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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VIKING GLOBAL PERFORMANCE LLC 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
VGE III Portfolio Ltd. 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
Viking Long Fund GP LLC 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
Viking Long Fund Master Ltd. 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
HALVORSEN OLE ANDREAS 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
Ott David C. 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
Purcell Thomas W. JR 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X | |||
Sundheim Daniel S. 55 RAILROAD AVENUE GREENWICH, CT 06830 |
X |
/s/ O. ANDREAS HALVORSEN (11)(12) | 10/08/2014 | |
**Signature of Reporting Person | Date | |
/s/ DAVID C. OTT (11)(12) | 10/08/2014 | |
**Signature of Reporting Person | Date | |
/s/ THOMAS W. PURCELL, JR. (11)(12) | 10/08/2014 | |
**Signature of Reporting Person | Date | |
/s/ DANIEL S. SUNDHEIM (11)(12) | 10/08/2014 | |
**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) | O. Andreas Halvorsen, David C. Ott, Thomas W. Purcell, Jr. and Daniel S. Sundheim are Executive Committee members of certain management entities including Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP") and Viking Long Fund GP LLC ("VLFGP"). VGI provides managerial services to various investment funds including Viking Global Equities LP ("VGE"), Viking Global Equities II LP ("VGE II") and VGE III Portfolio Ltd. ("VGE III"). VGP is the general partner of VGE and VGE II and the investment manager of VGE III. VLFGP serves as the investment manager of Viking Long Fund Master Ltd. ("VLFM", together with VGE, VGE II and VGE III, the "Viking Funds", and together with Mr. Halvorsen, Mr. Ott, Mr. Purcell, Mr. Sundheim, VGP, VLFGP and VGE III, the "Reporting Persons"). |
(2) | The shares reported on this form were previously reported on the Form 4 of VGI, VGE and VGE II filed with the Securities and Exchange Commission on October 6, 2014. Mr. Halvorsen, Mr. Ott, Mr. Purcell, Mr. Sundheim, VGP, VLFGP, VGE III and VLFM were not listed as "Reporting Persons" thereon, because, at that time, they did not have the necessary filing codes. |
(3) | VGI provides managerial services to (i) VGE, which directly holds 99,621 shares of Class A common stock and 327,594 shares of Class B common stock; (ii) VGE II, which directly holds 5,840 shares of Class A common stock and 19,214 shares of Class B common stock; (iii) VGE III, which directly holds 186,679 shares of Class A common stock and 613,877 shares of Class B common stock; and (iv) VLFM, which directly holds 187,110 shares of Class A common stock and 310,301 shares of Class B common stock. Because of the relationships between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Class A common stock and Class B common stock directly held by the Viking Funds. |
(4) | VGP is the general partner of VGE and VGE II and the investment manager of VGE III. Because of the relationships between VGP and VGE, VGE II and VGE III, respectively, VGP may be deemed to beneficially own the shares of Class A common stock and Class B common stock directly held by VGE, VGE II and VGE III. |
(5) | VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Class A common stock and Class B common stock directly held by VLFM. |
(6) | The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. |
(7) | VGE III directly holds 186,679 shares of Class A common stock and 613,877 shares of Class B common stock. |
(8) | VLFM directly holds 187,110 shares of Class A common stock and 310,301 shares of Class B common stock. |
(9) | On October 2, 2014, the Viking Funds acquired an aggregate of 400,000 shares of Class A common stock at a price of $29.00 per share in connection with the Issuer's initial public offering. 186,679 of such shares of Class A common stock were acquired by VGE III and 113,700 of such shares of Class A common stock were acquired by VLFM. |
(10) | On October 2, 2014, the Viking Funds acquired an aggregate of 25,000 shares of Class A common stock at a price per share of $36.00 and 54,250 shares of Class A common stock at a price per share of $35.53 in open-market transactions. All 25,000 shares of Class A common stock acquired at a price per share of $36.00 were acquired by VLFM, and 48,410 of the shares of Class A common stock acquired at a price per share of $35.53 were acquired by VLFM. |
Remarks: (11) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (12) Each of O. Andreas Halvorsen, David C. Ott, Daniel S. Sundheim and Thomas W. Purcell, Jr. is signing individually and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC on behalf of itself and VGE III PORTFOLIO LTD. and as an Executive Committee Member of VIKING LONG FUND GP LLC on behalf of itself and VIKING LONG FUND MASTER LTD. |