person · Reporting owner

Hoesterey Brian R

Disclosed activity across 5 companies

Tapewire entity: 109491
SEC CIK: 0001675264

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
American Oncology Network, Inc.AONC · Entity 88884	10% owner	September 20, 2023	September 22, 2023
At Home Group Inc.HOME · Entity 136668	10% owner	November 05, 2020	November 06, 2020
Evoqua Water Technologies Corp.AQUA · Entity 113037	Director	February 11, 2021	February 12, 2021
Traeger, Inc.COOK · Entity 712	10% owner	August 02, 2021	August 04, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

American Oncology Network, Inc.

Report date September 20, 2023 · Filed September 22, 2023

Jointly reported with AEA GROWTH EQUITY FUND LP, AEA GROWTH EQUITY FUND (PARALLEL) LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $10.00	IndirectHeld through AEA Growth Equity Fund LP	4,831,463	Reported balance After 2023-09-20 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-09-20 · Grant · Acquired 4,831,463 · Balance 4,831,463 F1: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger"). F2: Each share of the Preferred Stock is convertible, in whole or in part, into one share of Class A Common Stock of the Issuer (based on an initial conversion price of $10.00 per share, which is subject to adjustment upon the occurrence of certain events, the "Conversion Price") at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received per share of Preferred Stock upon conversion equals the sum of (A) $10.00 (as adjusted upon the occurrence of certain events) and (B) any accrued, unpaid annual dividends, divided by the Conversion Price, with cash in-lieu of fractional shares. F3: The Preferred Stock is perpetual and therefore has no expiration date. F4: These securities are directly held by AEA Growth Equity Fund LP, the general partner of which is AEA Growth Equity Partners LP. F5: AEA Growth Equity GP LLC is the general partner of AEA Growth Equity Partners LP. The sole member of AEA Growth Equity GP LLC is AEA Management UGP LLC, the managing member of which is Brian Hoesterey.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $10.00	IndirectHeld through AEA Growth Equity Fund (Parallel) LP	1,820,147	Reported balance After 2023-09-20 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-09-20 · Grant · Acquired 1,820,147 · Balance 1,820,147 F1: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger"). F2: Each share of the Preferred Stock is convertible, in whole or in part, into one share of Class A Common Stock of the Issuer (based on an initial conversion price of $10.00 per share, which is subject to adjustment upon the occurrence of certain events, the "Conversion Price") at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received per share of Preferred Stock upon conversion equals the sum of (A) $10.00 (as adjusted upon the occurrence of certain events) and (B) any accrued, unpaid annual dividends, divided by the Conversion Price, with cash in-lieu of fractional shares. F3: The Preferred Stock is perpetual and therefore has no expiration date. F5: AEA Growth Equity GP LLC is the general partner of AEA Growth Equity Partners LP. The sole member of AEA Growth Equity GP LLC is AEA Management UGP LLC, the managing member of which is Brian Hoesterey. F6: These securities are directly held by AEA Growth Equity Fund (Parallel) LP, the general partner of which is AEA Growth Equity Partners LP.

Filing footnotes · ownership attribution and instrument terms

F1: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger").

F2: Each share of the Preferred Stock is convertible, in whole or in part, into one share of Class A Common Stock of the Issuer (based on an initial conversion price of $10.00 per share, which is subject to adjustment upon the occurrence of certain events, the "Conversion Price") at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received per share of Preferred Stock upon conversion equals the sum of (A) $10.00 (as adjusted upon the occurrence of certain events) and (B) any accrued, unpaid annual dividends, divided by the Conversion Price, with cash in-lieu of fractional shares.

F3: The Preferred Stock is perpetual and therefore has no expiration date.

F4: These securities are directly held by AEA Growth Equity Fund LP, the general partner of which is AEA Growth Equity Partners LP.

F5: AEA Growth Equity GP LLC is the general partner of AEA Growth Equity Partners LP. The sole member of AEA Growth Equity GP LLC is AEA Management UGP LLC, the managing member of which is Brian Hoesterey.

