Statement of Changes in Beneficial Ownership (4)
March 20 2020 - 4:00PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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MACIARIELLO PATRICK A |
2. Issuer Name and Ticker or Trading Symbol
Compass Diversified Holdings
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CODI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Remarks (a) |
(Last)
(First)
(Middle)
301 RIVERSIDE AVENUE, SECOND FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/18/2020 |
(Street)
WESTPORT, CT 06880
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares (1) | 3/18/2020 | | P | | 1500 | A | $11.0077 | 167268.2335 | D | |
Series C Preferred (2) | 3/18/2020 | | P | | 2000 | A | $14.65 | 6845 | D | |
Series B Preferred (3) | 3/19/2020 | | P | | 632 | A | $17.15 | 5863 | D | |
Series C Preferred (2) | 3/19/2020 | | P | | 655 | A | $14.856 | 7500 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Each Common Share represents one undivided beneficial interest in Compass Diversified Holdings (the "Trust") property and corresponds to one underlying trust common interest of Compass Group Diversified Holdings LLC (the "Company") held by the Trust. |
(2) | Each Series C Preferred Share represents one undivided beneficial interest in the Trust property and corresponds to one underlying Series C trust preferred interest of the Company held by the Trust. |
(3) | Each Series B Preferred Share represents one undivided beneficial interest in the Trust property and corresponds to one underlying Series B trust preferred interest of the Company held by the Trust. |
Remarks: (a) Mr. Maciariello is an Assistant Secretary of Compass Group Diversified Holdings LLC, Sponsor of the Trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MACIARIELLO PATRICK A 301 RIVERSIDE AVENUE SECOND FLOOR WESTPORT, CT 06880 |
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| See Remarks (a) |
Signatures
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/s/ Patrick A. Maciariello, by Carrie W. Ryan and Ryan J. Faulkingham as attorneys-in-fact | | 3/20/2020 |
**Signature of Reporting Person | Date |
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