NORTEK INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-14: Reporting owner ARES MANAGEMENT LP | Ares Holdings Inc. | Ares Management GP LLC | Ares Partners Holdco LLC; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2014-10-09: Reporting owner Ares Management GP LLC | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | Ares Management Holdings L.P. | ARES MANAGEMENT LLC | ARES CORPORATE OPPORTUNITIES FUND III LP | Ares Holdings Inc. | ACOF Operating Manager III LLC | Ares Partners Holdco LLC | ARES MANAGEMENT LP; Form 4; Security Warrants to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-06-05: Reporting owner Hall Almon C.; Form 4; Security Warrants (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-27: Reporting owner Donnelly Kevin W; Form 4; Security Warrants (right to buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-10-14 holding as of filing | ARES MANAGEMENT LP | Ares Holdings Inc. | Ares Management GP LLC | Ares Partners Holdco LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See footnote | Holding | $52.80 exercise price | 2014-10-14 | ||
| 2014-10-09 | Ares Management GP LLC | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | Ares Management Holdings L.P. | ARES MANAGEMENT LLC | ARES CORPORATE OPPORTUNITIES FUND III LP | Ares Holdings Inc. | ACOF Operating Manager III LLC | Ares Partners Holdco LLC | ARES MANAGEMENT LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See footnotes | X Exercise of in-the-money or at-the-money derivative security | −55,562 0 owned after | $52.80 exercise price | 2014-10-14 | |
| 2014-06-05 | Hall Almon C. Officer (Sr VP and CFO) | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −334 0 owned after | $52.80 | 2014-07-10 | |
| 2013-03-27 | Donnelly Kevin W Officer (Sr. VP Gen Cnsl and Secry) | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −334 0 owned after | $52.80 | 2013-03-29 | |
| 2011-11-14 holding as of filing | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | ACOF Operating Manager II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Management III, L.P. | ARES CORPORATE OPPORTUNITIES FUND III LP | ARES MANAGEMENT LLC | ACOF Operating Manager III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See footnote | Holding | $52.80 exercise price | 2011-11-14 | ||
| 2011-11-14 holding as of filing | Hall Almon C. Officer (Sr. VP and CFO) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $52.80 exercise price | 2011-11-14 | ||
| 2011-11-14 holding as of filing | Donnelly Kevin W Officer (Sr,VP, Genrl, Counsel and Secr) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $52.80 exercise price | 2011-11-14 | ||
| 2011-11-14 holding as of filing | COONEY EDWARD J Officer (Sr. VP and Treasurer) | 3 | Warranty (right to buy) Derivative · Direct | Holding | $52.80 exercise price | 2011-11-14 |