F6: These securities are directly held by AEA Growth Equity Fund (Parallel) LP, the general partner of which is AEA Growth Equity Partners LP.

At Home Group Inc.

Report date November 05, 2020 · Filed November 06, 2020

Jointly reported with AEA INVESTORS LP, GRD Holding GP LLC, GRD Holding-A LLC, GRD Holding-A LP, GRD Holding LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	0	Reported balance After 2020-11-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-11-05 · Sale · Disposed 10,536,504 · Balance 0 F1: On November 5, 2020, GRD Holding LP, GRD Holding-A LP and GRD Holding AEA LLC sold 8,046,154, 773,427 and 1,716,923 shares of common stock of the issuer, respectively, at a per share price of $16.93. F2: Prior to the sale reported in this Form 4 report, shares of common stock of the issuer were directly held by (i) GRD Holding LP, whose general partner is GRD Holding GP LLC, whose sole member is AEA Investors LP, (ii) GRD Holding-A LP, whose general partner is GRD Holding-A LLC, whose sole member is AEA Investors LP, and (iii) GRD Holding AEA LLC, whose members are AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, AEA Investors 2006 Fund L.P., and AEA Investors 2006 Fund II L.P. F3: The general partner of each of AEA Investors 2006 Participant Fund LP and AEA Investors 2006 QP Participant Fund LP is AEA Investors 2006 PF LLC, whose sole member is AEA Management LLC. The general partner of each of AEA Investors 2006 Fund L.P. and AEA Investors 2006 Fund II L.P. is AEA Investors Partners 2006 L.P., whose general partner is AEA Management (Cayman) Ltd. F4: Each of GRD Holding GP LLC and AEA Investors LP may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding LP, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding-A LP and GRD Holding AEA LLC. Each of GRD Holding-A LLC and AEA Investors LP may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding-A LP, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding LP and GRD Holding AEA LLC. F5: Each of AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, AEA Investors 2006 PF LLC, AEA Management LLC, AEA Investors 2006 Fund L.P., AEA Investors 2006 Fund II L.P., AEA Investors Partners 2006 L.P. and AEA Management (Cayman) Ltd. may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding AEA LLC, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding LP and GRD Holding-A LP. F6: Dr. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding LP, GRD Holding-A LP and GRD Holding AEA LLC, but each of Dr. Garcia and Mr. Hoesterey disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein. F7: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Management (Cayman) Ltd., AEA Management LLC, AEA Investors Partners 2006 L.P., AEA Investors 2006 PF LLC, AEA Investors 2006 Fund L.P., AEA Investors 2006 Fund II L.P., AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, GRD Holding AEA LLC and Dr. Garcia have filed a separate Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: On November 5, 2020, GRD Holding LP, GRD Holding-A LP and GRD Holding AEA LLC sold 8,046,154, 773,427 and 1,716,923 shares of common stock of the issuer, respectively, at a per share price of $16.93.

F2: Prior to the sale reported in this Form 4 report, shares of common stock of the issuer were directly held by (i) GRD Holding LP, whose general partner is GRD Holding GP LLC, whose sole member is AEA Investors LP, (ii) GRD Holding-A LP, whose general partner is GRD Holding-A LLC, whose sole member is AEA Investors LP, and (iii) GRD Holding AEA LLC, whose members are AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, AEA Investors 2006 Fund L.P., and AEA Investors 2006 Fund II L.P.

F3: The general partner of each of AEA Investors 2006 Participant Fund LP and AEA Investors 2006 QP Participant Fund LP is AEA Investors 2006 PF LLC, whose sole member is AEA Management LLC. The general partner of each of AEA Investors 2006 Fund L.P. and AEA Investors 2006 Fund II L.P. is AEA Investors Partners 2006 L.P., whose general partner is AEA Management (Cayman) Ltd.

