FGL HOLDINGS Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-10-05: Reporting owner SCHWARZMAN STEPHEN A | Blackstone Group Management L.L.C. | Blackstone Holdings III GP Management L.L.C. | Blackstone Tactical Opportunities LR Associates-B (Cayman) Ltd. | CFS Holdings (Cayman), L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP L.P. | CFS Holdings (Cayman) Manager L.L.C. | Blackstone Group L.P.; Form 4; Security Warrants; Transaction S Open market or private sale of non-derivative or derivative security.
- 2018-10-04: Reporting owner QUELLA JAMES; Form 4; Security Private Placement Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-10-04: Reporting owner Massey Richard N; Form 4; Security Private Placement Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-10-04: Reporting owner Chu Chinh; Form 4; Security Private Placement Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-10-05 | SCHWARZMAN STEPHEN A | Blackstone Group Management L.L.C. | Blackstone Holdings III GP Management L.L.C. | Blackstone Tactical Opportunities LR Associates-B (Cayman) Ltd. | CFS Holdings (Cayman), L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP L.P. | CFS Holdings (Cayman) Manager L.L.C. | Blackstone Group L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · See Footnotes | S Open market or private sale of non-derivative or derivative security | −6,250,000 0 owned after | $11.50 exercise price | 2018-10-09 | |
| 2018-10-04 | QUELLA JAMES Director | 4 | Private Placement Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −166,667 0 owned after | $11.50 exercise price | 2018-10-09 | |
| 2018-10-04 | Massey Richard N Director | 4 | Private Placement Warrants Derivative · Indirect · By CFC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −333,333 0 owned after | $11.50 exercise price | 2018-10-09 | |
| 2018-10-04 | Chu Chinh Director | 4 | Private Placement Warrants Derivative · Indirect · By CC Capital | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,566,667 0 owned after | $11.50 exercise price | 2018-10-09 | |
| 2018-10-04 | FOLEY WILLIAM P II Director | 4 | Private Placement Warrants Derivative · Indirect · By BilCar | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,566,667 0 owned after | $11.50 exercise price | 2018-10-09 | |
| 2018-10-04 | ABELL KEITH W Director | 4 | Private Placement Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,333 0 owned after | $11.50 exercise price | 2018-10-09 | |
| 2018-09-14 holding as of filing | Massey Richard N Director | 4 | Private Placement Warrants Derivative · Indirect · By CFC | Holding | 333,333 owned after | $11.50 exercise price | 2018-09-14 | |
| 2018-04-05 holding as of filing | ABELL KEITH W Director | 4 | Private Placement Warrants Derivative · Direct | Holding | 33,333 owned after | $11.50 exercise price | 2018-04-05 | |
| 2018-04-05 holding as of filing | Chu Chinh Director | 4 | Private Placement Warrants Derivative · Indirect · By CC Capital | Holding | 9,566,667 owned after | $11.50 exercise price | 2018-04-05 | |
| 2018-04-05 holding as of filing | Massey Richard N Director | 4 | Private Placement Warrants Derivative · Indirect · By CFC | Holding | 333,333 owned after | $11.50 exercise price | 2018-04-05 | |
| 2018-04-05 holding as of filing | FOLEY WILLIAM P II Director | 4 | Private Placement Warrants Derivative · Indirect · By BilCar | Holding | 9,566,667 owned after | $11.50 exercise price | 2018-04-05 | |
| 2018-04-05 holding as of filing | QUELLA JAMES Director | 4 | Private Placement Warrants Derivative · Direct | Holding | 166,667 owned after | $11.50 exercise price | 2018-04-05 | |
| 2017-12-11 holding as of filing | Blackstone Group Management L.L.C. | Blackstone Group L.P. | CFS Holdings II (Cayman), L.P. | SCHWARZMAN STEPHEN A | CFS Holdings (Cayman) Manager L.L.C. | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III L.P. | Blackstone Holdings III GP L.P. | CFS Holdings (Cayman), L.P. | Blackstone Tactical Opportunities LR Associates-B (Cayman) Ltd. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants Derivative · Indirect · See footnotes | Holding | $11.50 exercise price | 2017-12-11 | ||
| 2017-12-11 holding as of filing | GSO Credit-A Partners LP | GSO Advisor Holdings L.L.C. | GSO Churchill Partners LP | GSO Credit Alpha Fund LP | GSO COF III Co-Investment AIV-5 LP | GSO COF III AIV-5 LP | GSO Aiguille des Grands Montets Fund II LP | GSO Co-Investment Fund-D LP | GSO CAPITAL PARTNERS LP | GSO Harrington Credit Alpha Fund (Cayman) L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants Derivative · Indirect · See footnotes | Holding | $11.50 exercise price | 2017-12-11 | ||
| 2017-12-11 holding as of filing | GSO Credit-A Associates LLC | Smith J Albert III | GSO Harrington Credit Alpha Associates L.L.C. | GSO Capital Opportunities Associates III LLC | GSO Credit Alpha Associates LLC | GSO Co-Investment Fund-D Associates LLC | GSO COF III Co-Investment Associates LLC | GSO Churchill Associates LLC | GSO Holdings I LLC | Goodman Bennett J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants Derivative · Indirect · See footnotes | Holding | $11.50 exercise price | 2017-12-11 | ||
| 2017-12-11 holding as of filing | Blackstone Holdings II L.P. | Blackstone Holdings I/II GP Inc | Blackstone Holdings I L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Warrants Derivative · Indirect · See footnotes | Holding | $11.50 exercise price | 2017-12-11 | ||
| 2017-11-30 | FOLEY WILLIAM P II Director, Officer (Co-Executive Chairman) | 4 | Private Placement Warrants Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +916,667 9,566,667 owned after | $11.50 exercise price | 2017-12-01 | |
| 2017-11-30 | ABELL KEITH W Director | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,333 33,333 owned after | $11.50 exercise price | 2017-12-01 | |
| 2017-11-30 | QUELLA JAMES Director | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,667 166,667 owned after | $11.50 exercise price | 2017-12-01 | |
| 2017-11-30 | Massey Richard N Director | 4 | Private Placement Warrants Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,333 333,333 owned after | $11.50 exercise price | 2017-12-01 | |
| 2017-11-30 | Chu Chinh Director, Officer (Co-Executive Chairman) | 4 | Private Placement Warrants Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +916,667 9,566,667 owned after | $11.50 exercise price | 2017-12-01 | |
| 2017-11-29 | FOLEY WILLIAM P II Director, Officer (Co-Executive Chairman) | 4 | Private Placement Warrants Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 17,300,000 owned after | $1.00 | 2017-12-01 | |
| 2017-11-29 | CF Capital Growth, LLC Director, 10% Owner | 4 | Private Placement Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 0 owned after | $1.00 | 2017-12-01 | |
| 2017-11-29 | Chu Chinh Director, Officer (Co-Executive Chairman) | 4 | Private Placement Warrants Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 17,300,000 owned after | $1.00 | 2017-12-01 | |
| 2016-05-25 | Chu Chinh Director, Officer (Co-Executive Chairman), 10% Owner | 4 | Private Placement Warrants Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +14,000,000 14,000,000 owned after | $1.00 | 2016-05-26 | |
| 2016-05-25 | CF Capital Growth, LLC 10% Owner | 4 | Private Placement Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +14,000,000 14,000,000 owned after | $1.00 | 2016-05-26 | |
| 2016-05-25 | FOLEY WILLIAM P II Director, Officer (Co-Executive Chairman), 10% Owner | 4 | Private Placement Warrants Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +14,000,000 14,000,000 owned after | $1.00 | 2016-05-26 |