SEC Form 4 · accession 0001140361-18-001252
Hostess Brands, Inc. · TWNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
PLATINUM EQUITY LLC
Director · 10% Owner
Alec E Gores
Director · 10% Owner
Tom Gores
Director · 10% Owner
Gores Sponsor LLC
Director · 10% Owner
AEG Holdings, LLC
Director · 10% Owner
Period of report
Dec 13, 2017
Accepted (ET)
Jan 8, 2018 · 5:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001644406
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2,F3,F7 | Dec 13, 2017 | J | 2,678,572 | — | D | 2,571,170 | D | |
| Class A Common StockF4,F7 | holding | — | — | — | 2,589,286 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F1,F5,F2,F3,F7,F6 | $5.75 | Dec 13, 2017 | J | 7,227,274 | D | Dec 4, 2016 | Nov 4, 2021 | Class A Common Stock | 3,613,637 | 1,702,201 | D |
| Warrants (right to buy)F5,F4,F7 | $5.75 | holding | — | — | — | Dec 4, 2016 | Nov 4, 2021 | Class A Common Stock | 2,752,489 | 5,504,978 | D |
Explanation of responses
- F1Gores Sponsor LLC ("Gores Sponsor") made an in-kind distribution to its members.
- F2Directly owned by Gores Sponsor.
- F3Platinum Equity LLC ("Platinum Equity") and AEG Holdings, LLC ("AEG") are the managing members of Gores Sponsor. Tom Gores is the managing member of Platinum Equity, and Alec Gores is the managing member of AEG. Each of Platinum Equity, AEG, Tom Gores and Alex Gores has indirect beneficial ownership of the securities owned by Gores Sponsor to the extent of their respective pecuniary interests, if any.
- F4Directly owned by Platinum Equity. Tom Gores has indirect beneficial ownership of the securities owned by Platinum Equity to the extent of his pecuniary interest.
- F5Each warrant is exercisable for one-half of one share of Class A Common Stock at an exercise price of $5.75 per half share, to be exercised only for a whole number of shares of Class A Common Stock.
- F6Relates to the number shares underlying the warrants disclosed in column 5 as distributed.
- F7Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Remarks
Exhibit 99.1 (Joint Filer Information), incorporated herein by reference.