F4: Each of GRD Holding GP LLC and AEA Investors LP may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding LP, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding-A LP and GRD Holding AEA LLC. Each of GRD Holding-A LLC and AEA Investors LP may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding-A LP, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding LP and GRD Holding AEA LLC.

F5: Each of AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, AEA Investors 2006 PF LLC, AEA Management LLC, AEA Investors 2006 Fund L.P., AEA Investors 2006 Fund II L.P., AEA Investors Partners 2006 L.P. and AEA Management (Cayman) Ltd. may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding AEA LLC, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding LP and GRD Holding-A LP.

F6: Dr. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding LP, GRD Holding-A LP and GRD Holding AEA LLC, but each of Dr. Garcia and Mr. Hoesterey disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

F7: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Management (Cayman) Ltd., AEA Management LLC, AEA Investors Partners 2006 L.P., AEA Investors 2006 PF LLC, AEA Investors 2006 Fund L.P., AEA Investors 2006 Fund II L.P., AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, GRD Holding AEA LLC and Dr. Garcia have filed a separate Form 4.

Evoqua Water Technologies Corp.

Report date February 11, 2021 · Filed February 12, 2021

Jointly reported with AEA INVESTORS FUND V LP, AEA INVESTORS FUND V-A LP, AEA INVESTORS FUND V-B LP, AEA Investors Partners V LP, AEA Management (Cayman) Ltd, Garcia John L

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	0	Reported balance After 2021-02-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-02-11 · Sale · Disposed 11,341,930 · Balance 0 F1: These shares of common stock were sold pursuant to an underwriting agreement dated February 8, 2021. F2: This amount represents the price per share at which the Reporting Person sold the shares of the issuer's common stock in this transaction. F3: These shares of common stock of the issuer were directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4: Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may have been deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaimed beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also have been deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each of Dr. Garcia and Mr. Hoesterey disclaimed beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: These shares of common stock were sold pursuant to an underwriting agreement dated February 8, 2021.

F2: This amount represents the price per share at which the Reporting Person sold the shares of the issuer's common stock in this transaction.

F3: These shares of common stock of the issuer were directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd.

F4: Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may have been deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaimed beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also have been deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each of Dr. Garcia and Mr. Hoesterey disclaimed beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F5: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4.

Traeger, Inc.

Report date August 02, 2021 · Filed August 04, 2021

Jointly reported with AEA INVESTORS LP, AEA INVESTORS FUND VI LP, AEA Investors Partners VI LP, AEA Management (Cayman) Ltd, AEA TGP Holdco LP, AEA Fund VI Stockholder Representative Corp., AEA INVESTORS EXECUTIVE FUND VI LP, AEA Investors Executive Partners VI LLC, Garcia John L

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	33,519,063	Reported balance After 2021-08-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-08-02 · Sale · Disposed 6,829,350 · Balance 33,519,063 F1: The reported securities are owned directly by AEA TGP Holdco LP (the "AEA Fund"). The general partner of AEA TGP Holdco LP is AEA Fund VI Stockholder Representative Corp., which is wholly owned by AEA Investors Fund VI LP, which, along with AEA Investors Executive Fund VI LP, is a limited partner in the AEA Fund. The general partner of AEA Investors Fund VI LP is AEA Investors Partners VI LP, whose general partner is AEA Management (Cayman) Ltd. The general partner of AEA Investors Executive Fund VI LP is AEA Investors Executive Partners VI LLC, whose sole member is AEA Investors LP. F2: Each of AEA Fund VI Stockholder Representative Corp., AEA Investors Fund VI LP, AEA Investors Executive Fund VI LP, AEA Investors Partners VI LP, AEA Investors Executive Partners VI LLC, AEA Management (Cayman) Ltd., and AEA Investors LP may be deemed to share beneficial ownership of the shares of record owned by the AEA Fund, but each disclaims beneficial ownership of such shares. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by the AEA Fund, but each of Dr. Garcia and Mr. Hoesterey disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are owned directly by AEA TGP Holdco LP (the "AEA Fund"). The general partner of AEA TGP Holdco LP is AEA Fund VI Stockholder Representative Corp., which is wholly owned by AEA Investors Fund VI LP, which, along with AEA Investors Executive Fund VI LP, is a limited partner in the AEA Fund. The general partner of AEA Investors Fund VI LP is AEA Investors Partners VI LP, whose general partner is AEA Management (Cayman) Ltd. The general partner of AEA Investors Executive Fund VI LP is AEA Investors Executive Partners VI LLC, whose sole member is AEA Investors LP.

