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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 | ||||||||
Class C Common Stock (1) | (1) | 08/16/2016 | S | 3,258,139 (2) | (1) | (1) | Class A Common Stock | 3,258,139 | $ 7.2 | 0 | I (3) | See note (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GE Capital US Holdings, Inc. 901 MAIN AVE NORWALK, CT 06851 |
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GE Capital Equity Holdings, Inc. 201 MERRITT 7 NORWALK, CT 06851 |
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GE Business Financial Services Inc. 500 MONROE ST. CHICAGO, IL 60661 |
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Antares Capital Corp 201 MERRITT 7 NORWALK, CT 06851 |
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GENERAL ELECTRIC CO 3135 EASTON TURNPIKE FAIRFIELD, CT 06828 |
See Exhibit 99.1 |
/s/ Robert Roderick, Attorney-in-fact/GE Capital US Holdings, Inc. | 08/18/2016 | |
**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) | Each share of the Class C Common Stock of the Issuer has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock of the Issuer, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer. |
(2) | GE Capital Equity Holdings, LLC (formerly known as GE Capital Equity Holdings, Inc.) ("GECEH") sold 2,996,283 shares; GE Business Financial Services Inc. ("GEBFS") sold 144,284 shares; and AN Capital Corporation (formerly known as Antares Capital Corporation) ("AN Capital") sold 117,572 shares. |
(3) | Indirectly owned by GE Capital-US Holdings, Inc. ("GE Capital-US"). GECEH, GEBFS and AN Capital are either direct or indirect wholly-owned subsidiaries of GE Capital-US. GE Capital-US is an indirect wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein. |
Remarks: Exhibit 24.1 - Power of Attorney (GE Capital-US), incorporated herein by reference to Exhibit 11 to the Schedule 13D/A filed by the Reporting Persons on June 3, 2016 with respect to the Issuer (the "13D/A"); Exhibit 24.2 - Power of Attorney (GE), incorporated herein by reference to Exhibit 12 to the 13D/A; and Exhibit 99.1 - Joint Filer Information, each incorporated herein by reference. |