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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 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 | ||||||||
Warrants (right to buy) | $ 5.75 (6) | 11/13/2017 | J(1) | 7,651,514 | 12/04/2016 | 11/04/2021 | Class A Common Stock | 3,825,757 (6) (7) | (1) | 8,929,475 (6) | D (2) (3) (8) | ||||
Warrants (right to buy) | $ 5.75 (6) | 12/04/2016 | 11/04/2021 | Class A Common Stock | 2,549,315 (6) | 5,098,630 (6) | D (4) (8) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gores Sponsor LLC 9800 WILSHIRE BLVD. BEVERLY HILLS, CA 90212 |
X | X | ||
AEG Holdings, LLC 9800 WILSHIRE BLVD. BEVERLY HILLS, CA 90212 |
X | X | ||
Gores Alec E C/O AEG HOLDINGS, LLC 9800 WILSHIRE BLVD. BEVERLY HILLS, CA 90212 |
X | X | ||
PLATINUM EQUITY LLC 360 NORTH CRESCENT DRIVE BEVERLY HILLS, CA 90210 |
X | X | ||
Gores Tom C/O PLATINUM EQUITY, LLC 360 NORTH CRESCENT DRIVE BEVERLY HILLS, CA 90210 |
X | X |
GORES SPONSOR LLC By: AEG Holdings, LLC, its Managing Member By: /s/ Alec Gores Title: Managing Member | 11/15/2017 | |
**Signature of Reporting Person | Date | |
By: Platinum Equity, LLC, its Managing Member By: /s/ Mary Ann Sigler Title: Chief Financial Officer | 11/15/2017 | |
**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) | Gores Sponsor LLC ("Gores Sponsor") made an in-kind distribution to its members. |
(2) | Directly owned by Gores Sponsor. |
(3) | Platinum Equity LLC ("Platinum Equity") and AEG Holdings, LLC ("AEG") are the managing members of Gores Sponsor. Tom Gores is the managing member of Platinum Equity, and Alec Gores is the managing member of AEG. Each of Platinum Equity, AEG, Tom Gores and Alex Gores have indirect beneficial ownership of the securities owned by Gores Sponsor to the extent of their respective pecuniary interests, if any. |
(4) | Directly owned by AEG. Alec Gores has indirect beneficial ownership of the securities owned by AEG to the extent of his pecuniary interest. |
(5) | Indirectly owned by Alec Gores through his spouse. |
(6) | Each warrant is exercisable for one-half of one share of Class A Common Stock at an exercise price of $5.75 per half share, to be exercised only for a whole number of shares of Class A Common Stock. |
(7) | Relates to the number shares underlying the warrants disclosed in column 5 as distributed. |
(8) | Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
Remarks: Exhibit 99.1 (Joint Filer Information), incorporated herein by reference. |