F2: Each of AEA Fund VI Stockholder Representative Corp., AEA Investors Fund VI LP, AEA Investors Executive Fund VI LP, AEA Investors Partners VI LP, AEA Investors Executive Partners VI LLC, AEA Management (Cayman) Ltd., and AEA Investors LP may be deemed to share beneficial ownership of the shares of record owned by the AEA Fund, but each disclaims beneficial ownership of such shares. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by the AEA Fund, but each of Dr. Garcia and Mr. Hoesterey disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

GMS Inc.

Report date September 09, 2019 · Filed September 10, 2019

Jointly reported with AEA INVESTORS FUND V LP, AEA INVESTORS FUND V-A LP, AEA INVESTORS FUND V-B LP, AEA Investors Partners V LP, AEA Management (Cayman) Ltd, Garcia John L

Section 16 reporting ended · disclosed 2019-09-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	0	Reported balance After 2019-09-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-09 · Sale · Disposed 6,825,058 · Balance 0 F1: These shares of common stock were sold pursuant to the Underwriting Agreement dated September 4, 2019. F2: This amount represents the $27.20 public offering price per share of the issuer's common stock less the underwriting discount of $0.27 per share. F3: These shares of common stock of the issuer are directly held by AEA GMS Holdings LP ("AEA GMS Holdings"), whose general partner is AEA GMS Holdings GP LLC ("AEA GMS Holdings GP"). The managing member of AEA GMS Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA GMS Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4: Each of AEA GMS Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA GMS Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA GMS Holdings, but each of Mr. Garcia and Mr. Hoesterey disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA GMS Holdings LP, AEA GMS Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA Investors LP have filed a separate Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: These shares of common stock were sold pursuant to the Underwriting Agreement dated September 4, 2019.

F2: This amount represents the $27.20 public offering price per share of the issuer's common stock less the underwriting discount of $0.27 per share.

F3: These shares of common stock of the issuer are directly held by AEA GMS Holdings LP ("AEA GMS Holdings"), whose general partner is AEA GMS Holdings GP LLC ("AEA GMS Holdings GP"). The managing member of AEA GMS Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA GMS Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd.

