SEC Form 4 · accession 0000905148-17-000427
Hawaiian Telcom Holdco, Inc. · HCOM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 20, 2017
Accepted (ET)
Mar 22, 2017 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001487986
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares, par value $0.01 per shareF1 | Mar 20, 2017 | J | 641 | — | A | 641 | D | |
| Common Shares, par value $0.01 per shareF2,F3,F4 | Mar 20, 2017 | J | 1,958 | — | A | 2,651,068 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of Common Stock ("Shares") that were issued to John Fontana ("Mr. Fontana"), an employee of Black Diamond Capital Management, LLC ("Black Diamond"), in connection with his service on the Issuer's Board of Directors (the "Board"), and then transferred to Black Diamond pursuant to applicable Black Diamond policy.
- F2Represents Shares that were issued to Mr. Fontana in connection with his service on the Board, and then transferred, through Black Diamond, to a Black Diamond managed fund as required by the fund's governing documents.
- F3Black Diamond exercises investment discretion on behalf of investment advisory affiliates that serve as investment advisers to certain Black Diamond managed funds, for which the Shares are held. Stephen H. Deckoff is the Managing Principal of Black Diamond.
- F4Each of the Reporting Persons disclaims beneficial ownership over the Shares, except to the extent of its or his pecuniary interest therein, and this statement shall not be construed as an admission that such Reporting Person is the beneficial owner of any Shares for purposes of Section 16 of the Exchange Act or for any other purpose.