KLDiscovery Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-01-13: Reporting owner CG Subsidiary Holdings L.L.C.; Form 3; Security Contingent Shares; Transaction Holding.
- 2019-12-31: Reporting owner CEOF II DE I AIV, L.P. | CEOF II Coinvestment B (DE), L.P. | CEOF II Coinvestment (DE), L.P.; Form 3; Security Contingent Shares; Transaction Holding.
- 2019-12-31: Reporting owner Carlyle Holdings I GP Sub L.L.C. | TC Group Sub L.P. | Carlyle Holdings I GP Inc. | TC Group, LLC | Carlyle Group Management L.L.C. | Carlyle Group L.P. | Carlyle Holdings I L.P.; Form 3; Security Contingent Shares; Transaction Holding.
- 2019-12-19: Reporting owner Jones Krystina L.; Form 4; Security Contingent Shares; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-01-13 holding as of filing | CG Subsidiary Holdings L.L.C. 10% Owner | 3 | Contingent Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2020-01-13 | ||
| 2019-12-31 holding as of filing | CEOF II DE I AIV, L.P. | CEOF II Coinvestment B (DE), L.P. | CEOF II Coinvestment (DE), L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Contingent Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2019-12-31 | ||
| 2019-12-31 holding as of filing | Carlyle Holdings I GP Sub L.L.C. | TC Group Sub L.P. | Carlyle Holdings I GP Inc. | TC Group, LLC | Carlyle Group Management L.L.C. | Carlyle Group L.P. | Carlyle Holdings I L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Contingent Shares Derivative · Indirect · See footnotes | Holding | no price filed | 2019-12-31 | ||
| 2019-12-19 | Jones Krystina L. Officer (EVP, Global Sales & Marketing) | 4 | Contingent Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,025 8,025 owned after | $2.00 exercise price | 2019-12-23 | |
| 2019-12-19 | WEILER CHRISTOPHER Director, Officer (Chief Executive Officer) | 4 | Contingent Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +133,713 133,713 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | MOREA DONNA S Director | 4 | Contingent Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,318 3,318 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | AKERSON DANIEL F Director | 4 | Contingent Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,031 31,031 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | Morgan Evan B Director | 4 | Contingent Shares Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,392 2,392 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | WILLIAMS RICHARD J Director | 4 | Contingent Shares Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +95,600 95,600 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | LEDECKY JONATHAN J | Pivotal Spac Funding LLC Director, 10% Owner | 10% Owner | 4 | Class B common stock Derivative · Indirect · By Pivotal Acquisition Holdings LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −479,392 5,320,608 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | LEDECKY JONATHAN J | Pivotal Spac Funding LLC Director, 10% Owner | 10% Owner | 4 | Class B common stock Derivative · Indirect · By Pivotal Acquisition Holdings LLC | C Conversion of derivative security | −5,070,608 0 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | Griffin Kevin Director, 10% Owner | 4 | Class B common stock Derivative · Indirect · By Pivotal Acquisition Holdings LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −479,392 5,320,608 owned after | no price filed | 2019-12-23 | |
| 2019-12-19 | Griffin Kevin Director, 10% Owner | 4 | Class B common stock Derivative · Indirect · By Pivotal Acquisition Holdings LLC | C Conversion of derivative security | −5,070,608 0 owned after | no price filed | 2019-12-23 | |
| 2019-01-31 holding as of filing | Brady James HR Officer (Chief Financial Officer) | 3 | Class B Common Stock Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | LEDECKY JONATHAN J | Pivotal Spac Funding LLC | Griffin Kevin Director, Officer, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Class B Common Stock Derivative · Indirect · By Pivotal Acquisition Holdings LLC | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Adams Katrina Director | 3 | Class B Common Stock Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Morgan Evan B Director | 3 | Class B Common Stock Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Epstein Efrat Director | 3 | Class B Common Stock Derivative · Direct | Holding | no price filed | 2019-01-31 |