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FPH

Five Point Holdings, LLC

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Tapewire entity
5173
SEC CIK
0001574197
Parsed reports
246

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202501
Jan 202600
Feb 202600
Mar 202601
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 15, 2018 Filed Jan 17, 2018 19:30 UTC GrantClass A common shares 5,394 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001215 · doc4.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,537

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in four equal quarterly installments beginning on March 31, 2018.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:37 UTC
Hunt Gary HDirector
GrantClass A common shares 5,394 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001229 · doc4.xml · nonDerivative · entry 1

Hunt Gary H · CIK 0001337131 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,537

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in four equal quarterly installments beginning on March 31, 2018.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:39 UTC
Higgins Erik R.See Remarks
Tax withholdingClass A common shares 7,529 $14.83 $111,655.07
Disclosure

SEC source: 0000899243-18-001233 · doc4.xml · nonDerivative · entry 2

Higgins Erik R. · CIK 0001704043 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,012

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:39 UTC
Higgins Erik R.See Remarks
GrantClass A common shares 134,861 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001233 · doc4.xml · nonDerivative · entry 1

Higgins Erik R. · CIK 0001704043 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,541

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in three equal annual installments beginning on January 15, 2019.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:37 UTC
Jochim LynnSee Remarks
Tax withholdingClass A common shares 7,529 $14.83 $111,655.07
Disclosure

SEC source: 0000899243-18-001230 · doc4.xml · nonDerivative · entry 2

Jochim Lynn · CIK 0001704074 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,614

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:37 UTC
Jochim LynnSee Remarks
GrantClass A common shares 134,861 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001230 · doc4.xml · nonDerivative · entry 1

Jochim Lynn · CIK 0001704074 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,143

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in three equal annual installments beginning on January 15, 2019.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:34 UTC
Bonner KofiSee Remarks
Tax withholdingClass A common shares 7,905 $14.83 $117,231.15
Disclosure

SEC source: 0000899243-18-001223 · doc4.xml · nonDerivative · entry 2

Bonner Kofi · CIK 0001704076 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,327

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:34 UTC
Bonner KofiSee Remarks
GrantClass A common shares 134,861 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001223 · doc4.xml · nonDerivative · entry 1

Bonner Kofi · CIK 0001704076 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,232

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in three equal annual installments beginning on January 15, 2019.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:34 UTC GrantClass A common shares 5,394 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001222 · doc4.xml · nonDerivative · entry 1

Browning William · CIK 0001600598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,537

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in four equal quarterly installments beginning on March 31, 2018.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:30 UTC
Haddad EmileDirector · See Remarks
Exercise / conversionRestricted share units · Derivative 13,626 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001214 · doc4.xml · derivative · entry 6

Haddad Emile · CIK 0001704042 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 856,108

Underlying: Class A common shares · 13,626 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: On August 1, 2016, the reporting person was granted such restricted share units pursuant to the 2016 Incentive Award Plan. Such restricted share units have vested. The remaining unsettled restricted share units will settle on a one-for-one basis in Class A common shares or cash, at the option of the Company, in two equal installments on January 15, 2019 and January 15, 2020.

F3 · derivative.exercise_date: On August 1, 2016, the reporting person was granted such restricted share units pursuant to the 2016 Incentive Award Plan. Such restricted share units have vested. The remaining unsettled restricted share units will settle on a one-for-one basis in Class A common shares or cash, at the option of the Company, in two equal installments on January 15, 2019 and January 15, 2020.

F3 · derivative.expiration_date: On August 1, 2016, the reporting person was granted such restricted share units pursuant to the 2016 Incentive Award Plan. Such restricted share units have vested. The remaining unsettled restricted share units will settle on a one-for-one basis in Class A common shares or cash, at the option of the Company, in two equal installments on January 15, 2019 and January 15, 2020.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:30 UTC
Haddad EmileDirector · See Remarks
Tax withholdingClass A common shares 43,739 $14.83 $648,649.37
Disclosure

SEC source: 0000899243-18-001214 · doc4.xml · nonDerivative · entry 3

Haddad Emile · CIK 0001704042 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,224

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:30 UTC
Haddad EmileDirector · See Remarks
Exercise / conversionClass A common shares 13,626 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-001214 · doc4.xml · nonDerivative · entry 2

Haddad Emile · CIK 0001704042 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 486,963

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Restricted share units were settled on a one-for-one basis in Class A common shares.

Read SEC document
January 15, 2018 Filed Jan 18, 2018 00:30 UTC
Haddad EmileDirector · See Remarks
GrantClass A common shares 168,577 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-001214 · doc4.xml · nonDerivative · entry 1

Haddad Emile · CIK 0001704042 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,337

F1 · shares: These shares are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan") and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in three equal annual installments beginning on January 15, 2019.

