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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 | $ 0 (1) | 09/06/2018 | J(2) | 1,747,016 (2) | (1) | (1) | Class A Common Stock | 1,747,016 | $ 0 | 18,837,636 | I | See footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pucker Gigi Pritzker 150 NORTH RIVERSIDE PLAZA, SUITE 3300 CHICAGO, IL 60606 |
X | See Remarks |
/s/ Gigi Pritzker Pucker | 09/10/2018 | |
**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) | As provided in the Issuer's Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain permitted transfers described in the Issuer's Amended and Restated Certificate of Incorporation. |
(2) | On September 6, 2018, CIBC Trust Company (Bahamas) Limited resigned as trustee of certain trusts for the benefit of Gigi Pritzker Pucker and/or certain of her lineal descendants and UDQ Private Trust Company, LLC was appointed as successor trustee of such trusts. |
(3) | Represents shares held by GHHC, L.L.C., a member-managed Delaware limited liability company controlled by F.L.P. Trust #14, and by certain trusts for which UDQ Private Trust Company, LLC serves as trustee. UDQ Private Trust Company, LLC is also the trustee of F.L.P. Trust #14. UDQ Private Trust Company, LLC is a manager-managed South Dakota limited liability company, the sole member of which is UDQ Trust. The Reporting Person is the trustee of UDQ Trust and in such capacity may, for the purposes hereof, be deemed to beneficially own the shares held by GHHC, L.L.C. and by the other trusts for which UDQ Private Trust Company, LLC serves as trustee. |
Remarks: Member of 10% owner group. |