Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Carlyle Credit Income FundVCIF · Entity 7137 | 10% owner | January 12, 2023 | January 23, 2023 |
| EXPAND ENERGY CorpCHK · Entity 3213 | 10% owner | February 01, 2019 | February 11, 2019 |
| KLDiscovery Inc.KLD · Entity 138111 | 10% owner | December 19, 2019 | December 31, 2019 |
| Medline Inc.MDLN · Entity 3040 | 10% owner | March 10, 2026 | March 12, 2026 |
| StandardAero, Inc.SARO · Entity 3637 | 10% owner | February 26, 2026 | March 02, 2026 |
| Vera Therapeutics, Inc.VERA · Entity 4358 | 10% owner | August 17, 2022 | August 19, 2022 |
| Vistance Networks, Inc.COMM · Entity 4717 | 10% owner | September 30, 2025 | October 02, 2025 |
| eFFECTOR Therapeutics, Inc.EFTR · Entity 89916 | 10% owner | August 01, 2022 | August 11, 2022 |
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.
Carlyle Credit Income Fund
Report date January 12, 2023 · Filed January 23, 2023
Jointly reported with Carlyle Global Credit Investment Management L.L.C., Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., Carlyle Investment Management LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of Beneficial InterestSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
Holding disclosure · report date 2023-01-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 F1: On January 12, 2023, the Issuer entered into a transaction agreement (the "Transaction Agreement") by and between the Issuer and Carlyle Global Credit Investment Management L.L.C., a Delaware limited liability company ("CGCIM"). Pursuant to the Transaction Agreement, CGCIM will become the investment adviser to the Issuer, as described in more detail therein and subject to certain closing conditions. The foregoing description of the Transaction Agreement does not purport to be complete and is qualified in its entirety by reference to the full text thereof. F2: In connection with the Transaction Agreement, the Issuer and CGCIM entered into voting agreements (the "Voting Agreements") with each of Almitas Capital LLC, a Delaware limited liability company ("Almitas"), Bulldog Investors, LLP, a Delaware limited liability partnership ("Bulldog"), High Income Securities Fund, a Massachusetts business trust ("PCF"), Relative Value Partners Group, LLC, a Delaware limited liability company ("Relative"), and Saba Capital Management L.P., a Delaware limited partnership, and certain of its clients (together, the "Saba Shareholders" and, together with Almitas, Bulldog, PCF and Relative, the "Supporting Shareholders"). F3: (Continued from Footnote 2) Pursuant to the Voting Agreements, the Supporting Shareholders agreed, among other things and subject to certain limitations and exceptions, to vote all shares of beneficial interest of the Issuer ("Shares") beneficially owned by each such Supporting Shareholder in favor of the adoption of the Transaction Agreement and any other matters necessary for consummation of the transactions contemplated thereby and granted to CGCIM an irrevocable proxy to vote all such Shares in accordance with the foregoing. F4: Carlyle Investment Management L.L.C. is the managing member of CGCIM. TC Group, L.L.C. is the managing member of Carlyle Investment Management L.L.C. CG Subsidiary Holdings L.L.C. is the sole member of TC Group, L.L.C. Carlyle Holdings I L.P. is the managing member of CG Subsidiary Holdings L.L.C. Carlyle Holdings I GP Sub L.L.C. is the general partner of Carlyle Holdings I L.P. Carlyle Holdings I GP Inc. is the managing member of Carlyle Holdings I GP Sub L.L.C. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc. F5: The Reporting Persons are filing this statement solely because, as a result of the Voting Agreements, the Reporting Persons may be deemed to share beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Act"), of the Shares that are subject to the Voting Agreements. Neither the filing of this statement nor any of its content shall be deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of Shares for purposes of Sections 13(d) or 16 of the Act or for any other purpose. The Reporting Persons do not have any pecuniary interest (as defined in Rule 16a-1(a)(2) under the Act) in any of the Shares subject to the Voting Agreements and expressly disclaims beneficial ownership of such Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 12, 2023, the Issuer entered into a transaction agreement (the "Transaction Agreement") by and between the Issuer and Carlyle Global Credit Investment Management L.L.C., a Delaware limited liability company ("CGCIM"). Pursuant to the Transaction Agreement, CGCIM will become the investment adviser to the Issuer, as described in more detail therein and subject to certain closing conditions. The foregoing description of the Transaction Agreement does not purport to be complete and is qualified in its entirety by reference to the full text thereof.
F2: In connection with the Transaction Agreement, the Issuer and CGCIM entered into voting agreements (the "Voting Agreements") with each of Almitas Capital LLC, a Delaware limited liability company ("Almitas"), Bulldog Investors, LLP, a Delaware limited liability partnership ("Bulldog"), High Income Securities Fund, a Massachusetts business trust ("PCF"), Relative Value Partners Group, LLC, a Delaware limited liability company ("Relative"), and Saba Capital Management L.P., a Delaware limited partnership, and certain of its clients (together, the "Saba Shareholders" and, together with Almitas, Bulldog, PCF and Relative, the "Supporting Shareholders").
F3: (Continued from Footnote 2) Pursuant to the Voting Agreements, the Supporting Shareholders agreed, among other things and subject to certain limitations and exceptions, to vote all shares of beneficial interest of the Issuer ("Shares") beneficially owned by each such Supporting Shareholder in favor of the adoption of the Transaction Agreement and any other matters necessary for consummation of the transactions contemplated thereby and granted to CGCIM an irrevocable proxy to vote all such Shares in accordance with the foregoing.
F4: Carlyle Investment Management L.L.C. is the managing member of CGCIM. TC Group, L.L.C. is the managing member of Carlyle Investment Management L.L.C. CG Subsidiary Holdings L.L.C. is the sole member of TC Group, L.L.C. Carlyle Holdings I L.P. is the managing member of CG Subsidiary Holdings L.L.C. Carlyle Holdings I GP Sub L.L.C. is the general partner of Carlyle Holdings I L.P. Carlyle Holdings I GP Inc. is the managing member of Carlyle Holdings I GP Sub L.L.C. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc.
F5: The Reporting Persons are filing this statement solely because, as a result of the Voting Agreements, the Reporting Persons may be deemed to share beneficial ownership, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Act"), of the Shares that are subject to the Voting Agreements. Neither the filing of this statement nor any of its content shall be deemed to constitute an admission by any of the Reporting Persons that it is the beneficial owner of Shares for purposes of Sections 13(d) or 16 of the Act or for any other purpose. The Reporting Persons do not have any pecuniary interest (as defined in Rule 16a-1(a)(2) under the Act) in any of the Shares subject to the Voting Agreements and expressly disclaims beneficial ownership of such Shares.
EXPAND ENERGY Corp
Report date February 01, 2019 · Filed February 11, 2019
Jointly reported with CP VI Eagle Holdings, L.P., Carlyle Group Management L.L.C., Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., TC Group Sub L.P., TC Group VI S1, L.L.C., TC Group VI S1, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 172,897,387 |
Reported balance
Holding disclosure · report date 2019-02-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 172,897,387 F1: CP VI Eagle Holdings, L.P. is the record holder of the shares of Common Stock reported herein. F2: Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the managing member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of CP VI Eagle Holdings, L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: CP VI Eagle Holdings, L.P. is the record holder of the shares of Common Stock reported herein.
F2: Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the managing member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of CP VI Eagle Holdings, L.P.
KLDiscovery Inc.