Read SEC document
January 04, 2018 Filed Jan 9, 2018 00:23 UTC
Bonner KofiSee Remarks
OtherClass A common shares 138,558 $14.45 $2,002,163.10
Disclosure

SEC source: 0000899243-18-000727 · doc4.xml · nonDerivative · entry 2

Bonner Kofi · CIK 0001704076 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,371

F1 · kind: Pursuant to certain agreements between Mr. Bonner and LenFive, LLC ("Lennar") and HPSCP Opportunities, L.P. ("Castlelake"), Lennar and Castlelake have granted to Mr. Bonner 283,933 Class A common shares of Five Point Holdings, LLC in aggregate for prior services rendered by Mr. Bonner, and Lennar and Castlelake have withheld 138,558 shares from such delivery to satisfy Mr. Bonner's tax-withholding obligations in connection with such grant.

F1 · price: Pursuant to certain agreements between Mr. Bonner and LenFive, LLC ("Lennar") and HPSCP Opportunities, L.P. ("Castlelake"), Lennar and Castlelake have granted to Mr. Bonner 283,933 Class A common shares of Five Point Holdings, LLC in aggregate for prior services rendered by Mr. Bonner, and Lennar and Castlelake have withheld 138,558 shares from such delivery to satisfy Mr. Bonner's tax-withholding obligations in connection with such grant.

Read SEC document
January 04, 2018 Filed Jan 9, 2018 00:23 UTC
Bonner KofiSee Remarks
OtherClass A common shares 283,933 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-000727 · doc4.xml · nonDerivative · entry 1

Bonner Kofi · CIK 0001704076 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,929

F1 · kind: Pursuant to certain agreements between Mr. Bonner and LenFive, LLC ("Lennar") and HPSCP Opportunities, L.P. ("Castlelake"), Lennar and Castlelake have granted to Mr. Bonner 283,933 Class A common shares of Five Point Holdings, LLC in aggregate for prior services rendered by Mr. Bonner, and Lennar and Castlelake have withheld 138,558 shares from such delivery to satisfy Mr. Bonner's tax-withholding obligations in connection with such grant.

F1 · price: Pursuant to certain agreements between Mr. Bonner and LenFive, LLC ("Lennar") and HPSCP Opportunities, L.P. ("Castlelake"), Lennar and Castlelake have granted to Mr. Bonner 283,933 Class A common shares of Five Point Holdings, LLC in aggregate for prior services rendered by Mr. Bonner, and Lennar and Castlelake have withheld 138,558 shares from such delivery to satisfy Mr. Bonner's tax-withholding obligations in connection with such grant.

Read SEC document
September 13, 2017 Filed Sep 15, 2017 23:45 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022176 · doc4.xml · nonDerivative · entry 1

MILLER STUART A · CIK 0001049444 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 19:44 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022175 · doc4.xml · nonDerivative · entry 1

FOSTER JONATHAN F · CIK 0001122068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 19:42 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022170 · doc4.xml · nonDerivative · entry 1

JAFFE JONATHAN M · CIK 0001245946 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 19:41 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022169 · doc4.xml · nonDerivative · entry 1

ROSSI MICHAEL E · CIK 0001231235 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 23:40 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022167 · doc4.xml · nonDerivative · entry 1

BECKWITT RICHARD · CIK 0001197193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 19:43 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022171 · doc4.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 23:40 UTC
Hunt Gary HDirector
GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022166 · doc4.xml · nonDerivative · entry 1

Hunt Gary H · CIK 0001337131 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,143

Read SEC document
September 13, 2017 Filed Sep 15, 2017 23:45 UTC GrantClass A common shares 7,143 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-022177 · doc4.xml · nonDerivative · entry 1

Browning William · CIK 0001600598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,143

Read SEC document
May 15, 2017 Filed May 16, 2017 23:42 UTC PurchaseClass A common shares 100,000 $14.00 $1,400,000.00
Disclosure

SEC source: 0000899243-17-013415 · doc4.xml · nonDerivative · entry 1

MILLER STUART A · CIK 0001049444 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Read SEC document
May 15, 2017 Filed May 16, 2017 23:42 UTC
Alvarado MichaelSee Remarks
PurchaseClass A common shares 14,000 $14.00 $196,000.00
Disclosure

SEC source: 0000899243-17-013416 · doc4.xml · nonDerivative · entry 1

Alvarado Michael · CIK 0001704041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 38,389

F1 · ownership.nature: The 38,389 Class A common shares of Five Point Holdings, LLC are owned by The Michael A. and Julie S. Alvarado Family Trust created u/t/d dated July 9, 2002.

Read SEC document
May 15, 2017 Filed May 16, 2017 16:30 UTC PurchaseClass A Common Shares 1,785,714 $14.00 $24,999,996.00
Disclosure

SEC source: 0000899243-17-013350 · doc4.xml · nonDerivative · entry 1

TCO Fund, L.P. · CIK 0001704530 · 10% owner

TCO Investors, L.P. · CIK 0001704526 · 10% owner

TCO Fund GP, L.P. · CIK 0001704521 · 10% owner

Castlelake I, L.P. · CIK 0001704584 · 10% owner

TCS Diamond Solutions, LLC · CIK 0001704544 · 10% owner

Castlelake I GP, L.P. · CIK 0001704583 · 10% owner

TCS II REO USA, LLC · CIK 0001704551 · 10% owner

HPSCP Opportunities, L.P. · CIK 0001704520 · 10% owner

Castlelake II GP, L.P. · CIK 0001704499 · 10% owner

HFET Opportunities, LLC · CIK 0001704511 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,696,572

F1 · ownership.nature: Represents securities held directly by: TCO Fund, L.P. ("TCO"), TCO Investors, L.P. ("TCOI"), Castlelake I, L.P. ("Castlelake I"), TCS Diamond Solutions, LLC ("Diamond Solutions"), TCS II REO USA, LLC ("TCSII REO"), HPSCP Opportunities, L.P. ("HPSCP), HFET Opportunities, LLC ("HFET") Castlelake II, L.P. ("Castlelake II") Castlelake II Opportunities, L.P. ("Opportunities II") and Castlelake III, L.P. ("Castlelake III"). TCO Fund GP, L.P. ("TCO GP" and, together with TCO and TCOI, the "TCO Fund Entities") is the general partner of TCO and TCOI, and in such capacity may be deemed to share beneficial ownership of the securities held by TCO and TCOI. Castlelake I GP, L.P. ("Castlelake I GP" and, together with Castlelake I and Diamond Solutions, the "Castlelake I Fund Entities"), is the general partner of Castlelake I and the managing member of Diamond Solutions, and in such capacity may be deemed to share beneficial ownership of the securities held by Castlelake I and Diamond Solutions.

F2 · ownership.nature: Castlelake II GP, L.P. ("Castlelake II GP" and, together with TCSII REO, HPSCP, Castlelake II and Opportunities II, the "Castlelake II Fund Entities") is the general partner of TCSII REO, HPSCP, Castlelake II and Opportunities II and in such capacity may be deemed to share beneficial ownership of the securities held by such entities. Castlelake III GP, L.P. ("Castlelake III GP" and, together with HFET and Castlelake III, the "Castlelake III Fund Entities"), is the managing member of HFET and the general partner of Castlelake III, and in such capacities may be deemed to share beneficial ownership of the securities held by HFET and Castlelake III.

F3 · ownership.nature: Castlelake, L.P. ("Castlelake") is the investment manager of the TCO Fund Entities, the Castlelake I Fund Entities, the Castlelake II Fund Entities and the Castlelake III Fund Entities, and in such capacity may be deemed to share beneficial ownership of the securities beneficially owned by such entities. Rory O'Neill is the managing partner and chief executive officer of Castlelake. Castlelake, Mr. O'Neill, TCO GP, Castlelake I GP, Castlelake II GP, HFET REO and Castlelake III GP disclaim beneficial ownership of the securities reported herein except to the extent of any pecuniary interest therein.

Read SEC document
May 15, 2017 Filed May 16, 2017 19:43 UTC PurchaseClass A common shares 35,000 $14.00 $490,000.00
Disclosure

SEC source: 0000899243-17-013417 · doc4.xml · nonDerivative · entry 1

JAFFE JONATHAN M · CIK 0001245946 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Read SEC document
May 15, 2017 Filed May 16, 2017 23:45 UTC PurchaseClass A common shares 30,000 $14.00 $420,000.00
Disclosure

SEC source: 0000899243-17-013421 · doc4.xml · nonDerivative · entry 1

BECKWITT RICHARD · CIK 0001197193 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 30,000

F1 · ownership.nature: The Class A common shares of Five Point Holding, LLC are owned by the BCL Trust.

Read SEC document
May 15, 2017 Filed May 16, 2017 23:46 UTC
Jochim LynnExecutive Vice President
PurchaseClass A common shares 10,000 $14.00 $140,000.00
Disclosure

SEC source: 0000899243-17-013423 · doc4.xml · nonDerivative · entry 2

Jochim Lynn · CIK 0001704074 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 10,000

F2 · ownership.nature: The 10,000 Class A common shares of the Company are owned by The Edward J Jochim By-Pass Trust UAD 03/01/84. The Reporting Person disclaims beneficial ownership of the shares owned by her spouse, David Jochim, except to the extent of her pecuniary interest therein.