F4: Each of AEA GMS Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA GMS Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA GMS Holdings, but each of Mr. Garcia and Mr. Hoesterey disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F5: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA GMS Holdings LP, AEA GMS Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA Investors LP have filed a separate Form 4.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 20, 2023 Filed Sep 22, 2023 18:29 UTC	American Oncology Network, Inc. AONC · Entity 88884	GrantSeries A Convertible Preferred Stock · Derivative	1,820,147	Not disclosed Strike: $10.00	Not disclosed	Disclosure SEC source: 0001209191-23-050425 · doc4.xml · derivative · entry 2 AEA GROWTH EQUITY FUND LP · CIK 0001894812 · 10% owner AEA GROWTH EQUITY FUND (PARALLEL) LP · CIK 0001894190 · 10% owner Hoesterey Brian R · CIK 0001675264 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held through AEA Growth Equity Fund (Parallel) LP Disclosed balance after: 1,820,147 Underlying: Class A Common Stock · 1,820,147 shares Expires not disclosed F1 · derivative.exercise_price: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger"). F1 · price: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger"). F2 · derivative.exercise_date: Each share of the Preferred Stock is convertible, in whole or in part, into one share of Class A Common Stock of the Issuer (based on an initial conversion price of $10.00 per share, which is subject to adjustment upon the occurrence of certain events, the "Conversion Price") at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received per share of Preferred Stock upon conversion equals the sum of (A) $10.00 (as adjusted upon the occurrence of certain events) and (B) any accrued, unpaid annual dividends, divided by the Conversion Price, with cash in-lieu of fractional shares. F3 · derivative.expiration_date: The Preferred Stock is perpetual and therefore has no expiration date. F5 · ownership.nature: AEA Growth Equity GP LLC is the general partner of AEA Growth Equity Partners LP. The sole member of AEA Growth Equity GP LLC is AEA Management UGP LLC, the managing member of which is Brian Hoesterey. F6 · ownership.nature: These securities are directly held by AEA Growth Equity Fund (Parallel) LP, the general partner of which is AEA Growth Equity Partners LP. Read SEC document
September 20, 2023 Filed Sep 22, 2023 18:29 UTC	American Oncology Network, Inc. AONC · Entity 88884	GrantSeries A Convertible Preferred Stock · Derivative	4,831,463	Not disclosed Strike: $10.00	Not disclosed	Disclosure SEC source: 0001209191-23-050425 · doc4.xml · derivative · entry 1 AEA GROWTH EQUITY FUND LP · CIK 0001894812 · 10% owner AEA GROWTH EQUITY FUND (PARALLEL) LP · CIK 0001894190 · 10% owner Hoesterey Brian R · CIK 0001675264 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Held through AEA Growth Equity Fund LP Disclosed balance after: 4,831,463 Underlying: Class A Common Stock · 4,831,463 shares Expires not disclosed F1 · derivative.exercise_price: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger"). F1 · price: On September 20, 2023, the date of the closing of the transactions contemplated by that certain Third Amended and Restated Business Combination Agreement (the "Closing Date" and such closing, the "Closing"), and immediately prior to the Closing, each outstanding Class C Unit of American Oncology Network, LLC ("AON LLC") held by GEF AON Holdings Cop. ("GEF") was exchanged for one Series A Preferred Unit of AON LLC. On the Closing Date and following the adoption of the Second Amended and Restated Certificate of Incorporation of the Issuer and the filing of the Certificates of Designation of the Issuer, DTOC Merger Sub, Inc. merged with and into GEF and the Issuer issued to the Reporting Persons 6,651,610 shares of Series A Preferred Stock of the Issuer (the "Preferred Stock") in exchange for all the shares of Class A Common Stock of GEF held by the Reporting Persons (the "First Merger"). F2 · derivative.exercise_date: Each share of the Preferred Stock is convertible, in whole or in part, into one share of Class A Common Stock of the Issuer (based on an initial conversion price of $10.00 per share, which is subject to adjustment upon the occurrence of certain events, the "Conversion Price") at any time, at the Reporting Person's election. The number of shares of the Issuer's Class A Common Stock received per share of Preferred Stock upon conversion