Report date December 19, 2019 · Filed December 31, 2019
Jointly reported with Carlyle Group Management L.L.C., Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., TC Group Sub L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 19,996,804 |
Reported balance
Holding disclosure · report date 2019-12-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 19,996,804 F1: Pursuant to the consummation of the business combination of Pivotal Acquisition Corp. and LD Topco, Inc., each share of the Company common stock was automatically converted into the right to receive a pro rata portion of Pivotal's Class A common stock (the "Common Stock"). F2: Includes 18,261,123 shares held of record by CEOF II DE I AIV, L.P. ("CEOF II DE"), 1,658,789 shares held of record by CEOF II Coinvestment (DE), L.P. ("CEOF II Coinvestment") and 76,892 shares held of record by CEOF II Coinvestment B (DE), L.P. ("CEOF II Coinvestment B," and together with CEOF II DE and CEOF II Coinvestment, the "CEOF Funds"). F3: Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group, L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the sole member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of CEOF II DE GP AIV, L.L.C., which is the general partner CEOF II DE AIV GP, L.P., which is the general partner of each of the CEOF Funds. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by the CEOF Funds. |
| Contingent SharesSEC Table II · derivative / convertible security | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2019-12-19 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F4: Represents shares that may be issued to the Reporting Person if the closing sale price of Common Stock equals or exceeds $13.50 per share (as adjusted for stock splits, stock dividends, reorganizations, recapitalizations or other similar actions) for any consecutive 20 trading days during the five year period following December 19, 2019. F3: Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group, L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the sole member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of CEOF II DE GP AIV, L.L.C., which is the general partner CEOF II DE AIV GP, L.P., which is the general partner of each of the CEOF Funds. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by the CEOF Funds. F5: Includes 1,154,439 shares held of record by CEOF II DE, 104,866 shares held of record by CEOF II Coinvestment and 4,861 shares held of record by CEOF II Coinvestment B. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the consummation of the business combination of Pivotal Acquisition Corp. and LD Topco, Inc., each share of the Company common stock was automatically converted into the right to receive a pro rata portion of Pivotal's Class A common stock (the "Common Stock").
F2: Includes 18,261,123 shares held of record by CEOF II DE I AIV, L.P. ("CEOF II DE"), 1,658,789 shares held of record by CEOF II Coinvestment (DE), L.P. ("CEOF II Coinvestment") and 76,892 shares held of record by CEOF II Coinvestment B (DE), L.P. ("CEOF II Coinvestment B," and together with CEOF II DE and CEOF II Coinvestment, the "CEOF Funds").
F3: Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group, L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the sole member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of CEOF II DE GP AIV, L.L.C., which is the general partner CEOF II DE AIV GP, L.P., which is the general partner of each of the CEOF Funds. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by the CEOF Funds.
F4: Represents shares that may be issued to the Reporting Person if the closing sale price of Common Stock equals or exceeds $13.50 per share (as adjusted for stock splits, stock dividends, reorganizations, recapitalizations or other similar actions) for any consecutive 20 trading days during the five year period following December 19, 2019.
F5: Includes 1,154,439 shares held of record by CEOF II DE, 104,866 shares held of record by CEOF II Coinvestment and 4,861 shares held of record by CEOF II Coinvestment B.
Medline Inc.
Report date March 10, 2026 · Filed March 12, 2026
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., TC Group Sub L.P., TC Group VII S1, L.L.C., TC Group VII S1, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 127,567,724 |
Reported balance
After 2026-03-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-03-10 · Sale · Disposed 26,105,840 · Balance 127,567,724 F1: Represents the following shares of the Issuer's Class A common stock ("Class A Common Stock") sold: (i) 2,020,349 shares of Class A Common Stock held by Carlyle Mozart Coinvestment UNLV Holdco, L.P., (ii) 2,014,853 shares of Class A Common Stock held by CP Circle UNLV Holdco, L.P., (iii) 109,901 shares of Class A Common Stock held by CPEP Circle Holdings L.P., (iv) 2,311,623 shares of Class A Common Stock held by CP Circle ML-7 Holdco, L.P., (v) 319,841 shares of Class A Common Stock held by CP Circle ML-6 Holdco, L.P., (vi) 867,032 shares of Class A Common Stock held by CP Circle ML-5 Holdco, L.P., (vii) 3,493,666 shares of Class A Common Stock held by CP Circle ML-4 Holdco, L.P., (viii) 7,650,365 shares of Class A Common Stock held by CP Circle ML-3 Holdco, L.P., (ix) 35,180 shares of Class A Common Stock held by CP Circle ML-2 Holdco, L.P. and (x) 7,283,030 shares of Class A Common Stock held by CP Circle ML-1 Holdco, L.P. F2: The Carlyle Group Inc., a publicly traded company listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities managed by TC Group VII S1, L.P. and CPEP GP, LLC, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of each of Carlyle Mozart Coinvestment Holdings, L.P., Carlyle Mozart Coinvestment UNLV Holdco, L.P. and CP Circle UNLV Holdco, L.P. CG Subsidiary Holdings L.L.C. is also the managing member of CPEP GP, LLC, which is the general partner of CPEP Circle Holdings L.P. F3: The Carlyle Group Inc. is also the sole member of Carlyle Holdings II GP L.L.C., which is the managing member of Carlyle Holdings II L.L.C., which, with respect to the securities managed by TC Group VII, L.P., is the managing member of CG Subsidiary Holdings L.L.C., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole member of TC Group VII, L.L.C., which is the general partner of TC Group VII, L.P., which is the managing member of CP Circle ML Holdco GP, LLC, which is the general partner of each of CP Circle ML-7 Holdco, L.P., CP Circle ML-6 Holdco, L.P., CP Circle ML-5 Holdco, L.P., CP Circle ML-4 Holdco, L.P., CP Circle ML-3 Holdco, L.P. and CP Circle ML-2 Holdco, L.P. TC Group VII, L.P. is also the managing member of CP Circle ML-1 Holdco GP, LLC, which is the general partner of CP Circle ML-1 Holdco, L.P. F4: Following the sales reported herein, reflects (i) 16,125,094 shares of Class A Common Stock held by Carlyle Mozart Coinvestment Holdings, L.P., (ii) 13,394,165 shares of Class A Common Stock held by Carlyle Mozart Coinvestment UNLV Holdco, L.P., (iii) 2,615 shares of Class A Common Stock held by CP Circle UNLV Holdco, L.P., (iv) 728,604 shares of Class A Common Stock held by CPEP Circle Holdings L.P., (v) 15,325,210 shares of Class A Common Stock held by CP Circle ML-7 Holdco, L.P., (vi) 2,120,434 shares of Class A Common Stock held by CP Circle ML-6 Holdco, L.P., (vii) 5,748,101 shares of Class A Common Stock held by CP Circle ML-5 Holdco, L.P., (viii) 23,161,715 shares of Class A Common Stock held by CP Circle ML-4 Holdco, L.P., (ix) 50,719,101 shares of Class A Common Stock held by CP Circle ML-3 Holdco, L.P., (x) 233,231 shares of Class A Common Stock held by CP Circle ML-2 Holdco, L.P. and (xi) 9,454 shares of Class A Common Stock held by CP Circle ML-1 Holdco, L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 125,454,241 |
Reported balance
