Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AVALARA, INC.AVLR · Entity 123010 | 10% owner | May 20, 2019 | May 22, 2019 |
| DZS INC.ZHNE · Entity 17724 | See footnote (1) below. | November 13, 2003 | November 24, 2003 |
| KINDERCARE LEARNING CENTERS INC /DEKDCR · Entity 17579 | 10% owner | January 07, 2005 | January 11, 2005 |
| TIAA FSB Holdings, Inc.EVER · Entity 175273 | Director | December 02, 2016 | December 02, 2016 |
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.
AVALARA, INC.
Report date May 20, 2019 · Filed May 22, 2019
Jointly reported with GILHULY EDWARD A, SAGEVIEW CAPITAL LP, SAGEVIEW CAPITAL MASTER, L.P., Sageview Avalara Partners, L.P., Sageview Avalara Partners I, L.P., Sageview Capital MGP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,486,706 |
Reported balance
After 2019-05-20 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2019-05-20 · Sale · Disposed 2,079,449 · Balance 3,486,706 F1: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F2: Reflects shares held directly by SCM. Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B") and Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of SCM. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of SCM, Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Edward Gilhuly and Scott Stuart are managing members and controlling persons of Sageview Capital MGP, LLC. Each of SC, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 254,361 |
Reported balance
After 2019-05-20 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2019-05-20 · Sale · Disposed 151,699 · Balance 254,361 F1: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F3: Reflects shares held directly by SCA. Each of SC, SCM, SCAI, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 450,798 |
Reported balance
After 2019-05-20 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2019-05-20 · Sale · Disposed 268,852 · Balance 450,798 F1: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F4: Reflects shares held directly by SCAI. Each of SC, SCM, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 75,000 |
Reported balance
Holding disclosure · report date 2019-05-20 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 75,000 F1: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F7: Reflects shares held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 489,217 |
Reported balance
Holding disclosure · report date 2019-05-20 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 489,217 F5: Reflects shares held by trusts for the benefit of members of Mr. Gilhuly's family. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 489,217 |
Reported balance
Holding disclosure · report date 2019-05-20 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 489,217 F6: Reflects shares held by trusts for the benefit of members of Mr. Stuart's family. |
Filing footnotes · ownership attribution and instrument terms
F1: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC.
F2: Reflects shares held directly by SCM. Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B") and Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of SCM. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of SCM, Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Edward Gilhuly and Scott Stuart are managing members and controlling persons of Sageview Capital MGP, LLC. Each of SC, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
F3: Reflects shares held directly by SCA. Each of SC, SCM, SCAI, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
F4: Reflects shares held directly by SCAI. Each of SC, SCM, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
F5: Reflects shares held by trusts for the benefit of members of Mr. Gilhuly's family.
F6: Reflects shares held by trusts for the benefit of members of Mr. Stuart's family.
F7: Reflects shares held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
DZS INC.
Report date November 13, 2003 · Filed November 24, 2003
Jointly reported with KKR 1996 GP LLC, RAETHER PAUL E, RICHARRDSON NEIL A, KRAVIS HENRY R, KKR ZT LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, NAVAB ALEXANDER
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee below. | 8,959,375 |
Reported balance
Holding disclosure · report date 2003-11-13 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 8,959,375 F1: See the attached Joint Filer information. |
Filing footnotes · ownership attribution and instrument terms
F1: See the attached Joint Filer information.
KINDERCARE LEARNING CENTERS INC /DE
Report date January 07, 2005 · Filed January 11, 2005
Jointly reported with KKR KLC L L C, KRAVIS HENRY R, ROBERTS GEORGE R, RAETHER PAUL E, MICHELSON MICHAEL W, GREENE JAMES H JR, GOLKIN PERRY, GILHULY EDWARD A
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee | 0 |
Reported balance
After 2005-01-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-01-07 · Sale · Disposed 15,454,210 · Balance 0 F1: $1.18 of the per share purchase price has been deposited into escrow to secure indemnity and expense obligations of stockholders in accordance with the terms of the agreements relating to the transaction. F2: 15,454,210 shares of common stock shown as having been formerly beneficially owned by KKR-KLC L.L.C. were directly held by KLC Associates, L.P. KKR-KLC L.L.C. is the sole general partner of KKR Associates (KLC) L.P., which is the sole general partner of KLC Associates, L.P., and possesses sole voting and investment power with respect to such shares. KKR-KLC L.L.C. is a limited liability company, the members of which are Messrs. Henry R. Kravis; George R. Roberts; Paul E. Raether; Michael W. Michelson; James H. Greene, Jr.; Perry Golkin; Scott M. Stuart; and Edward A. Gilhuly. Each of the members of KKR-KLC L.L.C. may be deemed to share beneficial ownership of the shares shown as beneficially owned by KKR-KLC L.L.C. Each member disclaims beneficial ownership of these shares. In addition, 203,684 shares of common stock were formerly directly held by KKR Partners II, L.P., an affiliate of KKR-KLC L.L.C. |
Filing footnotes · ownership attribution and instrument terms
F1: $1.18 of the per share purchase price has been deposited into escrow to secure indemnity and expense obligations of stockholders in accordance with the terms of the agreements relating to the transaction.