equals the sum of (A) $10.00 (as adjusted upon the occurrence of certain events) and (B) any accrued, unpaid annual dividends, divided by the Conversion Price, with cash in-lieu of fractional shares. F3 · derivative.expiration_date: The Preferred Stock is perpetual and therefore has no expiration date. F4 · ownership.nature: These securities are directly held by AEA Growth Equity Fund LP, the general partner of which is AEA Growth Equity Partners LP. F5 · ownership.nature: AEA Growth Equity GP LLC is the general partner of AEA Growth Equity Partners LP. The sole member of AEA Growth Equity GP LLC is AEA Management UGP LLC, the managing member of which is Brian Hoesterey. Read SEC document
August 02, 2021 Filed Aug 4, 2021 18:42 UTC	Traeger, Inc. COOK · Entity 712	SaleCommon Stock	6,829,350	$16.92	$115,552,602.00	Disclosure SEC source: 0000899243-21-031658 · doc4.xml · nonDerivative · entry 1 AEA INVESTORS LP · CIK 0001216273 · 10% owner AEA INVESTORS FUND VI LP · CIK 0001651663 · 10% owner AEA Investors Partners VI LP · CIK 0001876398 · 10% owner AEA Management (Cayman) Ltd · CIK 0001675446 · 10% owner AEA TGP Holdco LP · CIK 0001873307 · 10% owner AEA Fund VI Stockholder Representative Corp. · CIK 0001876395 · 10% owner AEA INVESTORS EXECUTIVE FUND VI LP · CIK 0001659334 · 10% owner AEA Investors Executive Partners VI LLC · CIK 0001876745 · 10% owner Hoesterey Brian R · CIK 0001675264 · 10% owner Garcia John L · CIK 0001675523 · 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: 33,519,063 F1 · ownership.nature: The reported securities are owned directly by AEA TGP Holdco LP (the "AEA Fund"). The general partner of AEA TGP Holdco LP is AEA Fund VI Stockholder Representative Corp., which is wholly owned by AEA Investors Fund VI LP, which, along with AEA Investors Executive Fund VI LP, is a limited partner in the AEA Fund. The general partner of AEA Investors Fund VI LP is AEA Investors Partners VI LP, whose general partner is AEA Management (Cayman) Ltd. The general partner of AEA Investors Executive Fund VI LP is AEA Investors Executive Partners VI LLC, whose sole member is AEA Investors LP. F2 · ownership.nature: Each of AEA Fund VI Stockholder Representative Corp., AEA Investors Fund VI LP, AEA Investors Executive Fund VI LP, AEA Investors Partners VI LP, AEA Investors Executive Partners VI LLC, AEA Management (Cayman) Ltd., and AEA Investors LP may be deemed to share beneficial ownership of the shares of record owned by the AEA Fund, but each disclaims beneficial ownership of such shares. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by the AEA Fund, but each of Dr. Garcia and Mr. Hoesterey disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Read SEC document
February 11, 2021 Filed Feb 12, 2021 16:27 UTC	Evoqua Water Technologies Corp. AQUA · Entity 113037	SaleCommon Stock	11,341,930	$24.00	$272,206,320.00	Disclosure SEC source: 0000895345-21-000176 · form4.xml · nonDerivative · entry 1 AEA INVESTORS FUND V LP · CIK 0001534662 · See Remarks AEA INVESTORS FUND V-A LP · CIK 0001551971 · See Remarks AEA INVESTORS FUND V-B LP · CIK 0001554676 · See Remarks AEA Investors Partners V LP · CIK 0001675447 · See Remarks AEA Management (Cayman) Ltd · CIK 0001675446 · See Remarks Garcia John L · CIK 0001675523 · See Remarks Hoesterey Brian R · CIK 0001675264 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · shares: These shares of common stock were sold pursuant to an underwriting agreement dated February 8, 2021. F2 · price: This amount represents the price per share at which the Reporting Person sold the shares of the issuer's common stock in this transaction. F3 · ownership.nature: These shares of common stock of the issuer were directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4 · ownership.nature: Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may have been deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaimed beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also have been deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each of Dr. Garcia and Mr. Hoesterey disclaimed beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5 · ownership.nature: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4. Read SEC document