After 2026-03-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-03-10 · Other · Disposed 2,113,483 · Balance 125,454,241 F5: Represents a pro-rata distribution for no consideration by Carlyle Mozart Coinvestment Holdings, L.P. to its limited partner. Pursuant to the terms of a lock-up agreement, the limited partner is bound to certain restrictions on the shares distributed, as set forth therein. F2: The Carlyle Group Inc., a publicly traded company listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities managed by TC Group VII S1, L.P. and CPEP GP, LLC, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of each of Carlyle Mozart Coinvestment Holdings, L.P., Carlyle Mozart Coinvestment UNLV Holdco, L.P. and CP Circle UNLV Holdco, L.P. CG Subsidiary Holdings L.L.C. is also the managing member of CPEP GP, LLC, which is the general partner of CPEP Circle Holdings L.P. F3: The Carlyle Group Inc. is also the sole member of Carlyle Holdings II GP L.L.C., which is the managing member of Carlyle Holdings II L.L.C., which, with respect to the securities managed by TC Group VII, L.P., is the managing member of CG Subsidiary Holdings L.L.C., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole member of TC Group VII, L.L.C., which is the general partner of TC Group VII, L.P., which is the managing member of CP Circle ML Holdco GP, LLC, which is the general partner of each of CP Circle ML-7 Holdco, L.P., CP Circle ML-6 Holdco, L.P., CP Circle ML-5 Holdco, L.P., CP Circle ML-4 Holdco, L.P., CP Circle ML-3 Holdco, L.P. and CP Circle ML-2 Holdco, L.P. TC Group VII, L.P. is also the managing member of CP Circle ML-1 Holdco GP, LLC, which is the general partner of CP Circle ML-1 Holdco, L.P. F6: Following the distribution reported herein, reflects (i) 14,011,611 shares of Class A Common Stock held by Carlyle Mozart Coinvestment Holdings, L.P., (ii) 13,394,165 shares of Class A Common Stock held by Carlyle Mozart Coinvestment UNLV Holdco, L.P., (iii) 2,615 shares of Class A Common Stock held by CP Circle UNLV Holdco, L.P., (iv) 728,604 shares of Class A Common Stock held by CPEP Circle Holdings L.P., (v) 15,325,210 shares of Class A Common Stock held by CP Circle ML-7 Holdco, L.P., (vi) 2,120,434 shares of Class A Common Stock held by CP Circle ML-6 Holdco, L.P., (vii) 5,748,101 shares of Class A Common Stock held by CP Circle ML-5 Holdco, L.P., (viii) 23,161,715 shares of Class A Common Stock held by CP Circle ML-4 Holdco, L.P., (ix) 50,719,101 shares of Class A Common Stock held by CP Circle ML-3 Holdco, L.P., (x) 233,231 shares of Class A Common Stock held by CP Circle ML-2 Holdco, L.P. and (xi) 9,454 shares of Class A Common Stock held by CP Circle ML-1 Holdco, L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the following shares of the Issuer's Class A common stock ("Class A Common Stock") sold: (i) 2,020,349 shares of Class A Common Stock held by Carlyle Mozart Coinvestment UNLV Holdco, L.P., (ii) 2,014,853 shares of Class A Common Stock held by CP Circle UNLV Holdco, L.P., (iii) 109,901 shares of Class A Common Stock held by CPEP Circle Holdings L.P., (iv) 2,311,623 shares of Class A Common Stock held by CP Circle ML-7 Holdco, L.P., (v) 319,841 shares of Class A Common Stock held by CP Circle ML-6 Holdco, L.P., (vi) 867,032 shares of Class A Common Stock held by CP Circle ML-5 Holdco, L.P., (vii) 3,493,666 shares of Class A Common Stock held by CP Circle ML-4 Holdco, L.P., (viii) 7,650,365 shares of Class A Common Stock held by CP Circle ML-3 Holdco, L.P., (ix) 35,180 shares of Class A Common Stock held by CP Circle ML-2 Holdco, L.P. and (x) 7,283,030 shares of Class A Common Stock held by CP Circle ML-1 Holdco, L.P.
F2: The Carlyle Group Inc., a publicly traded company listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities managed by TC Group VII S1, L.P. and CPEP GP, LLC, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of each of Carlyle Mozart Coinvestment Holdings, L.P., Carlyle Mozart Coinvestment UNLV Holdco, L.P. and CP Circle UNLV Holdco, L.P. CG Subsidiary Holdings L.L.C. is also the managing member of CPEP GP, LLC, which is the general partner of CPEP Circle Holdings L.P.
F3: The Carlyle Group Inc. is also the sole member of Carlyle Holdings II GP L.L.C., which is the managing member of Carlyle Holdings II L.L.C., which, with respect to the securities managed by TC Group VII, L.P., is the managing member of CG Subsidiary Holdings L.L.C., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole member of TC Group VII, L.L.C., which is the general partner of TC Group VII, L.P., which is the managing member of CP Circle ML Holdco GP, LLC, which is the general partner of each of CP Circle ML-7 Holdco, L.P., CP Circle ML-6 Holdco, L.P., CP Circle ML-5 Holdco, L.P., CP Circle ML-4 Holdco, L.P., CP Circle ML-3 Holdco, L.P. and CP Circle ML-2 Holdco, L.P. TC Group VII, L.P. is also the managing member of CP Circle ML-1 Holdco GP, LLC, which is the general partner of CP Circle ML-1 Holdco, L.P.
F4: Following the sales reported herein, reflects (i) 16,125,094 shares of Class A Common Stock held by Carlyle Mozart Coinvestment Holdings, L.P., (ii) 13,394,165 shares of Class A Common Stock held by Carlyle Mozart Coinvestment UNLV Holdco, L.P., (iii) 2,615 shares of Class A Common Stock held by CP Circle UNLV Holdco, L.P., (iv) 728,604 shares of Class A Common Stock held by CPEP Circle Holdings L.P., (v) 15,325,210 shares of Class A Common Stock held by CP Circle ML-7 Holdco, L.P., (vi) 2,120,434 shares of Class A Common Stock held by CP Circle ML-6 Holdco, L.P., (vii) 5,748,101 shares of Class A Common Stock held by CP Circle ML-5 Holdco, L.P., (viii) 23,161,715 shares of Class A Common Stock held by CP Circle ML-4 Holdco, L.P., (ix) 50,719,101 shares of Class A Common Stock held by CP Circle ML-3 Holdco, L.P., (x) 233,231 shares of Class A Common Stock held by CP Circle ML-2 Holdco, L.P. and (xi) 9,454 shares of Class A Common Stock held by CP Circle ML-1 Holdco, L.P.
F5: Represents a pro-rata distribution for no consideration by Carlyle Mozart Coinvestment Holdings, L.P. to its limited partner. Pursuant to the terms of a lock-up agreement, the limited partner is bound to certain restrictions on the shares distributed, as set forth therein.
F6: Following the distribution reported herein, reflects (i) 14,011,611 shares of Class A Common Stock held by Carlyle Mozart Coinvestment Holdings, L.P., (ii) 13,394,165 shares of Class A Common Stock held by Carlyle Mozart Coinvestment UNLV Holdco, L.P., (iii) 2,615 shares of Class A Common Stock held by CP Circle UNLV Holdco, L.P., (iv) 728,604 shares of Class A Common Stock held by CPEP Circle Holdings L.P., (v) 15,325,210 shares of Class A Common Stock held by CP Circle ML-7 Holdco, L.P., (vi) 2,120,434 shares of Class A Common Stock held by CP Circle ML-6 Holdco, L.P., (vii) 5,748,101 shares of Class A Common Stock held by CP Circle ML-5 Holdco, L.P., (viii) 23,161,715 shares of Class A Common Stock held by CP Circle ML-4 Holdco, L.P., (ix) 50,719,101 shares of Class A Common Stock held by CP Circle ML-3 Holdco, L.P., (x) 233,231 shares of Class A Common Stock held by CP Circle ML-2 Holdco, L.P. and (xi) 9,454 shares of Class A Common Stock held by CP Circle ML-1 Holdco, L.P.
StandardAero, Inc.
Report date February 26, 2026 · Filed March 02, 2026
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., TC Group Sub L.P., TC Group VII S1, L.L.C., TC Group VII S1, L.P., Carlyle Partners VII S1 Holdings II, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 84,587,035 |
Reported balance
After 2026-02-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-02-26 · Sale · Disposed 19,840,268 · Balance 84,587,035 F1: Carlyle Partners VII S1 Holdings II, L.P. ("Carlyle Partners VII") is the record holder of the securities reported herein. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: Carlyle Partners VII S1 Holdings II, L.P. ("Carlyle Partners VII") is the record holder of the securities reported herein.
F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any.
Vera Therapeutics, Inc.