F2: 15,454,210 shares of common stock shown as having been formerly beneficially owned by KKR-KLC L.L.C. were directly held by KLC Associates, L.P. KKR-KLC L.L.C. is the sole general partner of KKR Associates (KLC) L.P., which is the sole general partner of KLC Associates, L.P., and possesses sole voting and investment power with respect to such shares. KKR-KLC L.L.C. is a limited liability company, the members of which are Messrs. Henry R. Kravis; George R. Roberts; Paul E. Raether; Michael W. Michelson; James H. Greene, Jr.; Perry Golkin; Scott M. Stuart; and Edward A. Gilhuly. Each of the members of KKR-KLC L.L.C. may be deemed to share beneficial ownership of the shares shown as beneficially owned by KKR-KLC L.L.C. Each member disclaims beneficial ownership of these shares. In addition, 203,684 shares of common stock were formerly directly held by KKR Partners II, L.P., an affiliate of KKR-KLC L.L.C.
TIAA FSB Holdings, Inc.
Report date December 02, 2016 · Filed December 02, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy Sageview Partners L.P. | 0 |
Reported balance
After 2016-12-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-12-02 · Sale · Disposed 7,012,230 · Balance 0 F1: Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of Sageview Partners L.P. Sageview A, Sageview B and Sageview C are the shareholders of Sageview Master. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview Capital MGP, LLC ("Sageview MGP") is the sole general partner of Sageview GenPar. Scott M. Stuart, one of the Issuer's directors, is a managing and controlling person of Sageview MGP. Mr. Stuart disclaims beneficial ownership over the shares held by Sageview Partners L.P. except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of Sageview Partners L.P. Sageview A, Sageview B and Sageview C are the shareholders of Sageview Master. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview Capital MGP, LLC ("Sageview MGP") is the sole general partner of Sageview GenPar. Scott M. Stuart, one of the Issuer's directors, is a managing and controlling person of Sageview MGP. Mr. Stuart disclaims beneficial ownership over the shares held by Sageview Partners L.P. except to the extent of his pecuniary interest therein.
Past disclosures · reporting ended (7)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AMPHENOL CORP /DE/
Report date February 23, 2004 · Filed February 26, 2004
Section 16 reporting ended · disclosed 2004-02-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,350,628 |
Reported balance
After 2004-02-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2004-02-23 · Other · Disposed 7,560,000 · Balance 4,350,628 F1: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on February 23, 2004; the sale is expected to be consummated on February 27, 2004. The reported price of $60.00 per share does not reflect an underwriting discount of $2.10 per share. The Reporting Person received $57.90 per share. F2: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on February 23, 2004; the sale is expected to be consummated on February 27, 2004. The reported price of $60.00 per share does not reflect an underwriting discount of $2.10 per share. The Reporting Person received $57.90 per share.
F2: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock.
BRISTOL WEST HOLDINGS INC
Report date July 03, 2007 · Filed July 06, 2007
Jointly reported with KKR 1996 GP LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, BRISTOL WEST ASSOCIATES LLC, KRAVIS HENRY R, ROBERTS GEORGE R, RAETHER PAUL E, GREENE JAMES H JR, GILHULY EDWARD A
Section 16 reporting ended · disclosed 2007-07-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2007-07-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2007-07-03 · Other · Disposed 12,257,368 · Balance 0 F1: Disposed of pursuant to merger agreement between issuer, Farmers Group Inc. and BWH Acquisition Company in exchange for cash. F2: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to merger agreement between issuer, Farmers Group Inc. and BWH Acquisition Company in exchange for cash.
F2: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof.
Cadence Bancorporation
Report date June 15, 2020 · Filed June 17, 2020
Section 16 reporting ended · disclosed 2020-06-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 12,215 |
Reported balance
After 2020-06-15 transaction · row 1
1 source rowRow 1 · 2020-06-15 · Purchase · Acquired 1,560 · Balance 12,215 |
| Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 807,530 |
Reported balance
Holding disclosure · report date 2020-06-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 807,530 F1: Indirect shares held by the Scott M. Stuart Family Trust and The Stuart 1996 Family Trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Indirect shares held by the Scott M. Stuart Family Trust and The Stuart 1996 Family Trust.
Cineverse Corp.
Report date December 23, 2016 · Filed December 28, 2016
Jointly reported with SAGEVIEW CAPITAL MASTER, L.P., Sageview Capital Partners (A), LP, Sageview Capital Partners (B), LP, Sageview Partners (C) (Master), LP, Sageview Capital GenPar, Ltd., Sageview Capital GenPar, LP, Sageview Capital MGP, LLC, GILHULY EDWARD A
Section 16 reporting ended · disclosed 2016-12-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrants to purchase shares of Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $12.36 · Expires 2019-08-11 | IndirectSee Footnotes | 0 |
Reported balance
After 2016-12-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-12-23 · Sale · Disposed 1,773,462 · Balance 0 F1: Information in Table II reflects anti-dilution and other adjustments made to the Warrants in accordance with their terms since the time they were first issued. F2: On December 23, 2016 Sageview Master terminated the Warrants in exchange for a payment of $5,000 in cash from the Issuer. F3: This Form 4 is filed on behalf of Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Capital Partners (C) (Master), L.P. ("Sageview C"), Sageview Capital GenPar, Ltd. ("Sageview Ltd"), Sageview Capital GenPar, L.P. ("Sageview GenPar"), Sageview Capital MGP, LLC ("Sageview MGP"), Mr. Edward A. Gilhuly and Mr. Scott M. Stuart. Sageview A, Sageview B and Sageview C are collectively the holders of 100% of the limited partnership interests in Sageview Master. Sageview Ltd is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview GenPar is the sole owner of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Messrs. Gilhuly and Stuart are managing and controlling persons of Sageview MGP. F4: Each of Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP and Messrs. Gilhuly and Stuart may be deemed to be the indirect beneficial owners of any securities beneficially owned or deemed to be beneficially owned by Sageview Master. However, each of Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP and Messrs. Gilhuly and Stuart disclaims beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Information in Table II reflects anti-dilution and other adjustments made to the Warrants in accordance with their terms since the time they were first issued.
