Statement of Changes in Beneficial Ownership (4)
July 13 2021 - 3:38PM
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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3235-0287
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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
*
ADAGE CAPITAL PARTNERS GP, L.L.C. |
2. Issuer Name and Ticker or Trading Symbol
GCM Grosvenor Inc.
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GCMG
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
200 CLARENDON STREET, 52ND FLOOR, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/12/2021 |
(Street)
BOSTON, MA 02116
(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)
___ Form filed by One Reporting Person
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X
_ 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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Class A Common Stock, $0.0001 par value | 1/12/2021 | | S | | 15000 | D | $13.3855 | 5625717 | I | See footnote (1) |
Class A Common Stock | 1/12/2021 | | S | | 2200 | D | $13.5 | 5623517 | I | See footnote (1) |
Class A Common Stock | 1/14/2021 | | S | | 2196 | D | $13.5 | 5621321 | I | See footnote (1) |
Class A Common Stock | 1/14/2021 | | S | | 2312 | D | $13.5 | 5619009 | I | See footnote (1) |
Class A Common Stock | 1/20/2021 | | S | | 10000 | D | $13.4201 | 5609009 | I | See footnote (1) |
Class A Common Stock | 1/22/2021 | | S | | 11588 | D | $13.4224 | 5597421 | I | See footnote (1) |
Class A Common Stock | 1/26/2021 | | S | | 50000 | D | $13.5053 | 5547421 | I | See footnote (1) |
Class A Common Stock | 1/26/2021 | | S | | 10000 | D | $13.5797 | 5537421 | I | See footnote (1) |
Class A Common Stock | 1/27/2021 | | S | | 50000 | D | $13.5043 | 5487421 | I | See footnote (1) |
Class A Common Stock | 1/29/2021 | | S | | 580 | D | $13.5 | 5486841 | I | See footnote (1) |
Class A Common Stock | 1/29/2021 | | S | | 5449 | D | $13.4581 | 5481392 | I | See footnote (1) |
Class A Common Stock | 1/29/2021 | | S | | 1200 | D | $13.25 | 5480192 | I | See footnote (1) |
Class A Common Stock | 2/2/2021 | | S | | 1408 | D | $13.5128 | 5478784 | I | See footnote (1) |
Class A Common Stock | 2/5/2021 | | S | | 39313 | D | $13.5 | 5439471 | I | See footnote (1) |
Class A Common Stock | 2/5/2021 | | S | | 3716 | D | $13.4085 | 5435755 | I | See footnote (1) |
Class A Common Stock | 2/8/2021 | | S | | 100 | D | $13.5 | 5435655 | I | See footnote (1) |
Class A Common Stock | 2/8/2021 | | S | | 1614 | D | $13.4006 | 5434041 | I | See footnote (1) |
Class A Common Stock | 2/9/2021 | | S | | 11349 | D | $13.5 | 5422692 | I | See footnote (1) |
Class A Common Stock | 2/9/2021 | | S | | 5393 | D | $13.5 | 5417299 | I | See footnote (1) |
Class A Common Stock | 2/10/2021 | | S | | 50000 | D | $13.525 | 5367299 | I | See footnote (1) |
Class A Common Stock | 2/10/2021 | | S | | 9397 | D | $13.6009 | 5357902 | I | See footnote (1) |
Class A Common Stock | 2/10/2021 | | S | | 20800 | D | $13.6 | 5337102 | I | See footnote (1) |
Class A Common Stock | 2/11/2021 | | S | | 434 | D | $13.65 | 5336668 | I | See footnote (1) |
Class A Common Stock | 2/12/2021 | | S | | 6458 | D | $13.5079 | 5330210 | I | See footnote (1) |
Class A Common Stock | 2/17/2021 | | S | | 3722 | D | $13.4047 | 5326488 | I | See footnote (1) |
Class A Common Stock | 2/17/2021 | | S | | 14681 | D | $13.2502 | 5311807 | I | See footnote (1) |
Class A Common Stock | 2/18/2021 | | S | | 25000 | D | $13.2608 | 5286807 | I | See footnote (1) |
Class A Common Stock | 2/22/2021 | | P | | 21000 | A | $12.7484 | 5307807 | I | See footnote (1) |
Class A Common Stock | 2/22/2021 | | P | | 25000 | A | $12.8169 | 5332807 | I | See footnote (1) |
Class A Common Stock | 2/23/2021 | | S | | 50000 | D | $13.285 | 5282807 | I | See footnote (1) |
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) | The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of such reporting person's pecuniary interest in the securities. |
Remarks: The Reporting Persons disgorged to the Issuer all statutory "profits" pursuant to Section 16(b) of the Securities Exchange Act of 1934, as amended, that resulted from the transactions reported herein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ADAGE CAPITAL PARTNERS GP, L.L.C. 200 CLARENDON STREET, 52ND FLOOR BOSTON, MA 02116 |
| X |
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Adage Capital Partners, L.P. 200 CLARENDON STREET, 52ND FLOOR BOSTON, MA 02116 |
| X |
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Adage Capital Advisors, L.L.C. 200 CLARENDON STREET 52ND FLOOR BOSTON, MA 02116 |
| X |
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Atchinson Robert 200 CLARENDON STREET 52ND FLOOR BOSTON, MA 02116 |
| X |
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Gross Phillip 200 CLARENDON STREET 52ND FLOOR BOSTON, MA 02116 |
| X |
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Signatures
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/s/ Robert Atchinson | | 7/13/2021 |
**Signature of Reporting Person | Date |
/s/ Adage Capital Partners, L.P.; By its general partner Adage Capital Partners GP, L.L.C.; By its managing member Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson | | 7/13/2021 |
**Signature of Reporting Person | Date |
/s/ Adage Capital Partners GP, L.L.C.; By its managing member Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson | | 7/13/2021 |
**Signature of Reporting Person | Date |
/s/ Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson | | 7/13/2021 |
**Signature of Reporting Person | Date |
/s/ Phillip Gross | | 7/13/2021 |
**Signature of Reporting Person | Date |
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