UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Golden Gate Capital Management II, L.L.C. ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
Golden Gate Capital Investment Fund II, L.P. ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
Golden Gate Capital Investment Annex Fund II LP ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
Golden Gate Capital Investment Fund II (AI), L.P. ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
GOLDEN GATE CAPITAL INVESTMENT ANNEX FUND II AI L P ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
Golden Gate Capital Associates II-QP, L.L.C. ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
Golden Gate Capital Associates II-AI, L.L.C. ONE EMBARCADERO CENTER 39TH FLOOR SAN FRANCISCO, CA 94111 |
 |  X |  |  |
/s/ Jeremy M. Veit, by power of attorney | 11/18/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes shares of common stock held indirectly (through their ownership in VGG Holding LLC ("VGG")) by (a) Golden Gate Capital Investment Fund II, L.P., (b) Golden Gate Capital Investment Annex Fund II, L.P., (c) Golden Gate Capital Investment Fund II (AI), L.P., (d) Golden Gate Capital Investment Annex Fund II (AI), L.P., (e) Golden Gate Capital Associates II-QP, LLC, (f) Golden Gate Capital Associates II-AI, LLC, (g) CCG AV, LLC - Series A, (h) CCG AV, LLC - Series C, (i) CCG AV, LLC - Series I and (j) CCG AV, LLC - Series E. The entities listed in clauses (a) through (f) are managed by Golden Gate Capital Management II, L.L.C., and the entities listed in clauses (g) through (j) are managed by Golden Gate Capital Management, L.L.C. (together with the entities listed in clauses (a) through (j) and Golden Gate Capital Management II, L.L.C., the "Golden Gate Entities"). |
(2) | Each of the Golden Gate Entities disclaims beneficial ownership in the shares owned by VGG, except to the extent of its pecuniary interest therein. |
(3) | Concurrently with the consummation of the initial public offering of Aeroflex Holding Corp. ("Aeroflex Holding"), VGG will issue Class B-1 membership interests representing an aggregate of 0.3% of the membership interests of VGG to certain members of Aeroflex Holding's management. Pursuant to the terms of the limited liability company agreement of VGG, the issuance of such Class B-1 membership interests will reduce the percentage of the membership interests of VGG held by the holders of Class A membership interests of VGG on a pro rata basis. Following such reduction and the consummation of Aeroflex Holding's initial public offering, the Golden Gate Entities will indirectly beneficially own 15,195,250 shares of Common Stock of Aeroflex Holding that are held by VGG. |
 Remarks: Form 1 of 2.  Exhibit List:  Exhibit 24.1 - Power of Attorney, Exhibit 24.2 - Power of Attorney. |