F2: On December 23, 2016 Sageview Master terminated the Warrants in exchange for a payment of $5,000 in cash from the Issuer.
F3: This Form 4 is filed on behalf of Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Capital Partners (C) (Master), L.P. ("Sageview C"), Sageview Capital GenPar, Ltd. ("Sageview Ltd"), Sageview Capital GenPar, L.P. ("Sageview GenPar"), Sageview Capital MGP, LLC ("Sageview MGP"), Mr. Edward A. Gilhuly and Mr. Scott M. Stuart. Sageview A, Sageview B and Sageview C are collectively the holders of 100% of the limited partnership interests in Sageview Master. Sageview Ltd is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview GenPar is the sole owner of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Messrs. Gilhuly and Stuart are managing and controlling persons of Sageview MGP.
F4: Each of Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP and Messrs. Gilhuly and Stuart may be deemed to be the indirect beneficial owners of any securities beneficially owned or deemed to be beneficially owned by Sageview Master. However, each of Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP and Messrs. Gilhuly and Stuart disclaims beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
O-I Glass, Inc. /DE/
Report date December 02, 2004 · Filed December 06, 2004
Jointly reported with KKR ASSOCIATES, GILHULY EDWARD A, ROBERTS GEORGE R, GOLKIN PERRY, RAETHER PAUL E, KRAVIS HENRY R, KKR PARTNERS II LP, OII Associates, L.P., OII Associates II, L.P.
Section 16 reporting ended · disclosed 2004-12-06. 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 | 4,365,000 |
Reported balance
After 2004-12-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-12-02 · Sale · Disposed 30,555,000 · Balance 4,365,000 F1: Shares sold pursuant to a registered offering. F2: These shares are directly owned by OII Associates, L.P. ("OII"). KKR Associates, L.P. ("KKR Associates") is the general partner of OII and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII, but disclaims such beneficial ownership except to the extent of its economic interest. F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 106,075 |
Reported balance
After 2004-12-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2004-12-02 · Sale · Disposed 742,525 · Balance 106,075 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F4: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is a general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership except to the extent of its economic interest. F5: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 28,925 |
Reported balance
After 2004-12-02 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2004-12-02 · Sale · Disposed 202,475 · Balance 28,925 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F5: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. F6: These shares are directly owned by OII Associates II, L.P. ("OII II"). KKR Associates is a general partner of OII II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII II, but disclaims such beneficial ownership except to the extent of its economic interest. |
| Common StockSEC Table I · non-derivative | Direct | 10,000 |
Reported balance
Holding disclosure · report date 2004-12-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 10,000 F7: These securities are owned solely by Edward A. Gilhuly. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares sold pursuant to a registered offering.
F2: These shares are directly owned by OII Associates, L.P. ("OII"). KKR Associates, L.P. ("KKR Associates") is the general partner of OII and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII, but disclaims such beneficial ownership except to the extent of its economic interest.
F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest.
F4: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is a general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership except to the extent of its economic interest.
F5: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group.
F6: These shares are directly owned by OII Associates II, L.P. ("OII II"). KKR Associates is a general partner of OII II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII II, but disclaims such beneficial ownership except to the extent of its economic interest.
F7: These securities are owned solely by Edward A. Gilhuly.
WALTER INDUSTRIES INC /NEW/
Report date October 28, 2004 · Filed November 01, 2004
Jointly reported with KKR ASSOCIATES, GREENE JAMES H JR, KRAVIS HENRY R, RAETHER PAUL E, ROBERTS GEORGE R, GOLKIN PERRY, GILHULY EDWARD A, MICHELSON MICHAEL W
Section 16 reporting ended · disclosed 2004-11-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 1,092,488 |
Reported balance
After 2004-10-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2004-10-28 · Sale · Disposed 4,374,755 · Balance 1,092,488 F1: Shares sold pursuant to a registered offering. F2: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 0 |
Reported balance
After 2004-10-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2004-10-28 · Other · Disposed 1,092,488 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F2: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 7,239 |
Reported balance
After 2004-10-28 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2004-10-28 · Sale · Disposed 28,988 · Balance 7,239 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 0 |
Reported balance
After 2004-10-28 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2004-10-28 · Other · Disposed 7,239 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 26,484 |
Reported balance
After 2004-10-28 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2004-10-28 · Sale · Disposed 106,051 · Balance 26,484 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 0 |
Reported balance
After 2004-10-28 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2004-10-28 · Other · Disposed 26,484 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 871,594 |
Reported balance
After 2004-10-28 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2004-10-28 · Sale · Disposed 3,490,206 · Balance 871,594 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Notes | 0 |
Reported balance
After 2004-10-28 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2004-10-28 · Other · Disposed 871,594 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares sold pursuant to a registered offering.
F2: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest.
F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest.
F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004.
F5: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest.
F6: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest.
F7: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest.
