Statement of Changes in Beneficial Ownership (4)
February 13 2014 - 6:42PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
STEIN NACHUM
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2. Issuer Name
and
Ticker or Trading Symbol
Coleman Cable, Inc.
[
CCIX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
444 MADISON AVENUE, SUITE 501
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2014
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(Street)
NEW YORK, NY 10022
(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 Stock
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2/11/2014
(1)
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D
(2)
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27049
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D
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$26.25
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0
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D
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Common Stock
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2/11/2014
(1)
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D
(2)
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616698
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D
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$26.25
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0
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D
(3)
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Common Stock
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2/11/2014
(1)
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D
(2)
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300386
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D
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$26.25
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0
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I
(4)
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Held by The N&F Trust 766, an irrevocable trust for the benefit of Mr. Stein's immediate family
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Common Stock
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2/11/2014
(1)
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D
(2)
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113000
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D
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$26.25
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0
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I
(4)
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Held by the Nachum and Feige Stein Foundation
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Common Stock
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2/11/2014
(1)
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D
(2)
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49512
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D
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$26.25
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0
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I
(4)
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Held by the Hasenfeld-Stein Pension Trust
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Common Stock
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2/11/2014
(1)
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D
(2)
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110240
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D
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$26.25
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0
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I
(4)
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Held by the HSI Partnership
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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On December 20, 2013, Coleman Cable, Inc. (the "Company") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Southwire Company, a Delaware corporation ("Parent"), and Cubs Acquisition Corporation, a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"). On February 11, 2014, pursuant to the Merger Agreement, Merger Sub merged with and into the Company, and the Company continued as the surviving corporation and as a wholly-owned subsidiary of Parent (the "Merger").
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(
2)
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Pursuant to the transactions contemplated by the Merger Agreement, all shares of Company common stock were exchanged for consideration of $26.25 per share.
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(
3)
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Held jointly by Mr. Stein and his spouse.
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(
4)
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Mr. Stein disclaims beneficial ownership to these shares.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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STEIN NACHUM
444 MADISON AVENUE, SUITE 501
NEW YORK, NY 10022
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X
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Signatures
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/s/ James J. Junewicz, by Power of Attorney
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2/13/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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