Report date August 17, 2022 · Filed August 19, 2022
Jointly reported with Carlyle Group Inc., Abingworth LLP, Abingworth Bioventures 8 LP, Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., Carlyle Investment Management LLC, Carlyle Genesis UK LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,960,231 |
Last balance in matching sequence
After 2022-08-17 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2022-08-17 · Exercise / conversion · Acquired 9,925 · Balance 2,970,156 F1: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Row 2 · 2022-08-17 · Sale · Disposed 3,281 · Balance 2,966,875 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.74 to $19.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Row 3 · 2022-08-17 · Sale · Disposed 6,472 · Balance 2,960,403 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Row 4 · 2022-08-17 · Sale · Disposed 172 · Balance 2,960,231 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.025 to $21.09. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.00 · Expires 2031-05-12 | IndirectSee footnotes | 0 |
Reported balance
After 2022-08-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-08-17 · Exercise / conversion · Disposed 9,925 · Balance 0 F6: The stock option is fully vested and exercisable. F1: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. F7: Under an agreement between Kurt von Emster and Abingworth LLP, Mr. von Emster is deemed to hold the stock option and any shares of Class A Common Stock issuable upon exercise of the stock option for the benefit of ABV 8, and must exercise the stock option solely upon the direction of Abingworth LLP. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8.
F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.74 to $19.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.025 to $21.09. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6: The stock option is fully vested and exercisable.
F7: Under an agreement between Kurt von Emster and Abingworth LLP, Mr. von Emster is deemed to hold the stock option and any shares of Class A Common Stock issuable upon exercise of the stock option for the benefit of ABV 8, and must exercise the stock option solely upon the direction of Abingworth LLP.
Vistance Networks, Inc.
Report date September 30, 2025 · Filed October 02, 2025
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., TC Group Sub L.P., TC Group VII S1, L.L.C., TC Group VII S1, L.P., Carlyle Partners VII S1 Holdings, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 1,278,653 |
Reported balance
After 2025-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-09-30 · Other · Acquired 17,343 · Balance 1,278,653 F1: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F2: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F3: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein. F4: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII S1 Holdings, L.P. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.
F2: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.
F3: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein.
F4: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VII S1 Holdings, L.P. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any.
eFFECTOR Therapeutics, Inc.
Report date August 01, 2022 · Filed August 11, 2022
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., Carlyle Investment Management LLC, Carlyle Genesis UK LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 4,822,114 |
Reported balance
Holding disclosure · report date 2022-08-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,822,114 F1: Reflects securities held of record by Abingworth Bioventures VI LP ("ABV VI"). ABV VI has delegated to Abingworth LLP ("Abingworth") all investment and dispositive power over the securities held of record by ABV VI. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3: On August 1, 2022, entities affiliated with The Carlyle Group Inc. acquired Abingworth (the "Acquisition"). Following the Acquisition, Carlyle Genesis UK LLC became the principal member of Abingworth LLP. As a result, each of the Carlyle Entities may be deemed to have acquired beneficial ownership of the securities held of record by ABV VI or beneficially owned by Abingworth. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
| Earn-out RightSEC Table II · derivative / convertible security | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2022-08-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F4: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in that certain Agreement and Plan of Merger, dated as of May 26, 2021. The earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023. F1: Reflects securities held of record by Abingworth Bioventures VI LP ("ABV VI"). ABV VI has delegated to Abingworth LLP ("Abingworth") all investment and dispositive power over the securities held of record by ABV VI. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3: On August 1, 2022, entities affiliated with The Carlyle Group Inc. acquired Abingworth (the "Acquisition"). Following the Acquisition, Carlyle Genesis UK LLC became the principal member of Abingworth LLP. As a result, each of the Carlyle Entities may be deemed to have acquired beneficial ownership of the securities held of record by ABV VI or beneficially owned by Abingworth. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.36 · Expires 2031-10-05 | IndirectSee footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2022-08-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F5: The stock option is fully vested and exercisable. F1: Reflects securities held of record by Abingworth Bioventures VI LP ("ABV VI"). ABV VI has delegated to Abingworth LLP ("Abingworth") all investment and dispositive power over the securities held of record by ABV VI. F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3: On August 1, 2022, entities affiliated with The Carlyle Group Inc. acquired Abingworth (the "Acquisition"). Following the Acquisition, Carlyle Genesis UK LLC became the principal member of Abingworth LLP. As a result, each of the Carlyle Entities may be deemed to have acquired beneficial ownership of the securities held of record by ABV VI or beneficially owned by Abingworth. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. F6: Under an agreement between Mr. Gallagher and Abingworth, Mr. Gallagher is deemed to hold the stock option and any shares of Common Stock issuable upon exercise of the stock option for the benefit of ABV VI, and must exercise the stock option solely upon the direction of Abingworth. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities held of record by Abingworth Bioventures VI LP ("ABV VI"). ABV VI has delegated to Abingworth LLP ("Abingworth") all investment and dispositive power over the securities held of record by ABV VI.
F2: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities").
F3: On August 1, 2022, entities affiliated with The Carlyle Group Inc. acquired Abingworth (the "Acquisition"). Following the Acquisition, Carlyle Genesis UK LLC became the principal member of Abingworth LLP. As a result, each of the Carlyle Entities may be deemed to have acquired beneficial ownership of the securities held of record by ABV VI or beneficially owned by Abingworth. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
F4: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in that certain Agreement and Plan of Merger, dated as of May 26, 2021. The earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.
F5: The stock option is fully vested and exercisable.
F6: Under an agreement between Mr. Gallagher and Abingworth, Mr. Gallagher is deemed to hold the stock option and any shares of Common Stock issuable upon exercise of the stock option for the benefit of ABV VI, and must exercise the stock option solely upon the direction of Abingworth.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CoreSite Realty Corp
Report date June 10, 2021 · Filed June 14, 2021
Jointly reported with Carlyle Group Management L.L.C., Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., TC Group Sub L.P.
Section 16 reporting ended · disclosed 2021-06-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Last balance in matching sequence
After 2021-06-10 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-06-10 · Exercise / conversion · Acquired 1,200,000 · Balance 1,200,000 F1: The operating partnership units are redeemable at any time for cash or, at the election of the Issuer, exchangeable for shares of common stock on a one-for-one basis, and have no expiration date. F2: Following the transaction reported herein, the common units are held by CoreSite CRP V Holdings, LLC. F3: Following an internal reorganization and by reason of the relationships described below, the reporting person may be deemed to share beneficial ownership of the securities reported herein. Each reporting person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein. F4: Carlyle Group Management L.L.C. holds an irrevocable proxy to vote a majority of the shares of The Carlyle Group Inc., which is a publicly traded entity listed on NASDAQ. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of Carlyle Realty V GP, L.L.C., which is the general partner of Carlyle Realty V, L.P., which is the manager of CoreSite CRP V Holdings, LLC Row 2 · 2021-06-10 · Sale · Disposed 1,200,000 · Balance 0 F2: Following the transaction reported herein, the common units are held by CoreSite CRP V Holdings, LLC. F3: Following an internal reorganization and by reason of the relationships described below, the reporting person may be deemed to share beneficial ownership of the securities reported herein. Each reporting person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein. F4: Carlyle Group Management L.L.C. holds an irrevocable proxy to vote a majority of the shares of The Carlyle Group Inc., which is a publicly traded entity listed on NASDAQ. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of Carlyle Realty V GP, L.L.C., which is the general partner of Carlyle Realty V, L.P., which is the manager of CoreSite CRP V Holdings, LLC |
| Operating Partnership UnitsSEC Table II · derivative / convertible security | IndirectSee footnotes | 4,675,218 |
Reported balance
After 2021-06-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-10 · Exercise / conversion · Disposed 1,200,000 · Balance 4,675,218 F1: The operating partnership units are redeemable at any time for cash or, at the election of the Issuer, exchangeable for shares of common stock on a one-for-one basis, and have no expiration date. F2: Following the transaction reported herein, the common units are held by CoreSite CRP V Holdings, LLC. F3: Following an internal reorganization and by reason of the relationships described below, the reporting person may be deemed to share beneficial ownership of the securities reported herein. Each reporting person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein. F4: Carlyle Group Management L.L.C. holds an irrevocable proxy to vote a majority of the shares of The Carlyle Group Inc., which is a publicly traded entity listed on NASDAQ. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of Carlyle Realty V GP, L.L.C., which is the general partner of Carlyle Realty V, L.P., which is the manager of CoreSite CRP V Holdings, LLC |
Filing footnotes · ownership attribution and instrument terms
F1: The operating partnership units are redeemable at any time for cash or, at the election of the Issuer, exchangeable for shares of common stock on a one-for-one basis, and have no expiration date.
