UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Buffalo Investor I, L.P. C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Buffalo Investor I GP, LLC C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Buffalo Holding I LLC C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Buffalo Holding II LLC C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
ALINDA INFRASTRUCTURE FUND II LP C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Alinda GP II, L.P. C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Alinda Parallel Fund GP II, L.P. C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Alinda Parallel Fund GP II, Ltd. C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Alinda GP of GP II LLC C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
Beale Christopher W. C/O ALINDA CAPITAL PARTNERS, 100 WEST PUTNAM AVENUE GREENWICH, CT 06830 |
 |  X |  |  |
BUFFALO INVESTOR I, L.P., By: BUFFALO INVESTOR I GP, LLC, its general partner, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Secretary | 07/25/2017 | |
**Signature of Reporting Person | Date | |
BUFFALO INVESTOR I GP, LLC, By: BUFFALO HOLDING I LLC, its managing member, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Secretary | 07/25/2017 | |
**Signature of Reporting Person | Date | |
BUFFALO HOLDING I LLC, By: ALINDA INFRASTRUCTURE FUND II, L.P., its managing member, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Secretary | 07/25/2017 | |
**Signature of Reporting Person | Date | |
BUFFALO HOLDING II LLC, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Secretary | 07/25/2017 | |
**Signature of Reporting Person | Date | |
ALINDA INFRASTRUCTURE FUND II, L.P., By: ALINDA GP II, L.P., its general partner, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Secretary | 07/25/2017 | |
**Signature of Reporting Person | Date | |
ALINDA GP II, L.P., By: ALINDA GP OF GP II LLC, its general partner, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Secretary | 07/25/2017 | |
**Signature of Reporting Person | Date | |
ALINDA PARALLEL FUND GP II, L.P., By: ALINDA PARALLEL FUND GP II, LTD., its general partner, By: /s/ John S. Laxmi, Name: John S. Laxmi, Title: Director | 07/25/2017 | |
**Signature of Reporting Person | Date | |
ALINDA PARALLEL FUND GP II, LTD., By: /s/ Christopher W. Beale, Name: Christopher W. Beale, Title: Director | 07/25/2017 | |
**Signature of Reporting Person | Date | |
ALINDA GP OF GP II LLC, By: /s/ Christopher W. Beale, Name: Christopher W. Beale, Title: Managing Member | 07/25/2017 | |
**Signature of Reporting Person | Date | |
/s/ Christopher W. Beale, Christopher W. Beale | 07/25/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These securities are directly held by Buffalo Investor I, L.P. Buffalo Investor I GP LLC is the general partner of Buffalo Investor I, L.P. Buffalo Holding I LLC is the Managing Member of Buffalo Investor I GP LLC. Alinda Infrastructure Fund II, L.P. is the Managing Member of Buffalo Holding I LLC. Alinda GP II, L.P. is the general partner of Alinda Infrastructure Fund II, L.P. Alinda GP of GP II LLC is the general partner of Alinda GP II, L.P. Mr. Christopher W. Beale is the Managing Member of Alinda GP of GP II LLC. |
(2) | These securities are directly held by Buffalo Investor II, L.P. Buffalo Investor II GP LLC is the general partner of Buffalo Investor II, L.P. Buffalo Holding II LLC is the Managing Member of Buffalo Investor II GP, L.P. Alinda Parallel Fund GP II, L.P. is the managing member of Buffalo Holding II LLC. Alinda Parallel Fund GP II, Ltd. is the general partner of Alinda Parallel Fund GP II, L.P. Mr. Christopher W. Beale is the Director of Alinda Parallel Fund GP II, Ltd. |
(3) | Due to the limitations of the electronic filing system certain Reporting Persons are filing a separate Form 3. |
(4) | Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |