE FAMILY INVESTMENT PARTNERSHIP IV-A LP C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Blackstone Family Investment Partnership (Cayman) IV-A SMD L.P. C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Blackstone Participation Partnership (Cayman) IV L.P. C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X |
/s/ Robert L. Friedman, Senior Managing Director of BCP IV GP L.L.C. | 05/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Robert L. Friedman, Senior Managing Director, BCP IV GP L.L.C., general partner of Blackstone Management Associates (Cayman) IV L.P., general partner of Blackstone Capital Partners (Cayman) IV L.P. | 05/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Robert L. Friedman, Senior Managing Director, BCP IV GP L.L.C., general partner of Blackstone Management Associates (Cayman) IV L.P., general partner of Blackstone Capital Partners (Cayman) IV-A L.P. | 05/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Robert L. Friedman, Senior Managing Director, BCP IV GP L.L.C. general partner of Blackstone Family Investment Partnership (Cayman) IV-A L.P. | 05/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Robert L. Friedman, Senior Managing Director, Blackstone Family GP L.L.C. general partner of Blackstone Family Investment Partnership (Cayman) IV-A SMD L.P. | 05/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Robert L. Friedman, Senior Managing Director, BCP IV GP L.L.C., general partner of Blackstone Participation Partnership (Cayman) IV L.P. | 05/16/2011 | |
**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) | The common shares, par value $0.01 (the "Common Shares") of Kosmos Energy Ltd. (the "Issuer") were issued in exchange for the outstanding units in Kosmos Energy Holdings ("KEH") listed in Table II pursuant to a corporate reorganization (the "Corporate Reorganization") in connection with the initial public offering of Common Shares, which units were exchangeable pursuant to the Fourth Amended and Restated Operating Agreement of KEH upon the closing of the initial public offering of the Issuer based on the pre-offering equity value of such units. |
(2) | These Common Shares are held by Blackstone Capital Partners (Cayman) IV L.P. ("BCP Cayman IV"). |
(3) | These Common Shares are held by Blackstone Capital Partners (Cayman) IV-A L.P. ("BCP Cayman IV-A"). |
(4) | These Common Shares are held by Blackstone Family Investment Partnership (Cayman) IV-A L.P. ("BFIP"). |
(5) | These Common Shares are held by Blackstone Family Investment Partnership (Cayman) IV-A SMD L.P. ("BFIP SMD"). |
(6) | These Common Shares are held by Blackstone Participation Partnership (Cayman) IV L.P. ("BPP"). |
(7) | Reflects the number of units of KEH owned by BCP Cayman IV prior to their exchange on May 16, 2011 pursuant to the Corporate Reorganization. |
(8) | Reflects the number of units of KEH owned by BCP Cayman IV-A prior to their exchange on May 16, 2011 pursuant to the Corporate Reorganization. |
(9) | Reflects the number of units of KEH owned by BFIP prior to their exchange on May 16, 2011 pursuant to the Corporate Reorganization. |
(10) | Reflects the number of units of KEH owned by BFIP SMD prior to their exchange on May 16, 2011 pursuant to the Corporate Reorganization. |
(11) | Reflects the number of units of KEH owned by BPP prior to their exchange on May 16, 2011 pursuant to the Corporate Reorganization. |
(12) | The general partner of BFIP SMD is Blackstone Family GP L.L.C. which is controlled by Mr. Stephen A. Schwarzman, its founder. The general partner of BCP Cayman IV and BCP Cayman IV-A is Blackstone Management Associates (Cayman) IV L.P. ("BMA"). A general partner of BMA, BFIP, and BPP is BCP IV GP L.L.C ("BCP IV"). Blackstone Holdings III L.P. is the sole member of BCP IV. The general partner of Blackstone Holdings III L.P. is Blackstone Holdings III GP L.P. The general partner of Blackstone Holdings III GP L.P. is Blackstone Holdings III GP Management L.L.C. The sole member of Blackstone Holdings III GP Management L.L.C. is The Blackstone Group L.P. The general partner of The Blackstone Group L.P. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is controlled by Mr. Stephen A. Schwarzman, its founder. |
(13) | Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein |
Remarks: Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, Blackstone Management Associates (Cayman) IV L.P., Blackstone Family GP L.L.C., Blackstone Holdings III L.P., Blackstone Holdings III GP L.P., Blackstone Holdings III GP Management L.L.C., The Blackstone Group L.P., Blackstone Group Management L.L.C. and Stephen A. Schwarzman have filed a separate Form 4. |