NRC GROUP HOLDINGS CORP. Forms 3, 4 and 5: Preferred Stock
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.
- 2019-11-01: Reporting owner CYRUS CAPITAL PARTNERS, L.P. | CYRUS CAPITAL PARTNERS GP, LLC | SBTS, LLC | FREIDHEIM STEPHEN C; Form 4; Security 7% Series A Convertible Cumulative Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-11-01: Reporting owner JFL-NRCG Holdings IV, LLC | JFL Equity Investors IV, L.P. | JFL GP Investors IV, LLC; Form 4; Security Series A Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-11-01: Reporting owner JFL-NRCG Holdings III, LLC | JFL-NRCG Annex Fund, L.P.; Form 4; Security Series A Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-11-01: Reporting owner JFL-SES Holdings, LLC | JFL-SES (JA) Holdings, LLC | JFL AIV Investors III-JA, L.P. | JFL-NRC Partners, LLC | JFL-NRC Int. (JA) Holdings, LLC | JFL-SES Int. (JA) Holdings, LLC | JFL-NRC (JA) Holdings, LLC | JFL-SES Partners, LLC | JFL-NRC-SES Partners, LLC | JFL GP Investors III, LLC; Form 4; Security Series A Convertible Preferred Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-11-01 | CYRUS CAPITAL PARTNERS, L.P. | CYRUS CAPITAL PARTNERS GP, LLC | SBTS, LLC | FREIDHEIM STEPHEN C Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | 7% Series A Convertible Cumulative Preferred Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −530,000 0 owned after | no price filed | 2019-11-05 | |
| 2019-11-01 | JFL-NRCG Holdings IV, LLC | JFL Equity Investors IV, L.P. | JFL GP Investors IV, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −275,867 0 owned after | no price filed | 2019-11-01 | |
| 2019-11-01 | JFL-NRCG Holdings III, LLC | JFL-NRCG Annex Fund, L.P. Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,133 0 owned after | no price filed | 2019-11-01 | |
| 2019-11-01 | JFL-SES Holdings, LLC | JFL-SES (JA) Holdings, LLC | JFL AIV Investors III-JA, L.P. | JFL-NRC Partners, LLC | JFL-NRC Int. (JA) Holdings, LLC | JFL-SES Int. (JA) Holdings, LLC | JFL-NRC (JA) Holdings, LLC | JFL-SES Partners, LLC | JFL-NRC-SES Partners, LLC | JFL GP Investors III, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,133 0 owned after | no price filed | 2019-11-01 | |
| 2018-10-26 holding as of filing | JFL-NRCG Annex Fund, L.P. | JFL-NRCG Holdings III, LLC 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | $12.50 exercise price | 2018-10-26 | ||
| 2018-10-26 holding as of filing | JFL-SES Int. (JA) Holdings, LLC | JFL AIV Investors III-JA, L.P. | JFL-NRC Int. (JA) Holdings, LLC | JFL-SES (JA) Holdings, LLC | JFL-NRC (JA) Holdings, LLC | JFL-SES Partners, LLC | JFL GP Investors III, LLC | JFL-NRC-SES Partners, LLC | JFL-NRC Partners, LLC | JFL-SES Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | $12.50 exercise price | 2018-10-26 | ||
| 2018-10-26 holding as of filing | JFL GP Investors IV, LLC | JFL Equity Investors IV, L.P. | JFL-NRCG Holdings IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | $12.50 exercise price | 2018-10-26 | ||
| 2018-10-26 holding as of filing | CYRUS CAPITAL PARTNERS, L.P. | FREIDHEIM STEPHEN C | SBTS, LLC | CYRUS CAPITAL PARTNERS GP, LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | 7% Series A Convertible Cumulative Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2018-10-26 |