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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Halkos Holdings, LLC C/O GLOBAL BRASS & COPPER HOLDINGS, INC. 475 N. MARTINGALE ROAD, SUITE 1050 SCHAUMBURG, IL 60173 |
Former 10% Owner | |||
KPS Special Situations Fund III, L.P. C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Investors III, LP C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Investors II, L.P. C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Investors II GP, LLC C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Capital Partners, LLC C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Special Situations Fund III (A), L.P. C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Special Situations Fund II, L.P. C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Special Situations Fund II (A), L.P. C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner | |||
KPS Investors III, Ltd. C/O KPS CAPITAL PARTNERS, LP 485 LEXINGTON AVENUE, FL 31 NEW YORK, NY 10017 |
Former 10% Owner |
Halkos Holdings, LLC, /s/ Michael Psaros, Executive Committee Member | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Special Situations Fund III, L.P., /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Investors III, L.P., /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Investors II, L.P, /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Investors II GP, LLC, /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Capital Partners, LLC, /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Special Situations Fund III (A), L.P., /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Special Situations Fund II, L.P., /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Special Situations Fund II (A), L.P., /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**Signature of Reporting Person | Date | |
KPS Investors III, Ltd., /s/ Stephen Hoey, Chief Financial Officer | 01/30/2014 | |
**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) | Halkos Holdings, LLC is a 10%+ shareholder of Global Brass and Cooper Holdings, Inc. KPS Special Situations Fund II, L.P., KPS Special Situations Fund II (A), L.P., KPS Special Situations Fund III, LP and KPS Special Situations Fund III (A), L.P. are collectively majority members of Halkos Holdings, LLC. KPS Investors III, Ltd. is the general partner of KPS Special Situations Fund III (A), L.P. and KPS Capital Partners, LLC is the controlling shareholder of KPS Investors III, Ltd. KPS Investors III, L.P. is the general partner of KPS Special Situations Fund III, L.P. and KPS Capital Partners, LLC is the general partner of KPS Investors III, L.P. KPS Investors II, L.P. is the general partner of KPS Special Situation Fund II, L.P. and KPS Special Situations Fund II (A), L.P. KPS Investors II GP, LLC is the general partner of KPS Investors II, L.P. |
(2) | The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Securities Exchange Act of 1934, as amended. |