SEQUENTIAL BRANDS GROUP, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-04: Reporting owner Carlyle Holdings II L.P. | Carlyle Equity Opportunity GP, L.P. | Carlyle Holdings II GP L.L.C. | Carlyle Galaxy Holdings, L.P. | TC Group Cayman Investment Holdings, L.P. | Carlyle Group Management L.L.C. | Carlyle Group L.P. | TC Group Cayman Investment Holdings Sub L.P. | Carlyle Equity Opportunity GP, L.L.C.; Form 4; Security Common Stock Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-12-08: Reporting owner TCP WR Acquisition LLC | Tengram Capital Associates, LLC | Eby Matthew | SWEEDLER WILLIAM; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-08-22: Reporting owner TC Group Cayman Investment Holdings, L.P. | Carlyle Equity Opportunity GP, L.L.C. | TC Group Cayman Investment Holdings Sub L.P. | Carlyle Galaxy Holdings, L.P. | Carlyle Holdings II L.P. | Carlyle Equity Opportunity GP, L.P. | Carlyle Group Management L.L.C. | Carlyle Group L.P. | Carlyle Holdings II GP L.L.C.; Form 3; Security Common Stock Warrant (right to buy); Transaction Holding.
- 2013-07-30: Reporting owner SWEEDLER WILLIAM | Eby Matthew | Tengram Capital Associates, LLC | Gersten Richard D. | TCP WR Acquisition LLC; Form 4; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-12-04 | Carlyle Holdings II L.P. | Carlyle Equity Opportunity GP, L.P. | Carlyle Holdings II GP L.L.C. | Carlyle Galaxy Holdings, L.P. | TC Group Cayman Investment Holdings, L.P. | Carlyle Group Management L.L.C. | Carlyle Group L.P. | TC Group Cayman Investment Holdings Sub L.P. | Carlyle Equity Opportunity GP, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,403,254 0 owned after | $11.20 exercise price | 2015-12-08 | |
| 2014-12-08 | TCP WR Acquisition LLC | Tengram Capital Associates, LLC | Eby Matthew | SWEEDLER WILLIAM 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,104,762 0 owned after | $2.63 | 2014-12-10 | |
| 2014-08-22 holding as of filing | TC Group Cayman Investment Holdings, L.P. | Carlyle Equity Opportunity GP, L.L.C. | TC Group Cayman Investment Holdings Sub L.P. | Carlyle Galaxy Holdings, L.P. | Carlyle Holdings II L.P. | Carlyle Equity Opportunity GP, L.P. | Carlyle Group Management L.L.C. | Carlyle Group L.P. | Carlyle Holdings II GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnote | Holding | $11.20 exercise price | 2014-08-22 | ||
| 2013-07-30 holding as of filing | SWEEDLER WILLIAM | Eby Matthew | Tengram Capital Associates, LLC | Gersten Richard D. | TCP WR Acquisition LLC Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Warrants Derivative · Direct | Holding | 1,104,762 owned after | $2.27 exercise price | 2013-07-30 | |
| 2012-03-16 holding as of filing | Monto Holdings (Pty) Ltd. 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Direct | Holding | $0.08 exercise price | 2012-03-16 | ||
| 2012-03-16 holding as of filing | Monto Holdings (Pty) Ltd. 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Direct | Holding | $0.20 exercise price | 2012-03-16 | ||
| 2012-02-24 holding as of filing | SWEEDLER WILLIAM Director, 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | SWEEDLER WILLIAM Director, 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Gersten Richard D. Director, 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Gersten Richard D. Director, 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Eby Matthew Director, 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-24 holding as of filing | Eby Matthew Director, 10% Owner | 3 | Warrant Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2012-02-24 | ||
| 2012-02-22 | Eby Matthew | Gersten Richard D. | SWEEDLER WILLIAM | Tengram Capital Associates, LLC | TCP WR Acquisition LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4/A | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +876,190 1,104,761 owned after | $0.18 exercise price | 2013-01-11 | |
| 2012-02-22 | TCP WR Acquisition LLC 10% Owner | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,142,857 16,571,428 owned after | $0.18 exercise price | 2012-02-24 | |
| 2012-02-13 holding as of filing | TCP WR Acquisition LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $0.18 exercise price | 2012-02-13 |