December 04, 2020 Filed Dec 7, 2020 16:50 UTC	Evoqua Water Technologies Corp. AQUA · Entity 113037	SaleCommon Stock	8,307,691	$24.90	$206,861,505.90	Disclosure SEC source: 0000895345-20-001136 · form4.xml · nonDerivative · entry 1 AEA INVESTORS FUND V LP · CIK 0001534662 · 10% owner AEA INVESTORS FUND V-A LP · CIK 0001551971 · 10% owner AEA INVESTORS FUND V-B LP · CIK 0001554676 · 10% owner AEA Investors Partners V LP · CIK 0001675447 · 10% owner AEA Management (Cayman) Ltd · CIK 0001675446 · 10% owner Garcia John L · CIK 0001675523 · 10% owner Hoesterey Brian R · CIK 0001675264 · 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: 11,341,930 F1 · shares: These shares of common stock were sold pursuant to an underwriting agreement dated December 1, 2020. F2 · price: This amount represents the price per share at which the Reporting Person sold the shares of the issuer's common stock in this transaction. F3 · ownership.nature: These shares of common stock of the issuer are directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4 · ownership.nature: Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each of Dr. Garcia and Mr. Hoesterey disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5 · ownership.nature: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4. Read SEC document
November 05, 2020 Filed Nov 6, 2020 16:16 UTC	At Home Group Inc. HOME · Entity 136668	SaleCommon Stock	10,536,504	$16.93	$178,383,012.72	Disclosure SEC source: 0000895345-20-001075 · form4.xml · nonDerivative · entry 1 AEA INVESTORS LP · CIK 0001216273 · 10% owner GRD Holding GP LLC · CIK 0001681340 · 10% owner GRD Holding-A LLC · CIK 0001681351 · 10% owner GRD Holding-A LP · CIK 0001681353 · 10% owner GRD Holding LP · CIK 0001681381 · 10% owner Hoesterey Brian R · CIK 0001675264 · 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: 0 F1 · shares: On November 5, 2020, GRD Holding LP, GRD Holding-A LP and GRD Holding AEA LLC sold 8,046,154, 773,427 and 1,716,923 shares of common stock of the issuer, respectively, at a per share price of $16.93. F2 · ownership.nature: Prior to the sale reported in this Form 4 report, shares of common stock of the issuer were directly held by (i) GRD Holding LP, whose general partner is GRD Holding GP LLC, whose sole member is AEA Investors LP, (ii) GRD Holding-A LP, whose general partner is GRD Holding-A LLC, whose sole member is AEA Investors LP, and (iii) GRD Holding AEA LLC, whose members are AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, AEA Investors 2006 Fund L.P., and AEA Investors 2006 Fund II L.P. F3 · ownership.nature: The general partner of each of AEA Investors 2006 Participant Fund LP and AEA Investors 2006 QP Participant Fund LP is AEA Investors 2006 PF LLC, whose sole member is AEA Management LLC. The general partner of each of AEA Investors 2006 Fund L.P. and AEA Investors 2006 Fund II L.P. is AEA Investors Partners 2006 L.P., whose general partner is AEA Management (Cayman) Ltd. F4 · ownership.nature: Each of GRD Holding GP LLC and AEA Investors LP may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding LP, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding-A LP and GRD Holding AEA LLC. Each of GRD Holding-A LLC and AEA Investors LP may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding-A LP, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding LP and GRD Holding AEA LLC. F5 · ownership.nature: Each of AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, AEA Investors 2006 PF LLC, AEA Management LLC, AEA Investors 2006 Fund L.P., AEA Investors 2006 Fund II L.P., AEA Investors Partners 2006 L.P. and AEA Management (Cayman) Ltd. may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding AEA LLC, but each disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein, as well as of the shares of common stock of the issuer held of record by each of GRD Holding LP and GRD Holding-A LP. F6 · ownership.nature: Dr. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may have been, prior to the sale reported in this Form 4 report, deemed to share beneficial ownership of the shares of common stock of the issuer held of record by GRD Holding LP, GRD Holding-A LP and GRD Holding AEA LLC, but each of Dr. Garcia and Mr. Hoesterey disclaimed beneficial ownership of such shares, except to the extent of any pecuniary interest therein. F7 · ownership.nature: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Management (Cayman) Ltd., AEA Management LLC, AEA Investors Partners 2006 L.P., AEA Investors 2006 PF LLC, AEA Investors 2006 Fund L.P., AEA Investors 2006 Fund II L.P., AEA Investors 2006 Participant Fund LP, AEA Investors 2006 QP Participant Fund LP, GRD Holding AEA LLC and Dr. Garcia have filed a separate Form 4. Read SEC document
