SEC Form 4 · accession 0001567619-19-001323
Horizon Global Corp · HZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owners
Atlas Capital Resources II LP
10% Owner
Lapetus Capital II LLC
10% Owner
Atlas Capital Resources GP II LLC
10% Owner
Atlas Capital GP II LP
10% Owner
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 9:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001637655
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F4,F5 | Jan 15, 2019 | P | 92,655 | $1.9977 | A | 2,603,914 | I | See footnotes |
| Common Stock, par value $0.01 per shareF2,F4,F5 | Jan 16, 2019 | P | 96,362 | $2.2224 | A | 2,700,276 | I | See footnotes |
| Common Stock, par value $0.01 per shareF3,F4,F5 | Jan 17, 2019 | P | 2,100 | $2.2386 | A | 2,702,376 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.9400 to $2.0300. The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4.
- F2The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.9900 to $2.4300. The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4.
- F3The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.2000 to $2.2500. The Reporting Persons undertake to provide any securityholder of the Issuer, the Issuer or the Staff, upon request, full information regarding the number of shares traded at each separate price within the ranges set forth in this footnote to this Form 4.
- F4Lapetus Capital II LLC, a Delaware limited liability company ("Lapetus") is the direct record owner of 2,702,376 shares of Common Stock of the Issuer. Atlas Capital Resources II LP, a Delaware limited partnership ("ACR II"), is the majority and controlling member of Lapetus. Atlas Capital GP II LP, a Delaware limited partnership ("AC GP"), is the general partner of ACR II. Atlas Capital Resources GP II LLC, a Delaware limited liability company ("ACR GP"), is the general partner of AC GP. Lapetus, ACR II, AC GP and ACR GP are collectively referred to as the "Atlas Entities." Andrew M. Bursky and Timothy J. Fazio are each a Managing Partner of ACR GP, and may be deemed to control the Atlas Entities. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of the Atlas Entities, Mr. Bursky and Mr. Fazio may be deemed to have an indirect pecuniary interest in the shares of the Common Stock that are directly held by Lapetus.
- F5In accordance with Instruction 4(b)(iv), the entire amount of the shares of Common Stock that is owned by Lapetus is reported herein. Each of Mr. Bursky, Mr. Fazio, ACR II GP, AC GP and ACR GP disclaims beneficial ownership interest of the Common Stock except, in each case, to the extent it or he has any indirect pecuniary interest therein.
Remarks
Exhibit List Exhibit 99.1 - Joint Filers' Names and Addresses Exhibit 99.2 - Joint Filers' Signatures