SEC Form 4 · accession 0001144204-16-136798
Terrapin 3 Acquisition Corp · TRTL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George R Brokaw
Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 9:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001608298
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Nov 23, 2016 | P | 10,000 | $10.05 | A | 10,000 | I | See footnote |
| Class F Common Stock | holding | — | — | — | 30,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Delta Offshore Master II, Ltd (the "Fund") owns 10,000 shares of the Company's Common Stock. Trafelet Brokaw Capital Management, L.P. ("TCBM") serves as investment manager to the Fund, and in such capacity, exercises voting and investment control over securities held for the accounts of the Fund. Mr. Brokaw may be deemed to have indirect beneficial ownership for the shares reported herein based on his relationship with TBCM. Mr. Brokaw disclaims beneficial ownership for the Company's Common Stock held by the Fund except to the extent of his pecuniary interest therein.