August 10, 2020 Filed Aug 11, 2020 16:23 UTC	Evoqua Water Technologies Corp. AQUA · Entity 113037	SaleCommon Stock	6,369,232	$20.35	$129,613,871.20	Disclosure SEC source: 0000895345-20-000874 · form4.xml · nonDerivative · entry 1 AEA INVESTORS FUND V LP · CIK 0001534662 · 10% owner AEA INVESTORS FUND V-A LP · CIK 0001551971 · 10% owner AEA INVESTORS FUND V-B LP · CIK 0001554676 · 10% owner AEA Investors Partners V LP · CIK 0001675447 · 10% owner AEA Management (Cayman) Ltd · CIK 0001675446 · 10% owner Garcia John L · CIK 0001675523 · 10% owner Hoesterey Brian R · CIK 0001675264 · 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: 19,649,621 F1 · shares: These shares of common stock were sold pursuant to an underwriting agreement dated August 6, 2020. F2 · price: This amount represents the $20.75 public offering price per share of the issuer's common stock, less an underwriting discount of $0.40 per share. F3 · ownership.nature: These shares of common stock of the issuer are directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4 · ownership.nature: Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each of Dr. Garcia and Mr. Hoesterey disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5 · ownership.nature: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4. Read SEC document
March 10, 2020 Filed Mar 10, 2020 16:18 UTC	Evoqua Water Technologies Corp. AQUA · Entity 113037	SaleCommon Stock	9,000,000	$18.87	$169,796,700.00	Disclosure SEC source: 0000895345-20-000312 · form4.xml · nonDerivative · entry 1 AEA INVESTORS FUND V LP · CIK 0001534662 · 10% owner AEA INVESTORS FUND V-A LP · CIK 0001551971 · 10% owner AEA INVESTORS FUND V-B LP · CIK 0001554676 · 10% owner AEA Investors Partners V LP · CIK 0001675447 · 10% owner AEA Management (Cayman) Ltd · CIK 0001675446 · 10% owner Garcia John L · CIK 0001675523 · 10% owner Hoesterey Brian R · CIK 0001675264 · 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: 26,018,853 F1 · shares: These shares of common stock were sold pursuant to an underwriting agreement dated March 5, 2020. F2 · price: This amount represents the $19.50 public offering price per share of the issuer's common stock, less an underwriting discount of $0.63375 per share. F3 · ownership.nature: These shares of common stock of the issuer are directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4 · ownership.nature: Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each of Dr. Garcia and Mr. Hoesterey disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5 · ownership.nature: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4. Read SEC document
September 09, 2019 Filed Sep 10, 2019 16:35 UTC	GMS Inc. GMS · Entity 75647	SaleCommon Stock	6,825,058	$26.93	$183,798,811.94	Disclosure SEC source: 0001567619-19-018122 · doc1.xml · nonDerivative · entry 1 AEA INVESTORS FUND V LP · CIK 0001534662 · 10% owner AEA INVESTORS FUND V-A LP · CIK 0001551971 · 10% owner AEA INVESTORS FUND V-B LP · CIK 0001554676 · 10% owner AEA Investors Partners V LP · CIK 0001675447 · 10% owner AEA Management (Cayman) Ltd · CIK 0001675446 · 10% owner Garcia John L · CIK 0001675523 · 10% owner Hoesterey Brian R · CIK 0001675264 · Director · 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: 0 F1 · shares: These shares of common stock were sold pursuant to the Underwriting Agreement dated September 4, 2019. F2 · price: This amount represents the $27.20 public offering price per share of the issuer's common stock less the underwriting discount of $0.27 per share. F3 · ownership.nature: These shares of common stock of the issuer are directly held by AEA GMS Holdings LP ("AEA GMS Holdings"), whose general partner is AEA GMS Holdings GP LLC ("AEA GMS Holdings GP"). The managing member of AEA GMS Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA GMS Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd. F4 · ownership.nature: Each of AEA GMS Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA GMS Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., and Brian R. Hoesterey, the Chief Executive Officer of AEA Investors LP, may also be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA GMS Holdings, but each of Mr. Garcia and Mr. Hoesterey disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F5 · ownership.nature: Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA GMS Holdings LP, AEA GMS Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA Investors LP have filed a separate Form 4. 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.