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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 | ||||||||
5.5% Convertible Senior Notes due 2035 | $ 12.1275 | 07/12/2017 | J(1) | $ 1,827,000 | 04/29/2015 | 04/15/2035 | Class A Common Stock | 150,649 | (1) | 1,498,495 | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEAK6 Capital Management LLC 141 W. JACKSON BLVD. SUITE 500 CHICAGO, IL 60604 |
X | |||
PEAK6 Investments, L.P. 141 W. JACKSON BLVD. SUITE 500 CHICAGO, IL 60604 |
X | |||
PEAK6 LLC 141 W. JACKSON BLVD. SUITE 500 CHICAGO, IL 60604 |
X | |||
Hulsizer Matthew 141 W. JACKSON BLVD. SUITE 500 CHICAGO, IL 60604 |
X | |||
Just Jennifer 141 W. JACKSON BLVD. SUITE 500 CHICAGO, IL 60604 |
X |
/s/ Gary S. Loffredo as Attorney-in-Fact | 07/13/2017 | |
**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) | On July 12, 2017, PEAK6 Capital Management LLC exchanged $1,827,000 aggregate principal amount of the Company's 5.5% Convertible Senior Notes due 2035 for $1,462,000 principal amount of loans under the Company's Second Lien Loan Agreement dated as of July 14, 2016. |
(2) | PEAK6 Capital Management LLC has the potential voting and dispositive power over 1,498,495 shares of the Class A common stock upon the conversion of its interest in the Issuer's 5.5% Convertible Senior Notes due 2035. PEAK6 Capital Management is owned by PEAK6 Investments, L.P., which is primarily owned by PEAK6 LLC, which is also its general partner. Matthew Hulsizer and Jennifer Just own and control PEAK6 LLC. Each of the foregoing persons disclaims beneficial ownership of the reported securities except to the extent of such person's pecuniary interest therein. |