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 | ||||
Series A Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 36,363,600 | $ (1) | I | See Footnotes (2) (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carlyle Group Management L.L.C. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
Carlyle Group L.P. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
Carlyle Holdings I GP Inc. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
Carlyle Holdings I GP Sub L.L.C. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
Carlyle Holdings I L.P. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
TC Group, LLC C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
TC Group Sub L.P. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
TC Group VII S1, L.L.C. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
TC Group VII S1, L.P. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
Carlyle Partners VII S1 Holdings, L.P. C/O THE CARLYLE GROUP 1001 PENNSYLVANIA AVE., N.W. STE 220 S. WASHINGTON, DC 20004-2505 |
 |  X |  |  |
Carlyle Group Management L.L.C., By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
The Carlyle Group L.P., By: Carlyle Group Management L.L.C., its general partner, By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
Carlyle Holdings I GP Inc., By: The Carlyle Group L.P., its sole shareholder, By: Carlyle Group Management L.L.C., its general partner, By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
Carlyle Holdings I GP Sub L.L.C., By: Carlyle Holdings I GP Inc., its managing member, By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
Carlyle Holdings I L.P., By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
TC Group, L.L.C., By: Carlyle Holdings I L.P., its managing member, By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
TC Group Sub L.P., By: TC Group, L.L.C., its general partner, By: Carlyle Holdings I L.P., its managing member, By: /s/ Anne Frederick, attorney-in-fact, Name: Curtis L. Buser, Title: Chief Financial Officer | 04/11/2019 | |
**Signature of Reporting Person | Date | |
TC Group VII S1, L.L.C., By: /s/ Jeremy W. Anderson, Name: Jeremy W. Anderson, Title: Authorized Person | 04/11/2019 | |
**Signature of Reporting Person | Date | |
TC Group VII S1, L.P., By: /s/ Jeremy W. Anderson, Name: Jeremy W. Anderson, Title: Authorized Person | 04/11/2019 | |
**Signature of Reporting Person | Date | |
Carlyle Partners VII S1 Holdings, L.P., By: TC Group VII S1, L.P., its general partner, By: /s/ Jeremy W. Anderson, Name: Jeremy W. Anderson, Title: Authorized Person | 04/11/2019 | |
**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 number of shares of common stock of CommScope Holding Company, Inc. (the "Issuer"), having par value of $0.01 per share (the "Common Stock"), deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. |
(2) | Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein. |
(3) | Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the managing member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the sole member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII S1 Holdings, L.P. |
 Remarks: Exhibit 24 - Power of Attorney |