Read SEC document
May 15, 2017 Filed May 16, 2017 23:46 UTC
Jochim LynnExecutive Vice President
PurchaseClass A common shares 10,000 $14.00 $140,000.00
Disclosure

SEC source: 0000899243-17-013423 · doc4.xml · nonDerivative · entry 1

Jochim Lynn · CIK 0001704074 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 34,389

F1 · ownership.nature: The 24,389 Class A common shares of Five Point Holdings, LLC (the "Company") are owned by The 2002 Jochim Family Trust UAD 05/15/02.

Read SEC document
May 15, 2017 Filed May 16, 2017 23:45 UTC
Bonner KofiSee Remarks
PurchaseClass A common shares 5,550 $14.00 $77,700.00
Disclosure

SEC source: 0000899243-17-013420 · doc4.xml · nonDerivative · entry 1

Bonner Kofi · CIK 0001704076 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,996

Read SEC document
May 15, 2017 Filed May 16, 2017 23:43 UTC
Higgins Erik R.See Remarks
PurchaseClass A common shares 25,000 $14.00 $350,000.00
Disclosure

SEC source: 0000899243-17-013418 · doc4.xml · nonDerivative · entry 1

Higgins Erik R. · CIK 0001704043 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,680

F1 · balance_after: Includes 43,282 restricted shares that are subject to certain restrictions upon transfer and rights of forfeiture as set forth in the Five Point Holdings, LLC 2016 Incentive Award Plan (the "2016 Incentive Award Plan ) and an agreement entered into between the registered owner and Five Point Holdings, LLC (the "Company"), copies of which are on file with the secretary of the Company. Such restricted shares will vest in three equal annual installments beginning on January 15, 2018.

Read SEC document
May 15, 2017 Filed May 16, 2017 20:26 UTC
O'Neill Rory10% owner
PurchaseClass A Common Shares 1,785,714 $14.00 $24,999,996.00
Disclosure

SEC source: 0000899243-17-013349 · doc4.xml · nonDerivative · entry 1

CASTLELAKE L.P. · CIK 0001657869 · 10% owner

Castlelake III GP, L.P. · CIK 0001705754 · 10% owner

O'Neill Rory · CIK 0001704996 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,696,572

F1 · ownership.nature: Represents securities held directly by: TCO Fund, L.P. ("TCO"), TCO Investors, L.P. ("TCOI"), Castlelake I, L.P. ("Castlelake I"), TCS Diamond Solutions, LLC ("Diamond Solutions"), TCS II REO USA, LLC ("TCSII REO"), HPSCP Opportunities, L.P. ("HPSCP), HFET Opportunities, LLC ("HFET") Castlelake II, L.P. ("Castlelake II") Castlelake II Opportunities, L.P. ("Opportunities II") and Castlelake III, L.P. ("Castlelake III"). TCO Fund GP, L.P. ("TCO GP" and, together with TCO and TCOI, the "TCO Fund Entities") is the general partner of TCO and TCOI, and in such capacity may be deemed to share beneficial ownership of the securities held by TCO and TCOI. Castlelake I GP, L.P. ("Castlelake I GP" and, together with Castlelake I and Diamond Solutions, the "Castlelake I Fund Entities"), is the general partner of Castlelake I and the managing member of Diamond Solutions, and in such capacity may be deemed to share beneficial ownership of the securities held by Castlelake I and Diamond Solutions.

F2 · ownership.nature: Castlelake II GP, L.P. ("Castlelake II GP" and, together with TCSII REO, HPSCP, Castlelake II and Opportunities II, the "Castlelake II Fund Entities") is the general partner of TCSII REO, HPSCP, Castlelake II and Opportunities II and in such capacity may be deemed to share beneficial ownership of the securities held by such entities. Castlelake III GP, L.P. ("Castlelake III GP" and, together with HFET and Castlelake III, the "Castlelake III Fund Entities"), is the managing member of HFET and the general partner of Castlelake III, and in such capacities may be deemed to share beneficial ownership of the securities held by HFET and Castlelake III.

F3 · ownership.nature: Castlelake, L.P. ("Castlelake") is the investment manager of the TCO Fund Entities, the Castlelake I Fund Entities, the Castlelake II Fund Entities and the Castlelake III Fund Entities, and in such capacity may be deemed to share beneficial ownership of the securities beneficially owned by such entities. Rory O'Neill is the managing partner and chief executive officer of Castlelake. Castlelake, Mr. O'Neill, TCO GP, Castlelake I GP, Castlelake II GP, HFET REO and Castlelake III GP disclaim beneficial ownership of the securities reported herein except to the extent of any pecuniary interest therein.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.