F2: Following the transaction reported herein, the common units are held by CoreSite CRP V Holdings, LLC.
F3: Following an internal reorganization and by reason of the relationships described below, the reporting person may be deemed to share beneficial ownership of the securities reported herein. Each reporting person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein.
F4: Carlyle Group Management L.L.C. holds an irrevocable proxy to vote a majority of the shares of The Carlyle Group Inc., which is a publicly traded entity listed on NASDAQ. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole member of Carlyle Realty V GP, L.L.C., which is the general partner of Carlyle Realty V, L.P., which is the manager of CoreSite CRP V Holdings, LLC
Jasper Therapeutics, Inc.
Report date February 08, 2024 · Filed February 12, 2024
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., Carlyle Investment Management LLC, Carlyle Genesis UK LLC, Abingworth LLP, Abingworth Bioventures VII LP
Section 16 reporting ended · disclosed 2024-02-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,066,189 |
Reported balance
After 2024-02-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-02-08 · Purchase · Acquired 190,000 · Balance 1,066,189 F1: The amount of Voting Common Stock reported herein reflects a 1-for-10 reverse stock split effected by the Issuer on January 4, 2024. F2: Reflects securities held of record by Abingworth Bioventures VII LP ("ABV VII"). ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. F3: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV VII, but each disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The amount of Voting Common Stock reported herein reflects a 1-for-10 reverse stock split effected by the Issuer on January 4, 2024.
F2: Reflects securities held of record by Abingworth Bioventures VII LP ("ABV VII"). ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII.
F3: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV VII, but each disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein, if any.
SOLENO THERAPEUTICS INC
Report date September 28, 2023 · Filed October 02, 2023
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., Carlyle Investment Management LLC, Carlyle Genesis UK LLC, Abingworth LLP, Abingworth Bioventures VII LP
Section 16 reporting ended · disclosed 2023-10-02. 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 | 1,531,436 |
Reported balance
After 2023-09-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-28 · Conversion · Acquired 329,930 · Balance 1,531,436 F1: On September 28, 2023, Abingworth Bioventures VII LP ("ABV VII") exercised the Tranche A Warrants, which resulted in the issuance of 329,930 shares of Common Stock and 762,126 prefunded warrants to purchase common stock (the "Prefunded Warrants"). F2: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
| Tranche A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 | IndirectSee Footnotes | 0 |
Reported balance
After 2023-09-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-09-28 · Conversion · Disposed 1,092,056 · Balance 0 F1: On September 28, 2023, Abingworth Bioventures VII LP ("ABV VII") exercised the Tranche A Warrants, which resulted in the issuance of 329,930 shares of Common Stock and 762,126 prefunded warrants to purchase common stock (the "Prefunded Warrants"). F4: The Tranche A Warrants are immediately exercisable and must be exercised within 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602 and will expire if positive top-line data is not announced prior to the 3.5 year anniversary of the date of issuance. However, the Tranche A Warrants contain provisions preventing the Tranche A Warrants from being exercised if such exercise would result ABV VII obtaining greater than 9.99% of the Issuer's voting securities. F2: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
| Prefunded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 | IndirectSee Footnotes | 762,126 |
Reported balance
After 2023-09-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-09-28 · Conversion · Acquired 762,126 · Balance 762,126 F1: On September 28, 2023, Abingworth Bioventures VII LP ("ABV VII") exercised the Tranche A Warrants, which resulted in the issuance of 329,930 shares of Common Stock and 762,126 prefunded warrants to purchase common stock (the "Prefunded Warrants"). F5: The Prefunded Warrants are immediately exercisable and do not expire. However, the Prefunded Warrants contain provisions preventing the Prefunded Warrants from being exercised if such exercise would result in ABV VII beneficially owning greater than 9.99% of the Issuer's voting securities. F2: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 28, 2023, Abingworth Bioventures VII LP ("ABV VII") exercised the Tranche A Warrants, which resulted in the issuance of 329,930 shares of Common Stock and 762,126 prefunded warrants to purchase common stock (the "Prefunded Warrants").
F2: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities").
F3: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
F4: The Tranche A Warrants are immediately exercisable and must be exercised within 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602 and will expire if positive top-line data is not announced prior to the 3.5 year anniversary of the date of issuance. However, the Tranche A Warrants contain provisions preventing the Tranche A Warrants from being exercised if such exercise would result ABV VII obtaining greater than 9.99% of the Issuer's voting securities.
F5: The Prefunded Warrants are immediately exercisable and do not expire. However, the Prefunded Warrants contain provisions preventing the Prefunded Warrants from being exercised if such exercise would result in ABV VII beneficially owning greater than 9.99% of the Issuer's voting securities.
SunPower Inc.
Report date December 02, 2024 · Filed December 04, 2024
Jointly reported with Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., TC Group Sub L.P.
Section 16 reporting ended · disclosed 2024-12-04. 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 | 1,992,427 |
Reported balance
After 2024-12-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-12-02 · Sale · Disposed 28,438 · Balance 1,992,427 F1: The sales reported herein were effected pursuant to a Rule 10b5-1 plan adopted by CRSEF Solis Holdings, L.L.C. on September 6, 2024. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.05, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F3: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities managed by CRSEF Lux GP S.a r.l., is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole shareholder of CRSEF Lux GP S.a r.l., which is a general partner of Carlyle CRSEF Solis Aggregator, S.C.Sp. F4: The Carlyle Group Inc. is also the sole member of Carlyle Holdings II GP L.L.C., which is the managing member of Carlyle Holdings II L.L.C., which, with respect to the securities managed by CRSEF Managing GP, L.P., is the managing member of CG Subsidiary Holdings L.L.C., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole member of CRSEF GP, L.L.C., which is the general partner of CRSEF Managing GP, L.P., which is also a general partner of Carlyle CRSEF Solis Aggregator, S.C.Sp. Carlyle CRSEF Solis Aggregator, S.C.Sp. is the managing member of CRSEF Solis Holdings, L.L.C. Accordingly, each of the entities named herein may be deemed to share beneficial ownership of the securities held of record by CRSEF Solis Holdings, L.L.C. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported herein were effected pursuant to a Rule 10b5-1 plan adopted by CRSEF Solis Holdings, L.L.C. on September 6, 2024.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.05, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
F3: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities managed by CRSEF Lux GP S.a r.l., is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the sole shareholder of CRSEF Lux GP S.a r.l., which is a general partner of Carlyle CRSEF Solis Aggregator, S.C.Sp.
F4: The Carlyle Group Inc. is also the sole member of Carlyle Holdings II GP L.L.C., which is the managing member of Carlyle Holdings II L.L.C., which, with respect to the securities managed by CRSEF Managing GP, L.P., is the managing member of CG Subsidiary Holdings L.L.C., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole member of CRSEF GP, L.L.C., which is the general partner of CRSEF Managing GP, L.P., which is also a general partner of Carlyle CRSEF Solis Aggregator, S.C.Sp. Carlyle CRSEF Solis Aggregator, S.C.Sp. is the managing member of CRSEF Solis Holdings, L.L.C. Accordingly, each of the entities named herein may be deemed to share beneficial ownership of the securities held of record by CRSEF Solis Holdings, L.L.C. Each of them disclaims any such beneficial ownership except to the extent of their pecuniary interest therein, if any.