ZTI MERGER SUBSIDIARY III INC
Report date November 13, 2003 · Filed November 17, 2003
Jointly reported with KKR 1996 GP LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, KKR ZT LLC, NAVAB ALEXANDER, RAETHER PAUL E, RICHARRDSON NEIL A, KRAVIS HENRY R
Section 16 reporting ended · disclosed 2003-11-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee below. | 0 |
Last balance in matching sequence
After 2003-11-13 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2003-11-13 · Conversion · Acquired 19,062,500 · Balance 19,062,500 F1: See the attached Joint Filer information. Row 2 · 2003-11-13 · Other · Disposed 19,062,500 · Balance 0 F1: See the attached Joint Filer information. |
| Series AA Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.00 | IndirectSee below. | 0 |
Reported balance
After 2003-11-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2003-11-13 · Conversion · Disposed 19,062,500 · Balance 0 F1: See the attached Joint Filer information. F2: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: See the attached Joint Filer information.
F2: Not applicable.
Transaction history
JSON APIPurchases/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 |
|---|---|---|---|---|---|---|
| June 07, 2018 Filed Jun 19, 2018 18:40 UTC | AVALARA, INC. AVLR · Entity 123010 | OtherCommon Stock | 10,000 | $9.72 | $97,200.00 |
DisclosureSEC source: 0000899243-18-017226 · doc4.xml · nonDerivative · entry 2 GILHULY EDWARD A · CIK 0001206780 · Director · 10% owner SAGEVIEW CAPITAL LP · CIK 0001389563 · 10% owner SAGEVIEW CAPITAL MASTER, L.P. · CIK 0001374997 · 10% owner Sageview Avalara Partners, L.P. · CIK 0001738804 · 10% owner Sageview Avalara Partners I, L.P. · CIK 0001738810 · 10% owner Sageview Capital MGP, LLC · CIK 0001363701 · 10% owner STUART SCOTT M · CIK 0001081716 · 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: 35,000 F1 · shares: The shares issuable upon exercise of the warrant are subject to the terms of a lock-up agreement entered into in connection with the Issuer's initial public offering. F2 · ownership.nature: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F3 · ownership.nature: Reflects shares or warrants, as applicable, held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Entities referenced in this footnote are defined in footnote 2 or footnote 5, as applicable. Read SEC document |
| June 07, 2018 Filed Jun 19, 2018 18:40 UTC | AVALARA, INC. AVLR · Entity 123010 | OtherCommon Stock | 10,000 | $4.50 | $45,000.00 |
DisclosureSEC source: 0000899243-18-017226 · doc4.xml · nonDerivative · entry 1 GILHULY EDWARD A · CIK 0001206780 · Director · 10% owner SAGEVIEW CAPITAL LP · CIK 0001389563 · 10% owner SAGEVIEW CAPITAL MASTER, L.P. · CIK 0001374997 · 10% owner Sageview Avalara Partners, L.P. · CIK 0001738804 · 10% owner Sageview Avalara Partners I, L.P. · CIK 0001738810 · 10% owner Sageview Capital MGP, LLC · CIK 0001363701 · 10% owner STUART SCOTT M · CIK 0001081716 · 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: 25,000 F1 · shares: The shares issuable upon exercise of the warrant are subject to the terms of a lock-up agreement entered into in connection with the Issuer's initial public offering. F2 · ownership.nature: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F3 · ownership.nature: Reflects shares or warrants, as applicable, held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Entities referenced in this footnote are defined in footnote 2 or footnote 5, as applicable. Read SEC document |
| February 08, 2018 Filed Jun 19, 2018 18:40 UTC | AVALARA, INC. AVLR · Entity 123010 | OtherWarrant (right to buy) · Derivative | 10,000 | $0.00 Strike: $16.60 | $0.00 |
DisclosureSEC source: 0000899243-18-017226 · doc4.xml · derivative · entry 15 GILHULY EDWARD A · CIK 0001206780 · Director · 10% owner SAGEVIEW CAPITAL LP · CIK 0001389563 · 10% owner SAGEVIEW CAPITAL MASTER, L.P. · CIK 0001374997 · 10% owner Sageview Avalara Partners, L.P. · CIK 0001738804 · 10% owner Sageview Avalara Partners I, L.P. · CIK 0001738810 · 10% owner Sageview Capital MGP, LLC · CIK 0001363701 · 10% owner STUART SCOTT M · CIK 0001081716 · 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: 10,000 Underlying: Common Stock · 10,000 shares Expires not disclosed F10 · kind: Pursuant to Mr. Gilhuly's arrangement with SC and related entities, warrants issued to Mr. Gilhuly were transferred to SC. No consideration was paid in connection with the transfer. F8 · derivative.exercise_date: The warrant was fully exercisable upon grant. F9 · derivative.expiration_date: Unless sooner exercised, the warrant expires immediately prior to the closing of the Issuer's initial public offering and will be automatically net exercised pursuant to its terms if not exercised prior to that time. F10 · ownership.direct: Pursuant to Mr. Gilhuly's arrangement with SC and related entities, warrants issued to Mr. Gilhuly were transferred to SC. No consideration was paid in connection with the transfer. F2 · ownership.nature: Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. F3 · ownership.nature: Reflects shares or warrants, as applicable, held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Entities referenced in this footnote are defined in footnote 2 or footnote 5, as applicable. Read SEC document |
| February 08, 2018 Filed Jun 19, 2018 18:40 UTC | AVALARA, INC. AVLR · Entity 123010 | OtherWarrant (right to buy) · Derivative | 10,000 | $0.00 Strike: $16.60 | $0.00 |
DisclosureSEC source: 0000899243-18-017226 · doc4.xml · derivative · entry 14 GILHULY EDWARD A · CIK 0001206780 · Director · 10% owner SAGEVIEW CAPITAL LP · CIK 0001389563 · 10% owner SAGEVIEW CAPITAL MASTER, L.P. · CIK 0001374997 · 10% owner Sageview Avalara Partners, L.P. · CIK 0001738804 · 10% owner Sageview Avalara Partners I, L.P. · CIK 0001738810 · 10% owner Sageview Capital MGP, LLC · CIK 0001363701 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed F10 · kind: Pursuant to Mr. Gilhuly's arrangement with SC and related entities, warrants issued to Mr. Gilhuly were transferred to SC. No consideration was paid in connection with the transfer. F8 · derivative.exercise_date: The warrant was fully exercisable upon grant. F9 · derivative.expiration_date: Unless sooner exercised, the warrant expires immediately prior to the closing of the Issuer's initial public offering and will be automatically net exercised pursuant to its terms if not exercised prior to that time. F10 · ownership.direct: Pursuant to Mr. Gilhuly's arrangement with SC and related entities, warrants issued to Mr. Gilhuly were transferred to SC. No consideration was paid in connection with the transfer. Read SEC document |
| January 24, 2018 Filed Jun 19, 2018 18:40 UTC | AVALARA, INC. AVLR · Entity 123010 | GrantWarrant (right to buy) · Derivative | 10,000 | $0.00 Strike: $16.60 | $0.00 |
DisclosureSEC source: 0000899243-18-017226 · doc4.xml · derivative · entry 13 GILHULY EDWARD A · CIK 0001206780 · Director · 10% owner SAGEVIEW CAPITAL LP · CIK 0001389563 · 10% owner SAGEVIEW CAPITAL MASTER, L.P. · CIK 0001374997 · 10% owner Sageview Avalara Partners, L.P. · CIK 0001738804 · 10% owner Sageview Avalara Partners I, L.P. · CIK 0001738810 · 10% owner Sageview Capital MGP, LLC · CIK 0001363701 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires not disclosed F8 · derivative.exercise_date: The warrant was fully exercisable upon grant. F9 · derivative.expiration_date: Unless sooner exercised, the warrant expires immediately prior to the closing of the Issuer's initial public offering and will be automatically net exercised pursuant to its terms if not exercised prior to that time. Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 16:45 UTC | Cineverse Corp. CIDM · Entity 7143 | SaleWarrants to purchase shares of Class A Common Stock · Derivative | 1,773,462 | Not disclosed Strike: $12.36 | Not disclosed |
DisclosureSEC source: 0000950142-16-004981 · es1601245_4-cidm.xml · derivative · entry 1 SAGEVIEW CAPITAL MASTER, L.P. · CIK 0001374997 · 10% owner Sageview Capital Partners (A), LP · CIK 0001363699 · 10% owner Sageview Capital Partners (B), LP · CIK 0001363698 · 10% owner Sageview Partners (C) (Master), LP · CIK 0001363697 · 10% owner Sageview Capital GenPar, Ltd. · CIK 0001470791 · 10% owner Sageview Capital GenPar, LP · CIK 0001363700 · 10% owner Sageview Capital MGP, LLC · CIK 0001363701 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 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 Underlying: Class A Common Stock · 1,773,462 shares Expires 2019-08-11 F1 · security: Information in Table II reflects anti-dilution and other adjustments made to the Warrants in accordance with their terms since the time they were first issued. F2 · price: On December 23, 2016 Sageview Master terminated the Warrants in exchange for a payment of $5,000 in cash from the Issuer. F3 · ownership.nature: This Form 4 is filed on behalf of Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Capital Partners (C) (Master), L.P. ("Sageview C"), Sageview Capital GenPar, Ltd. ("Sageview Ltd"), Sageview Capital GenPar, L.P. ("Sageview GenPar"), Sageview Capital MGP, LLC ("Sageview MGP"), Mr. Edward A. Gilhuly and Mr. Scott M. Stuart. Sageview A, Sageview B and Sageview C are collectively the holders of 100% of the limited partnership interests in Sageview Master. Sageview Ltd is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview GenPar is the sole owner of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Messrs. Gilhuly and Stuart are managing and controlling persons of Sageview MGP. F4 · ownership.nature: Each of Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP and Messrs. Gilhuly and Stuart may be deemed to be the indirect beneficial owners of any securities beneficially owned or deemed to be beneficially owned by Sageview Master. However, each of Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP and Messrs. Gilhuly and Stuart disclaims beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Read SEC document |
| December 02, 2016 Filed Dec 2, 2016 16:14 UTC | TIAA FSB Holdings, Inc. EVER · Entity 175273 | SaleCommon Stock, par value $0.01 per share | 7,012,230 | $19.11 | $134,003,715.30 |
DisclosureSEC source: 0000950142-16-004878 · es1601184_4-everbank.xml · nonDerivative · entry 1 STUART SCOTT M · CIK 0001081716 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sageview Partners L.P. Disclosed balance after: 0 F1 · ownership.nature: Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of Sageview Partners L.P. Sageview A, Sageview B and Sageview C are the shareholders of Sageview Master. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview Capital MGP, LLC ("Sageview MGP") is the sole general partner of Sageview GenPar. Scott M. Stuart, one of the Issuer's directors, is a managing and controlling person of Sageview MGP. Mr. Stuart disclaims beneficial ownership over the shares held by Sageview Partners L.P. except to the extent of his pecuniary interest therein. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 16:36 UTC | TIAA FSB Holdings, Inc. EVER · Entity 175273 | SaleCommon Stock, par value $0.01 per share | 3,300,000 | $19.12 | $63,096,000.00 |
