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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock | (2) | 08/18/2015 | J(3) | 31,205,620 | (2) | (2) | Class A Common Stock | 31,205,620 | (3) | 31,205,620 | D (1) | ||||
Class B Common Stock (1) | (2) | 08/18/2015 | C | 9,595,289 | (2) | (2) | Class A Common Stock | 9,595,289 | $ 0 | 21,610,331 | D (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ORIX HLHZ Holding LLC 1717 MAIN STREET, SUITE 900 DALLAS, TX 75201 |
X | |||
ORIX CORP WORLD TRADE CENTER BLDG. 2-4-1 HAMAMATSU-CHO, MINATO-KU TOKYO, M0 105 6135 |
X |
ORIX Corporation, By: /s/ Hideto Nishitani, Executive Officer | 08/20/2015 | |
**Signature of Reporting Person | Date | |
ORIX HLHZ Holding LLC, By: ORIX Capital Markets, LLC, its managing member, by: /s/ Paul Wilson, Chief Financial Officer | 08/20/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation. |
(2) | Convertible into Class A Common Stock on one-for-one basis, upon transfer or final conversion dates as described in Issuer's registration statement on Form S-1 (file no. 333-205610) relating to its initial public offering. |
(3) | Issued in exchange for securities in predecessor entities owned by the reporting persons in connection with a corporate reorganization that became effective on the closing date of the issuer's initial public offering. |