Wesco Aircraft Holdings, Inc
Report date January 09, 2020 · Filed January 13, 2020
Jointly reported with Carlyle Group Management L.L.C., Carlyle Group Inc., Carlyle Holdings I GP Inc., Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., CG Subsidiary Holdings L.L.C., TC Group IV Managing GP, L.L.C., Falcon Aerospace Holdings, LLC
Section 16 reporting ended · disclosed 2020-01-13. 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 2020-01-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-01-09 · Disposition to issuer · Disposed 23,330,184 · Balance 0 F1: Pursuant to that certain Agreement and Plan of Merger, dated August 8, 2019 by and among Wolverine Intermediate Holding II Corporation ("Parent"), Wolverine Merger Corporation, and the Issuer, the Issuer became a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time"). At the Effective Time, each share of the Issuer's Common Stock (including each restricted share) was automatically converted into the right to receive $11.05 in cash. F2: Falcon Aerospace Holdings, LLC is the record holder of these shares of common stock. Carlyle Group Management L.L.C. holds an irrevocable proxy to vote a majority of the shares of The Carlyle Group Inc., which is a publicly traded entity listed on NASDAQ. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc., which is the managing member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the sole member of TC Group, L.L.C., which is the managing member of TC Group IV Managing GP, L.L.C., which is the managing member of Falcon Aerospace Holdings, LLC. Accordingly, each of these entities may be deemed to share beneficial ownership of the shares of common stock owned of record by Falcon Aerospace Holdings, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to that certain Agreement and Plan of Merger, dated August 8, 2019 by and among Wolverine Intermediate Holding II Corporation ("Parent"), Wolverine Merger Corporation, and the Issuer, the Issuer became a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time"). At the Effective Time, each share of the Issuer's Common Stock (including each restricted share) was automatically converted into the right to receive $11.05 in cash.
F2: Falcon Aerospace Holdings, LLC is the record holder of these shares of common stock. Carlyle Group Management L.L.C. holds an irrevocable proxy to vote a majority of the shares of The Carlyle Group Inc., which is a publicly traded entity listed on NASDAQ. The Carlyle Group Inc. is the sole shareholder of Carlyle Holdings I GP Inc., which is the managing member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the sole member of TC Group, L.L.C., which is the managing member of TC Group IV Managing GP, L.L.C., which is the managing member of Falcon Aerospace Holdings, LLC. Accordingly, each of these entities may be deemed to share beneficial ownership of the shares of common stock owned of record by Falcon Aerospace Holdings, LLC.
ZoomInfo Technologies Inc.
Report date August 15, 2022 · Filed August 17, 2022
Jointly reported with CG Subsidiary Holdings L.L.C., TC Group Sub L.P., TC Group VI S1, L.L.C., TC Group VI S1, L.P., Carlyle Partners VI Evergreen Holdings, L.P., CP VI Evergreen Holdings, L.P.
Section 16 reporting ended · disclosed 2022-08-17. 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 footnotes | 40,307,862 |
Last balance in matching sequence
After 2022-08-15 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2022-08-15 · Sale · Disposed 9,540 · Balance 40,466,077 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.50 to $49.985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Row 2 · 2022-08-15 · Sale · Disposed 76,715 · Balance 40,389,362 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.01 to $50.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Row 3 · 2022-08-15 · Sale · Disposed 81,500 · Balance 40,307,862 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.00 to $51.55. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.50 to $49.985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen").
F4: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.01 to $50.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.00 to $51.55. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
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 |
|---|---|---|---|---|---|---|
| September 28, 2023 Filed Oct 2, 2023 19:54 UTC | SOLENO THERAPEUTICS INC SLNO · Entity 46432 | ConversionTranche A Warrants · Derivative | 1,092,056 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000899243-23-019658 · doc4.xml · derivative · entry 2 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures VII LP · CIK 0001688313 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,092,056 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 · kind: On September 28, 2023, Abingworth Bioventures VII LP ("ABV VII") exercised the Tranche A Warrants, which resulted in the issuance of 329,930 shares of Common Stock and 762,126 prefunded warrants to purchase common stock (the "Prefunded Warrants"). F4 · derivative.exercise_date: The Tranche A Warrants are immediately exercisable and must be exercised within 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602 and will expire if positive top-line data is not announced prior to the 3.5 year anniversary of the date of issuance. However, the Tranche A Warrants contain provisions preventing the Tranche A Warrants from being exercised if such exercise would result ABV VII obtaining greater than 9.99% of the Issuer's voting securities. F4 · derivative.expiration_date: The Tranche A Warrants are immediately exercisable and must be exercised within 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602 and will expire if positive top-line data is not announced prior to the 3.5 year anniversary of the date of issuance. However, the Tranche A Warrants contain provisions preventing the Tranche A Warrants from being exercised if such exercise would result ABV VII obtaining greater than 9.99% of the Issuer's voting securities. F2 · ownership.nature: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3 · ownership.nature: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. Read SEC document |
| September 28, 2023 Filed Oct 2, 2023 19:54 UTC | SOLENO THERAPEUTICS INC SLNO · Entity 46432 | ConversionCommon Stock | 329,930 | $1.75 | $577,377.50 |
DisclosureSEC source: 0000899243-23-019658 · doc4.xml · nonDerivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures VII LP · CIK 0001688313 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,531,436 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 · kind: On September 28, 2023, Abingworth Bioventures VII LP ("ABV VII") exercised the Tranche A Warrants, which resulted in the issuance of 329,930 shares of Common Stock and 762,126 prefunded warrants to purchase common stock (the "Prefunded Warrants"). F2 · ownership.nature: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3 · ownership.nature: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. Read SEC document |
| June 30, 2023 Filed Jul 5, 2023 16:05 UTC | Vistance Networks, Inc. COMM · Entity 4717 | OtherSeries A Convertible Preferred Stock · Derivative | 15,337 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-016884 · doc4.xml · derivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner TC Group VII S1, L.P. · CIK 0001772631 · 10% owner Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,130,776 Underlying: Common Stock · 557,709 shares Expires not disclosed F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein. F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Read SEC document |
| May 08, 2023 Filed May 10, 2023 16:30 UTC | SOLENO THERAPEUTICS INC SLNO · Entity 46432 | PurchaseTranche B Warrants · Derivative | 1,778,000 | $0.44 Strike: $2.50 | $786,765.00 |
DisclosureSEC source: 0000899243-23-012501 · doc4.xml · derivative · entry 2 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,778,000 Underlying: Common Stock · 1,778,000 shares Expires not disclosed F4 · derivative.exercise_date: The Tranche B Warrants are also immediately exercisable and expire upon the earlier of 3.5 years from the date of issuance and 30 days following receipt of U.S. Food and Drug Administration approval of DCCR for the treatment of PWS. However, the Tranche B Warrants contain provisions preventing the Tranche B Warrants from being exercised if such exercise would result in ABV VII obtaining greater than 9.99% of the Issuer's voting securities. F4 · derivative.expiration_date: The Tranche B Warrants are also immediately exercisable and expire upon the earlier of 3.5 years from the date of issuance and 30 days following receipt of U.S. Food and Drug Administration approval of DCCR for the treatment of PWS. However, the Tranche B Warrants contain provisions preventing the Tranche B Warrants from being exercised if such exercise would result in ABV VII obtaining greater than 9.99% of the Issuer's voting securities. F2 · ownership.nature: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3 · ownership.nature: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. Read SEC document |
| May 08, 2023 Filed May 10, 2023 16:30 UTC | SOLENO THERAPEUTICS INC SLNO · Entity 46432 | PurchaseTranche A Warrants · Derivative | 1,092,056 | $0.44 Strike: $1.75 | $483,234.78 |
DisclosureSEC source: 0000899243-23-012501 · doc4.xml · derivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,092,056 Underlying: Common Stock · 1,092,056 shares Expires not disclosed F1 · derivative.exercise_date: The Tranche A Warrants are immediately exercisable and must be exercised within 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602 and will expire if positive top-line data is not announced prior to the 3.5 year anniversary of the date of issuance. However, the Tranche A Warrants contain provisions preventing the Tranche A Warrants from being exercised if such exercise would result Abingworth Bioventures VII LP ("ABV VII") obtaining greater than 9.99% of the Issuer's voting securities. F1 · derivative.expiration_date: The Tranche A Warrants are immediately exercisable and must be exercised within 30 days of announcement of positive top-line data from the randomized withdrawal period of the Issuer's Study C602 and will expire if positive top-line data is not announced prior to the 3.5 year anniversary of the date of issuance. However, the Tranche A Warrants contain provisions preventing the Tranche A Warrants from being exercised if such exercise would result Abingworth Bioventures VII LP ("ABV VII") obtaining greater than 9.99% of the Issuer's voting securities. F2 · ownership.nature: Reflects securities held of record by ABV VII. The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities"). F3 · ownership.nature: Carlyle Genesis UK LLC is the principal member of Abingworth LLP. ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. Each of the Carlyle Entities may be deemed to share beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth LLP. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein. Read SEC document |
| March 31, 2023 Filed Apr 4, 2023 16:05 UTC | Vistance Networks, Inc. COMM · Entity 4717 | OtherSeries A Convertible Preferred Stock · Derivative | 15,129 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-010374 · doc4.xml · derivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner TC Group VII S1, L.P. · CIK 0001772631 · 10% owner Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 1,115,439 Underlying: Common Stock · 550,145 shares Expires not disclosed F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein. F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Read SEC document |
| January 27, 2023 Filed Jan 31, 2023 17:24 UTC | Jasper Therapeutics, Inc. JSPR · Entity 7588 | PurchaseVoting Common Stock | 3,133,333 | $1.50 | $4,699,999.50 |
