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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fortress Investment Group LLC 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
FIG Corp. 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
FIG LLC 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
Fortress Operating Entity I LP 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
Seacastle Inc. 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
Seacastle Operating Co Ltd. 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
Fortress Investment Fund IV (Fund A) L.P. 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
Fortress Investment Fund IV (Fund D) L.P. 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
FORTRESS FUND III GP LLC 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X | |||
Fortress Investment Fund III LP 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
X |
/s/ David N. Brooks, Secretary of Fortress Investment Group LLC | 04/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ David N. Brooks, Secretary of FIG Corp. | 04/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ David N. Brooks, Secretary of FIG LLC | 04/26/2013 | |
**Signature of Reporting Person | Date | |
By: FIG Corp., its General Partner, By: /s/ David N. Brooks, Secretary of FIG Corp. | 04/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ Chris Annese, as Authorized Signatory of Seacastle Inc. | 04/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ Chris Annese, as Authorized Signatory of Seacastle Operating Company Ltd. | 04/26/2013 | |
**Signature of Reporting Person | Date | |
By: Fortress Fund IV GP L.P., its General Partner, By: Fortress Fund IV GP Holdings Ltd., its General Partner, By: /s/ David N. Brooks, Secretary of Fortress Fund IV GP Holdings Ltd. | 04/26/2013 | |
**Signature of Reporting Person | Date | |
By: Fortress Fund IV GP L.P., its General Partner, By: Fortress Fund IV GP Holdings Ltd., its General Partner, By: /s/ David N. Brooks, Secretary of Fortress Fund IV GP Holdings Ltd. | 04/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ David N. Brooks, Secretary of Fortress Fund III GP LLC | 04/26/2013 | |
**Signature of Reporting Person | Date | |
By: Fortress Fund III GP LLC, its General Partner, By: /s/ David N. Brooks, Secretary of Fortress Fund III GP LLC | 04/26/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Seacastle Operating Company Ltd. is wholly owned by Seacastle Inc. Seacastle Inc. is wholly owned by Fortress Investment Fund III LP, Fortress Investment Fund III (Fund B) LP, Fortress Investment Fund III (Fund C) LP, Fortress Investment Fund III (Fund D) L.P., Fortress Investment Fund III (Fund E) L.P., Fortress Investment Fund III (Coinvestment Fund A) LP, Fortress Investment Fund III (Coinvestment Fund B) LP, Fortress Investment Fund III (Coinvestment Fund C) LP and Fortress Investment Fund III (Coinvestment Fund D) L.P. (collectively, the "Fund III Funds"), Fortress Investment Fund IV (Fund A) L.P., Fortress Investment Fund IV (Fund B) L.P., Fortress Investment Fund IV (Fund C) L.P., Fortress Investment Fund IV (Fund D) L.P., Fortress Investment Fund IV (Fund E) L.P., Fortress Investment Fund IV (Fund F) L.P., Fortress Investment Fund IV (Fund G) L.P., Fortress Investment Fund IV (Coinvestment Fund A) L.P., (Continued in Footnote 2) |
(2) | (Continued from Footnote 1) Fortress Investment Fund IV (Coinvestment Fund B) L.P., Fortress Investment Fund IV (Coinvestment Fund C) L.P., Fortress Investment Fund IV (Coinvestment Fund D) L.P., Fortress Investment Fund IV (Coinvestment Fund F) L.P. and Fortress Investment Fund IV (Coinvestment Fund G) L.P. (collectively, the "Fund IV Funds"), and certain members of Seacastle Inc.'s management. Fortress Fund III GP LLC is the general partner of each of the Fund III Funds. The sole managing member of Fortress Fund III GP LLC is Fortress Investment Fund GP (Holdings) LLC. The sole managing member of Fortress Investment Fund GP (Holdings) LLC is Fortress Operating Entity I LP ("FOE I"). FIG Corp. is the general partner of FOE I, and FIG Corp. is wholly owned by Fortress Investment Group LLC. (Continued in Footnote 3) |
(3) | (Continued from Footnote 2) Fortress Fund IV GP L.P. is the general partner of each of the Fund IV Funds. Fortress Fund IV GP Holdings Ltd. is the general partner of Fortress Fund IV GP L.P. Fortress Fund IV GP Holdings Ltd. is wholly owned by FOE I. FIG Corp. is the general partner of FOE I. FIG Corp. is wholly owned by Fortress Investment Group LLC. FIG LLC is the investment manager of each of the Fund III Funds and each of the Fund IV Funds. |
Remarks: Form 1 of 2: The Form is the first of two being filed by Fortress Investment Group LLC. Two Forms are being filed as there are more than ten joint filers. Filers on the second of the two Forms are: Fortress Investment Fund GP (Holdings) LLC, Fortress Fund IV GP L.P. and Fortress Fund IV GP Holdings Ltd. The Reporting Persons no longer beneficially own 10% of the Issuer's Shares and are no longer subject to Section 16. |