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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 | ||||||||
Options to purchase limited partnership units (right to buy) | $ 6.64 | 09/08/2011 | D | 151,257 | (1) | 05/04/2019 | Limited partnership units (2) | 151,257 | $ 18.86 | 0 | D | ||||
Options to purchase common stock (right to buy) | $ 10 | 09/08/2011 | D | 117,602 | (3) | 02/09/2020 | Common stock, par value $0.01 per share | 117,602 | $ 15.5 | 0 | D | ||||
Performance-based options to purchase C.S. (right to buy) | $ 6.64 | 09/08/2011 | A | 151,258 | (4) | (5) | Common stock, par value $0.01 per share | 151,258 | $ 0 | 151,258 | D | ||||
Performance-based options to purchase C.S. (right to buy) | $ 6.64 | 09/08/2011 | D | 151,258 | (4) | (5) | Common stock, par value $0.01 per share | 151,258 | $ 18.86 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bullock David W 2401 PLEASANT VALLEY ROAD YORK, PA 17402 |
Chief Financial Officer |
/s/ Michael Korniczky, as designated signatory | 09/09/2011 | |
**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) | To the extent not previously vested, fully vested pursuant to the Amended and Restated Agreement and Plan of Merger (the "Holdings Merger Agreement"), dated as of July 15, 2011, among Graham Packaging Company Inc., Graham Packaging Holdings Company, BCP/Graham Holdings L.L.C. (solely for the purposes of Section 3.07 thereof) and GPC Merger LLC. |
(2) | The limited partnership units of Graham Packaging Holdings Company were, subject to certain restrictions in a Management Limited Partnership Unit Exchange Agreement, exchangeable on a one-for-one basis for shares of Graham Packaging Company Inc. common stock, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. |
(3) | To the extent not previously vested, fully vested pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 17, 2011, among Reynolds Group Holdings Limited, Bucephalas Acquisition Corp. and Graham Packaging Company Inc. |
(4) | Fully vested based on the multiple of invested capital obtained by Blackstone Capital Partners III Merchant Banking Fund L.P., Blackstone Offshore Capital Partners III L.P. and Blackstone Family Investment Partnership III L.P. when such entities disposed of their common stock pursuant to the Merger Agreement. |
(5) | Performance-based options either vest or forfeit on their vesting date. |
Remarks: Options to purchase limited partnership units disposed of pursuant to the Holdings Merger Agreement. Common stock and options to purchase common stock disposed of pursuant to the Merger Agreement. |