Initial Statement of Beneficial Ownership (3)
September 18 2019 - 11:44AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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
*
MIZUHO SECURITIES USA LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/16/2019
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3. Issuer Name and Ticker or Trading Symbol
TELEPHONE & DATA SYSTEMS INC /DE/ [TDS]
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(Last)
(First)
(Middle)
320 PARK AVENUE, 12TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) ___X___ Other (specify below) / See Remarks |
(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks: No securities are beneficially owned.
On September 16 2019 the Reporting Person entered into master securities loan agreements with each lender party signatory thereto (collectively the MSLAs) pursuant to which the Reporting Person borrowed an aggregate total of 20934700 shares of common stock of the Issuer which caused the Reporting Person to become a greater than ten percent owner with respect to the Issuer. On September 17 2019 the Reporting Person returned 20934700 shares of the Issuer pursuant to the MSLAs. Following the return of the borrowed shares the Reporting Person was no longer a greater than ten percent owner with respect to the Issuer. To the extent the Reporting Person is entitled to receive any dividends with respect to the previously borrowed shares of the Issuer, such dividends will be subject to the terms and conditions of the MSLAs. The Reporting Person disclaims beneficial ownership of the previously borrowed shares of the Issuer for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934 as amended. |
No securities are beneficially owned. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MIZUHO SECURITIES USA LLC 320 PARK AVENUE 12TH FLOOR NEW YORK, NY 10022 |
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| See Remarks |
Signatures
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Gregory Doig | | 9/18/2019 |
**Signature of Reporting Person | Date |
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