SEC Form 4 · accession 0001140361-17-041651
Evoqua Water Technologies Corp. · AQUA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
AEA INVESTORS FUND V LP
10% Owner
AEA INVESTORS FUND V-A LP
10% Owner
AEA INVESTORS FUND V-B LP
10% Owner
AEA Management (Cayman) Ltd
10% Owner
AEA Investors Partners V LP
10% Owner
John L Garcia
10% Owner
Period of report
Nov 6, 2017
Accepted (ET)
Nov 8, 2017 · 8:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604643
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4,F5 | Nov 6, 2017 | S | 12,670,039 | $16.92 | D | 48,687,608 | I | See footnotes |
| Common StockF1,F2,F3,F4,F5 | Nov 7, 2017 | S | 2,715,009 | $16.92 | D | 45,972,599 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of common stock were sold pursuant to the Underwriting Agreement, dated November 1, 2017, entered into in connection with the issuer's initial public offering.
- F2This amount represents the $18.00 public offering price per share of the issuer's common stock less the underwriting discount of $1.08 per share.
- F3These shares of common stock of the issuer are directly held by AEA EWT Holdings LP ("AEA EWT Holdings"), whose general partner is AEA EWT Holdings GP LLC ("AEA EWT Holdings GP"). The managing member of AEA EWT Holdings GP is AEA Investors Fund V LP and its other members are (i) AEA Investors Participant Fund V LP, (ii) AEA Investors QP Participant Fund V LP, (iii) AEA Investors Fund V-A LP and (iv) AEA Investors Fund V-B LP (AEA Investors Fund V LP and the entities named in clauses (i) through (iv), collectively, the "AEA Funds"). The AEA Funds are also limited partners of AEA EWT Holdings. The general partner of each of AEA Investors Participant Fund V LP and AEA Investors QP Participant Fund V LP is AEA Investors PF V LLC, whose sole member is AEA Investors LP. The general partner of each of AEA Investors Fund V LP, AEA Investors Fund V-A LP and AEA Investors Fund V-B LP is AEA Investors Partners V LP, whose general partner is AEA Management (Cayman) Ltd.
- F4Each of AEA EWT Holdings GP, the AEA Funds, AEA Investors PF V LLC, AEA Investors Partners V LP, AEA Investors LP and AEA Management (Cayman) Ltd. may be deemed to share beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but each disclaims beneficial ownership of such shares, except to the extent of its respective pecuniary interest therein. John L. Garcia, the Chairman and Chief Executive Officer of AEA Investors LP and the sole stockholder and director of AEA Management (Cayman) Ltd., may also be deemed to have beneficial ownership of the shares of the issuer's common stock held of record by AEA EWT Holdings, but Mr. Garcia disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F5Due to the limitations of the Securities and Exchange Commission's EDGAR system, AEA Investors LP, AEA EWT Holdings GP LLC, AEA Investors Participant Fund V LP, AEA Investors QP Participant Fund V LP, AEA Investors PF V LLC and AEA EWT Holdings LP have filed a separate Form 4.