DisclosureSEC source: 0000950142-16-004739 · es1601122_4-everbank.xml · nonDerivative · entry 1 STUART SCOTT M · CIK 0001081716 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Sageview Partners L.P. Disclosed balance after: 7,012,230 F1 · ownership.nature: Sageview Capital Master, L.P. ("Sageview Master"), Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B"), Sageview Partners (C) (Master), L.P. ("Sageview C") are the sole shareholders of Sageview Partners L.P. Sageview A, Sageview B and Sageview C are the sole shareholders of Sageview Master. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview Capital MGP, LLC ("Sageview MGP") is the sole general partner of Sageview GenPar. Scott M. Stuart, one of the Issuer's directors, is a managing and controlling person of Sageview MGP. Mr. Stuart disclaims beneficial ownership over the shares held by Sageview Partners L.P. except to the extent of his pecuniary interest therein. Read SEC document |
| July 03, 2007 Filed Jul 6, 2007 12:22 UTC | BRISTOL WEST HOLDINGS INC BRW · Entity 17267 | OtherCommon Stock | 12,257,368 | $22.50 | $275,790,780.00 |
DisclosureSEC source: 0001140361-07-013813 · doc1.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · 10% owner KKR ASSOCIATES 1996 L P · CIK 0001031666 · 10% owner KKR 1996 FUND L P · CIK 0001031665 · 10% owner BRISTOL WEST ASSOCIATES LLC · CIK 0001279116 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: Disposed of pursuant to merger agreement between issuer, Farmers Group Inc. and BWH Acquisition Company in exchange for cash. F2 · ownership.nature: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof. Read SEC document |
| January 07, 2005 Filed Jan 11, 2005 17:47 UTC | KINDERCARE LEARNING CENTERS INC /DE KDCR · Entity 17579 | SaleCommon Stock, par value $0.01 per share | 15,454,210 | $25.96 | $401,191,291.60 |
DisclosureSEC source: 0000893750-05-000017 · form4_ex.xml · nonDerivative · entry 1 KKR KLC L L C · CIK 0001024808 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner GOLKIN PERRY · CIK 0001206581 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 0 F1 · price: $1.18 of the per share purchase price has been deposited into escrow to secure indemnity and expense obligations of stockholders in accordance with the terms of the agreements relating to the transaction. F2 · ownership.nature: 15,454,210 shares of common stock shown as having been formerly beneficially owned by KKR-KLC L.L.C. were directly held by KLC Associates, L.P. KKR-KLC L.L.C. is the sole general partner of KKR Associates (KLC) L.P., which is the sole general partner of KLC Associates, L.P., and possesses sole voting and investment power with respect to such shares. KKR-KLC L.L.C. is a limited liability company, the members of which are Messrs. Henry R. Kravis; George R. Roberts; Paul E. Raether; Michael W. Michelson; James H. Greene, Jr.; Perry Golkin; Scott M. Stuart; and Edward A. Gilhuly. Each of the members of KKR-KLC L.L.C. may be deemed to share beneficial ownership of the shares shown as beneficially owned by KKR-KLC L.L.C. Each member disclaims beneficial ownership of these shares. In addition, 203,684 shares of common stock were formerly directly held by KKR Partners II, L.P., an affiliate of KKR-KLC L.L.C. Read SEC document |
| December 02, 2004 Filed Dec 6, 2004 21:39 UTC | O-I Glass, Inc. /DE/ OI · Entity 4907 | SaleCommon Stock | 202,475 | $22.98 | $4,652,875.50 |
DisclosureSEC source: 0001209191-04-056143 · doc4.xml · nonDerivative · entry 3 KKR ASSOCIATES · CIK 0000901651 · 10% owner GILHULY EDWARD A · CIK 0001206780 · See Footnotes (2) - (6) ROBERTS GEORGE R · CIK 0001081715 · See Footnotes (2) - (6) GOLKIN PERRY · CIK 0001206581 · See Footnotes (2) - (6) RAETHER PAUL E · CIK 0001192062 · See Footnotes (2) - (6) KRAVIS HENRY R · CIK 0001081714 · See Footnotes (2) - (6) STUART SCOTT M · CIK 0001081716 · See Footnotes (2) - (6) KKR PARTNERS II LP · CIK 0000918992 · See Footnotes (3), (4), (5) OII Associates, L.P. · CIK 0001310721 · 10% owner OII Associates II, L.P. · CIK 0001310720 · See Footnores (3), (5), (6) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 28,925 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F5 · ownership.nature: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. F6 · ownership.nature: These shares are directly owned by OII Associates II, L.P. ("OII II"). KKR Associates is a general partner of OII II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII II, but disclaims such beneficial ownership except to the extent of its economic interest. Read SEC document |
| December 02, 2004 Filed Dec 6, 2004 21:39 UTC | O-I Glass, Inc. /DE/ OI · Entity 4907 | SaleCommon Stock | 742,525 | $22.98 | $17,063,224.50 |
DisclosureSEC source: 0001209191-04-056143 · doc4.xml · nonDerivative · entry 2 KKR ASSOCIATES · CIK 0000901651 · 10% owner GILHULY EDWARD A · CIK 0001206780 · See Footnotes (2) - (6) ROBERTS GEORGE R · CIK 0001081715 · See Footnotes (2) - (6) GOLKIN PERRY · CIK 0001206581 · See Footnotes (2) - (6) RAETHER PAUL E · CIK 0001192062 · See Footnotes (2) - (6) KRAVIS HENRY R · CIK 0001081714 · See Footnotes (2) - (6) STUART SCOTT M · CIK 0001081716 · See Footnotes (2) - (6) KKR PARTNERS II LP · CIK 0000918992 · See Footnotes (3), (4), (5) OII Associates, L.P. · CIK 0001310721 · 10% owner OII Associates II, L.P. · CIK 0001310720 · See Footnores (3), (5), (6) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 106,075 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F4 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is a general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership except to the extent of its economic interest. F5 · ownership.nature: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. Read SEC document |
| December 02, 2004 Filed Dec 6, 2004 21:39 UTC | O-I Glass, Inc. /DE/ OI · Entity 4907 | SaleCommon Stock | 30,555,000 | $22.98 | $702,153,900.00 |
DisclosureSEC source: 0001209191-04-056143 · doc4.xml · nonDerivative · entry 1 KKR ASSOCIATES · CIK 0000901651 · 10% owner GILHULY EDWARD A · CIK 0001206780 · See Footnotes (2) - (6) ROBERTS GEORGE R · CIK 0001081715 · See Footnotes (2) - (6) GOLKIN PERRY · CIK 0001206581 · See Footnotes (2) - (6) RAETHER PAUL E · CIK 0001192062 · See Footnotes (2) - (6) KRAVIS HENRY R · CIK 0001081714 · See Footnotes (2) - (6) STUART SCOTT M · CIK 0001081716 · See Footnotes (2) - (6) KKR PARTNERS II LP · CIK 0000918992 · See Footnotes (3), (4), (5) OII Associates, L.P. · CIK 0001310721 · 10% owner OII Associates II, L.P. · CIK 0001310720 · See Footnores (3), (5), (6) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,365,000 F1 · kind: Shares sold pursuant to a registered offering. F2 · ownership.nature: These shares are directly owned by OII Associates, L.P. ("OII"). KKR Associates, L.P. ("KKR Associates") is the general partner of OII and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII, but disclaims such beneficial ownership except to the extent of its economic interest. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock | 871,594 | $16.16 | $14,082,780.06 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 8 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7 · ownership.nature: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | SaleCommon Stock | 3,490,206 | $16.35 | $57,064,868.10 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 7 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 871,594 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7 · ownership.nature: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock | 26,484 | $16.16 | $427,915.23 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 6 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | SaleCommon Stock | 106,051 | $16.35 | $1,733,933.85 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 5 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 26,484 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock | 7,239 | $16.16 | $116,964.14 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 4 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | SaleCommon Stock | 28,988 | $16.35 | $473,953.80 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 3 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 7,239 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock | 1,092,488 | $16.16 | $17,651,874.86 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 2 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. Read SEC document |
| October 28, 2004 Filed Nov 1, 2004 17:00 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | SaleCommon Stock | 4,374,755 | $16.35 | $71,527,244.25 |
DisclosureSEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 1 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 1,092,488 F1 · kind: Shares sold pursuant to a registered offering. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. Read SEC document |
| April 27, 2004 Filed Apr 29, 2004 17:54 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock, par value $.01 per share | 47,031 | $12.50 | $587,887.50 |
DisclosureSEC source: 0001104659-04-011913 · a4.xml · nonDerivative · entry 3 ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 132,535 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 22, 2004. F4 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the sole general partner of KKR Partners. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by KKR Partners. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document |
| April 27, 2004 Filed Apr 29, 2004 17:54 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock, par value $.01 per share | 12,856 | $12.50 | $160,700.00 |
DisclosureSEC source: 0001104659-04-011913 · a4.xml · nonDerivative · entry 2 ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 36,227 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 22, 2004. F3 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the sole general partner of JWC II. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC II. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document |
| April 27, 2004 Filed Apr 29, 2004 17:54 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock, par value $.01 per share | 1,940,113 | $12.50 | $24,251,412.50 |
DisclosureSEC source: 0001104659-04-011913 · a4.xml · nonDerivative · entry 1 ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 5,467,243 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 22, 2004. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the sole general partner of JWC. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document |
| April 20, 2004 Filed Apr 23, 2004 17:03 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock, par value $.01 per share | 46,109 | $12.75 | $587,889.75 |
DisclosureSEC source: 0001104659-04-011129 · a4.xml · nonDerivative · entry 3 GOLKIN PERRY · CIK 0001206581 · Director · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 179,566 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 13, 2004. F4 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the sole general partner of KKR Partners. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by KKR Partners. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document |
| April 20, 2004 Filed Apr 23, 2004 17:03 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock, par value $.01 per share | 12,604 | $12.75 | $160,701.00 |
DisclosureSEC source: 0001104659-04-011129 · a4.xml · nonDerivative · entry 2 GOLKIN PERRY · CIK 0001206581 · Director · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 49,083 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 13, 2004. F3 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the sole general partner of JWC II. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC II. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document |
| April 20, 2004 Filed Apr 23, 2004 17:03 UTC | WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601 | OtherCommon Stock, par value $.01 per share | 1,902,071 | $12.75 | $24,251,405.25 |
