SEC Form 4 · accession 0001104659-15-071443
CPI Card Group Inc. · PMTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Period of report
Oct 15, 2015
Accepted (ET)
Oct 19, 2015 · 8:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001641614
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 15, 2015 | S | 1,899,605 | $9.50 | D | 32,794,131 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,194,523 shares reported on this line were sold by Tricor Pacific Capital Partners (Fund IV), LP to the underwriters in the initial public offering of CPI Card Group Inc. (the "Company"). Following such sale, Tricor Pacific Capital Partners (Fund IV), LP holds 20,621,843 shares of common stock of the Company. 705,082 shares reported on this line were sold by Tricor Pacific Capital Partners (Fund IV) US, LP to the underwriters in the initial public offering of the Company. Following such sale, Tricor Pacific Capital Partners (Fund IV) US, LP holds 12,172,288 shares of common stock of the Company. Each of Tricor Pacific Capital Partners (Fund IV), LP and Tricor Pacific Capital Partners (Fund IV) US, LP (together, the "Tricor Funds") is managed by Tricor Pacific Capital Partners (Fund IV), ULC, as the general partner.
- F2Bradley Seaman, David Rowntree, J. Trevor Johnstone and Roderick Senft are the sole members of an investment committee of the Tricor Funds that has the power to vote or dispose of the shares held by the Tricor Funds. Each member of the investment committee expressly disclaims any beneficial ownership of any shares of common stock held by the Tricor Funds.