SEC Form 4 · accession 0001209191-18-062828
Compass Diversified Holdings · CODI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon M Burns
Other
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 7:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001345126
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series B Preferred SharesF1,F2 | Dec 12, 2018 | P | 3,900 | $19.40 | A | 3,900 | I | By Revocable Trust |
| Series B Preferred SharesF1,F2 | Dec 13, 2018 | P | 6,350 | $19.40 | A | 10,250 | I | By Revocable Trust |
| Common SharesF3,F4,F2 | Dec 14, 2018 | P | 10,000 | $13.5958 | A | 90,000 | I | By Revocable Trust |
| Common SharesF3 | holding | — | — | — | 48,617 | D | ||
| Common SharesF3 | holding | — | — | — | 49,280 | I | By IRA | |
| Common SharesF3,F5 | holding | — | — | — | 12,987 | I | By Trust Account | |
| Common SharesF3,F6 | holding | — | — | — | 12,824 | I | By Trust Account | |
| Common SharesF3,F7 | holding | — | — | — | 6,195 | I | By Trust Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each Series B Preferred Share represents one undivided beneficial interest in Compass Diversified Holdings (the "Trust") property and corresponds to one underlying trust preferred interest of Compass Group Diversified Holdings LLC (the "Company") held by the Trust.
- F2Shares beneficially owned by the Reporting Person through the Gordon M. Burns 2009 Revocable Trust.
- F3Each Common Share represents one undivided beneficial interest in the Trust property and corresponds to one underlying trust common interest of the Company held by the Trust.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.57 to $13.60, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.
- F5Shares beneficially owned by the Reporting Person through the Talley Burns Executor Trust.
- F6Shares beneficially owned by the Reporting Person through the Peter Burns Executor Trust.
- F7Shares beneficially owned by the Reporting Person through the Burns Family Trust.
Remarks
(a) Mr. Burns is a Director of Compass Group Diversified Holdings LLC, Sponsor of the Trust.