DisclosureSEC source: 0000899243-23-003059 · doc4.xml · nonDerivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 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: 8,761,891 F1 · ownership.nature: Reflects securities held of record by Abingworth Bioventures VII LP ("ABV VII"). ABV VII has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV VII. F2 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV VII, but each disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein, if any. Read SEC document |
| December 31, 2022 Filed Jan 3, 2023 16:31 UTC | Vistance Networks, Inc. COMM · Entity 4717 | OtherSeries A Convertible Preferred Stock · Derivative | 14,924 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-000246 · doc4.xml · derivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner TC Group VII S1, L.P. · CIK 0001772631 · 10% owner Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 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: 1,100,310 Underlying: Common Stock · 542,690 shares Expires not disclosed F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein. F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 16:39 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | Exercise / conversionStock Option (right to buy) · Derivative | 9,925 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000899243-22-029282 · doc4.xml · derivative · entry 5 Carlyle Group Inc. · CIK 0001527166 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures 8 LP · CIK 0001811412 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 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 · 9,925 shares Expires 2031-05-12 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. F6 · derivative.exercise_date: The stock option is fully vested and exercisable. F1 · ownership.nature: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. F7 · ownership.nature: Under an agreement between Kurt von Emster and Abingworth LLP, Mr. von Emster is deemed to hold the stock option and any shares of Class A Common Stock issuable upon exercise of the stock option for the benefit of ABV 8, and must exercise the stock option solely upon the direction of Abingworth LLP. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 16:39 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 172 | $21.07 | $3,624.87 |
DisclosureSEC source: 0000899243-22-029282 · doc4.xml · nonDerivative · entry 4 Carlyle Group Inc. · CIK 0001527166 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures 8 LP · CIK 0001811412 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 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: 2,960,231 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.025 to $21.09. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · ownership.nature: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 16:39 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 6,472 | $20.42 | $132,158.89 |
DisclosureSEC source: 0000899243-22-029282 · doc4.xml · nonDerivative · entry 3 Carlyle Group Inc. · CIK 0001527166 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures 8 LP · CIK 0001811412 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 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: 2,960,403 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · ownership.nature: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 16:39 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 3,281 | $19.88 | $65,242.36 |
DisclosureSEC source: 0000899243-22-029282 · doc4.xml · nonDerivative · entry 2 Carlyle Group Inc. · CIK 0001527166 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures 8 LP · CIK 0001811412 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 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: 2,966,875 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.74 to $19.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · ownership.nature: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 16:39 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | Exercise / conversionClass A Common Stock | 9,925 | $11.00 | $109,175.00 |
DisclosureSEC source: 0000899243-22-029282 · doc4.xml · nonDerivative · entry 1 Carlyle Group Inc. · CIK 0001527166 · 10% owner Abingworth LLP · CIK 0001397144 · 10% owner Abingworth Bioventures 8 LP · CIK 0001811412 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner Carlyle Investment Management LLC · CIK 0001354120 · 10% owner Carlyle Genesis UK LLC · CIK 0001941860 · 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: 2,970,156 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: Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8. F2 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:47 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 81,500 | $51.15 | $4,168,945.05 |
DisclosureSEC source: 0000899243-22-029076 · doc4.xml · nonDerivative · entry 3 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · Former 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,307,862 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.00 to $51.55. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:47 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 76,715 | $50.65 | $3,885,967.64 |
DisclosureSEC source: 0000899243-22-029076 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · Former 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,389,362 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.01 to $50.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:47 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 9,540 | $49.75 | $474,621.68 |
DisclosureSEC source: 0000899243-22-029076 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · Former 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,466,077 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.50 to $49.985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,098,014 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,209,848 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 12, 2022 Filed Aug 15, 2022 18:27 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 7,516 | $50.06 | $376,281.78 |
DisclosureSEC source: 0000899243-22-028674 · doc4.xml · nonDerivative · entry 6 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,475,617 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.26. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,181,659 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,293,958 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 12, 2022 Filed Aug 15, 2022 18:27 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 87,173 | $49.77 | $4,338,626.36 |
DisclosureSEC source: 0000899243-22-028674 · doc4.xml · nonDerivative · entry 5 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,483,133 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.02 to $49.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,181,659 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,293,958 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 12, 2022 Filed Aug 15, 2022 18:27 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 300 | $48.98 | $14,694.99 |
DisclosureSEC source: 0000899243-22-028674 · doc4.xml · nonDerivative · entry 4 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,570,306 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.98 to $48.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,181,659 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,293,958 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 18:27 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 19,417 | $50.47 | $980,051.72 |
DisclosureSEC source: 0000899243-22-028674 · doc4.xml · nonDerivative · entry 3 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,570,606 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.90. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,181,659 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,293,958 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 18:27 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 26,976 | $49.58 | $1,337,440.41 |
DisclosureSEC source: 0000899243-22-028674 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,590,023 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,181,659 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,293,958 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 18:27 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 114,469 | $48.61 | $5,564,051.92 |
DisclosureSEC source: 0000899243-22-028674 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,616,999 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.24 to $48.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,181,659 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,293,958 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 10, 2022 Filed Aug 11, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 4,899 | $50.14 | $245,653.01 |
DisclosureSEC source: 0000899243-22-028377 · doc4.xml · nonDerivative · entry 6 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,731,468 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.31. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,309,230 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,422,238 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 10, 2022 Filed Aug 11, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 143,007 | $49.62 | $7,095,535.42 |
DisclosureSEC source: 0000899243-22-028377 · doc4.xml · nonDerivative · entry 5 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,736,367 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,309,230 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,422,238 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 10, 2022 Filed Aug 11, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 18,250 | $48.70 | $888,787.78 |
DisclosureSEC source: 0000899243-22-028377 · doc4.xml · nonDerivative · entry 4 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,879,374 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.19 to $48.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,309,230 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,422,238 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 09, 2022 Filed Aug 11, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 10,146 | $47.29 | $479,772.89 |
DisclosureSEC source: 0000899243-22-028377 · doc4.xml · nonDerivative · entry 3 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,897,624 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.72. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,309,230 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,422,238 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 09, 2022 Filed Aug 11, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 135,346 | $46.31 | $6,267,900.33 |
DisclosureSEC source: 0000899243-22-028377 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 40,907,770 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.98. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,309,230 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,422,238 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 09, 2022 Filed Aug 11, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 36,446 | $45.81 | $1,669,605.84 |
DisclosureSEC source: 0000899243-22-028377 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,043,116 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.38 to $45.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,309,230 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,422,238 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 16:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 9,941 | $49.13 | $488,362.56 |
DisclosureSEC source: 0000899243-22-028107 · doc4.xml · nonDerivative · entry 6 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,079,562 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.39. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,482,795 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,596,767 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 16:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 106,935 | $48.37 | $5,172,435.26 |
DisclosureSEC source: 0000899243-22-028107 · doc4.xml · nonDerivative · entry 5 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,089,503 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.00 to $48.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,482,795 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,596,767 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 08, 2022 Filed Aug 9, 2022 16:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 26,196 | $47.91 | $1,255,016.31 |
DisclosureSEC source: 0000899243-22-028107 · doc4.xml · nonDerivative · entry 4 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,196,438 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.65 to $47.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,482,795 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,596,767 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 16:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 156,682 | $47.49 | $7,441,282.56 |
DisclosureSEC source: 0000899243-22-028107 · doc4.xml · nonDerivative · entry 3 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,222,634 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.875. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,482,795 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,596,767 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 16:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 39,339 | $46.69 | $1,836,761.51 |
DisclosureSEC source: 0000899243-22-028107 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,379,316 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.225 to $46.985. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,482,795 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,596,767 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 05, 2022 Filed Aug 9, 2022 16:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 2,810 | $45.52 | $127,921.88 |
DisclosureSEC source: 0000899243-22-028107 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,418,655 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.20 to $45.91. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,482,795 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,596,767 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 04, 2022 Filed Aug 5, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 150,699 | $46.45 | $7,000,405.58 |
DisclosureSEC source: 0000899243-22-027835 · doc4.xml · nonDerivative · entry 3 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,421,465 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.81. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,653,273 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,768,192 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 04, 2022 Filed Aug 5, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 84,129 | $45.56 | $3,833,262.17 |
DisclosureSEC source: 0000899243-22-027835 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,572,164 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,653,273 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,768,192 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| August 03, 2022 Filed Aug 5, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 14,852 | $45.02 | $668,625.16 |
DisclosureSEC source: 0000899243-22-027835 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,656,293 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.08. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,653,273 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,768,192 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| June 30, 2022 Filed Jul 27, 2022 16:30 UTC | Vistance Networks, Inc. COMM · Entity 4717 | OtherSeries A Convertible Preferred Stock · Derivative | 14,721 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-026843 · doc4.xml · derivative · entry 6 Carlyle Group Inc. · CIK 0001527166 · 10% owner Carlyle Holdings I GP Inc. · CIK 0001548626 · 10% owner Carlyle Holdings I GP Sub L.L.C. · CIK 0001548627 · 10% owner Carlyle Holdings I L.P. · CIK 0001548628 · 10% owner CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VII S1, L.L.C. · CIK 0001772672 · 10% owner TC Group VII S1, L.P. · CIK 0001772631 · 10% owner Carlyle Partners VII S1 Holdings, L.P. · CIK 0001772667 · 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: 1,085,386 Underlying: Common Stock · 535,309 shares Expires not disclosed F1 · derivative.exercise_price: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F2 · kind: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F2 · price: The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears. F1 · derivative.exercise_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F1 · derivative.expiration_date: The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met. F3 · ownership.nature: Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein. F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P. Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 17:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 100 | $57.00 | $5,700.00 |
DisclosureSEC source: 0000899243-22-015496 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,671,145 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · ownership.nature: Following the transactions reported herein, includes (i) 20,777,766 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen") and (ii) 20,893,379 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen"). F3 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 14, 2022 Filed Apr 15, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 700 | $57.17 | $40,015.99 |
DisclosureSEC source: 0000899243-22-014883 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,671,245 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.06 to $57.36. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,893,429 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,777,816 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 13, 2022 Filed Apr 15, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 85,323 | $57.13 | $4,874,212.89 |
DisclosureSEC source: 0000899243-22-014883 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,671,945 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.00 to $57.29. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,893,429 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,777,816 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 07, 2022 Filed Apr 11, 2022 17:05 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 8,546 | $57.23 | $489,050.83 |
DisclosureSEC source: 0000899243-22-014441 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,757,268 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.00 to $57.625. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,936,560 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,820,708 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 06, 2022 Filed Apr 7, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 25,251 | $57.07 | $1,440,965.99 |
DisclosureSEC source: 0000899243-22-014269 · doc4.xml · nonDerivative · entry 6 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,765,814 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.00 to $57.56. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,940,845 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,824,969 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 903 | $61.41 | $55,452.06 |
DisclosureSEC source: 0000899243-22-014269 · doc4.xml · nonDerivative · entry 5 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,791,065 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.02 to $61.41. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,940,845 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,824,969 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 18,694 | $60.11 | $1,123,610.35 |
DisclosureSEC source: 0000899243-22-014269 · doc4.xml · nonDerivative · entry 4 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,791,968 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.00 to $60.76. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,940,845 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,824,969 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 27,662 | $59.72 | $1,652,007.83 |
DisclosureSEC source: 0000899243-22-014269 · doc4.xml · nonDerivative · entry 3 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,810,662 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.06 to $59.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,940,845 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,824,969 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 68,476 | $58.27 | $3,989,932.18 |
DisclosureSEC source: 0000899243-22-014269 · doc4.xml · nonDerivative · entry 2 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,838,324 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.00 to $58.87. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,940,845 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,824,969 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 16:30 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 33,096 | $57.81 | $1,913,213.57 |
DisclosureSEC source: 0000899243-22-014269 · doc4.xml · nonDerivative · entry 1 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,906,800 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.47 to $57.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 20,940,845 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,824,969 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 04, 2022 Filed Apr 5, 2022 17:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 4,900 | $61.02 | $299,000.45 |
DisclosureSEC source: 0000899243-22-013831 · doc4.xml · nonDerivative · entry 5 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,939,896 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.00 to $61.095. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 21,028,128 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,911,768 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. Read SEC document |
| April 04, 2022 Filed Apr 5, 2022 17:43 UTC | ZoomInfo Technologies Inc. ZI · Entity 1794 | SaleClass A Common Stock | 117,267 | $60.49 | $7,093,340.11 |
DisclosureSEC source: 0000899243-22-013831 · doc4.xml · nonDerivative · entry 4 CG Subsidiary Holdings L.L.C. · CIK 0001790577 · 10% owner TC Group, LLC · CIK 0000933790 · 10% owner TC Group Sub L.P. · CIK 0001548639 · 10% owner TC Group VI S1, L.L.C. · CIK 0001766541 · 10% owner TC Group VI S1, L.P. · CIK 0001766496 · 10% owner Carlyle Partners VI Evergreen Holdings, L.P. · CIK 0001802267 · 10% owner CP VI Evergreen Holdings, L.P. · CIK 0001813962 · 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: 41,944,796 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.00 to $60.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: Following the transactions reported herein, includes (i) 21,028,128 shares of Class A Common Stock held of record by CP VI Evergreen Holdings, L.P. ("CP VI Evergreen") and (ii) 20,911,768 shares of Class A Common Stock held of record by Carlyle Partners VI Evergreen Holdings, L.P. ("Carlyle Evergreen"). F4 · ownership.nature: The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities held of record by Carlyle Evergreen and CP VI Evergreen, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VI S1, L.L.C., which is the general partner of TC Group VI S1, L.P., which is the general partner of Carlyle Evergreen and CP VI Evergreen. 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.