DisclosureSEC source: 0001104659-04-011129 · a4.xml · nonDerivative · entry 1 GOLKIN PERRY · CIK 0001206581 · Director · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 7,407,356 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 13, 2004. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the sole general partner of JWC. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document |
| February 23, 2004 Filed Feb 26, 2004 02:23 UTC | AMPHENOL CORP /DE/ APH · Entity 2846 | OtherClass A Common Stock | 7,560,000 | $60.00 | $453,600,000.00 |
DisclosureSEC source: 0001104659-04-005736 · a4.xml · nonDerivative · entry 1 STUART SCOTT M · CIK 0001081716 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,350,628 F1 · kind: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on February 23, 2004; the sale is expected to be consummated on February 27, 2004. The reported price of $60.00 per share does not reflect an underwriting discount of $2.10 per share. The Reporting Person received $57.90 per share. F2 · ownership.nature: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock. Read SEC document |
| February 12, 2004 Filed Feb 17, 2004 14:33 UTC | BRISTOL WEST HOLDINGS INC BRW · Entity 17267 | SaleCommon Stock, par value $0.01 per share | 9,907,232 | $20.00 | $198,144,640.00 |
DisclosureSEC source: 0001104659-04-004742 · a4.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · 10% owner KKR ASSOCIATES 1996 L P · CIK 0001031666 · 10% owner KKR 1996 FUND L P · CIK 0001031665 · 10% owner BRISTOL WEST ASSOCIATES LLC · CIK 0001279116 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 12,257,368 F1 · kind: Sold pursuant to a registered offering. F2 · ownership.nature: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof. Read SEC document |
| November 13, 2003 Filed Nov 17, 2003 21:09 UTC | ZTI MERGER SUBSIDIARY III INC NONE · Entity 17727 | ConversionSeries AA Preferred Stock · Derivative | 19,062,500 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001181431-03-031503 · rrd22724.xml · derivative · entry 3 KKR 1996 GP LLC · CIK 0001031667 · See footnote (1) below. KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote (1) below. KKR 1996 FUND L P · CIK 0001031665 · See footnote (1) below KKR ZT LLC · CIK 0001260224 · See footnote (1) below. NAVAB ALEXANDAR JR · CIK 0001205612 · See footnote (1) below. RAETHER PAUL E · CIK 0001192062 · See footnote (1) below. RICHARRDSON NEIL A · CIK 0001207213 · See footnote (1) below. STUART SCOTT M · CIK 0001081716 · See footnote (1) below. KRAVIS HENRY R · CIK 0001081714 · See footnote (1) below. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See below. Disclosed balance after: 0 Underlying: Common Stock · 19,062,500 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. F1 · price: See the attached Joint Filer information. F2 · derivative.exercise_date: Not applicable. F2 · derivative.expiration_date: Not applicable. F1 · ownership.nature: See the attached Joint Filer information. Read SEC document |
| November 13, 2003 Filed Nov 17, 2003 21:09 UTC | ZTI MERGER SUBSIDIARY III INC NONE · Entity 17727 | OtherCommon Stock | 19,062,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-03-031503 · rrd22724.xml · nonDerivative · entry 2 KKR 1996 GP LLC · CIK 0001031667 · See footnote (1) below. KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote (1) below. KKR 1996 FUND L P · CIK 0001031665 · See footnote (1) below KKR ZT LLC · CIK 0001260224 · See footnote (1) below. NAVAB ALEXANDAR JR · CIK 0001205612 · See footnote (1) below. RAETHER PAUL E · CIK 0001192062 · See footnote (1) below. RICHARRDSON NEIL A · CIK 0001207213 · See footnote (1) below. STUART SCOTT M · CIK 0001081716 · See footnote (1) below. KRAVIS HENRY R · CIK 0001081714 · See footnote (1) below. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See below. Disclosed balance after: 0 F1 · price: See the attached Joint Filer information. F1 · ownership.nature: See the attached Joint Filer information. Read SEC document |
| November 13, 2003 Filed Nov 17, 2003 21:09 UTC | ZTI MERGER SUBSIDIARY III INC NONE · Entity 17727 | ConversionCommon Stock | 19,062,500 | $4.00 | $76,250,000.00 |
DisclosureSEC source: 0001181431-03-031503 · rrd22724.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · See footnote (1) below. KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote (1) below. KKR 1996 FUND L P · CIK 0001031665 · See footnote (1) below KKR ZT LLC · CIK 0001260224 · See footnote (1) below. NAVAB ALEXANDAR JR · CIK 0001205612 · See footnote (1) below. RAETHER PAUL E · CIK 0001192062 · See footnote (1) below. RICHARRDSON NEIL A · CIK 0001207213 · See footnote (1) below. STUART SCOTT M · CIK 0001081716 · See footnote (1) below. KRAVIS HENRY R · CIK 0001081714 · See footnote (1) below. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See below. Disclosed balance after: 19,062,500 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. F1 · ownership.nature: See the attached Joint Filer information. Read SEC document |
| August 15, 2003 Filed Aug 20, 2003 01:47 UTC | AMPHENOL CORP /DE/ APH · Entity 2846 | OtherClass A Common Stock | 8,970,722 | $50.00 | $448,536,100.00 |
DisclosureSEC source: 0001104659-03-019230 · a4.xml · nonDerivative · entry 1 STUART SCOTT M · CIK 0001081716 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,910,628 F1 · kind: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on August 15, 2003; the sale is expected to be consummated on August 20, 2003. The reported price of $50.00 per share does not reflect an underwriting discount of $1.98 per share. The Reporting Person received $48.02 per share. F2 · ownership.nature: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock. 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.