SEC Form 4 · accession 0001144204-17-059940
Sequential Brands Group, Inc. · SQBG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
William Sweedler
10% Owner
Matthew Eby
10% Owner
TCP WR Acquisition LLC
10% Owner
Tengram Capital Associates, LLC
10% Owner
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 4:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001648428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 15, 2017 | P | 110,275 | $1.64 | A | 850,065 | I | By William Sweedler. See footnotes (1) and (2). |
| Common StockF3 | Nov 16, 2017 | P | 84,189 | $1.64 | A | 934,254 | I | By William Sweedler. See footnotes (1) and (3). |
| Common StockF1 | holding | — | — | — | 6,628,572 | D | ||
| Common StockF1 | holding | — | — | — | 733,333 | I | By TCP SQBG Acquisition, LLC. See footnote | |
| Common StockF1 | holding | — | — | — | 257,273 | I | By TCP SQBG II, LLC. See footnote | |
| Common StockF4 | holding | — | — | — | 95,938 | I | By Matthew Eby. See footnotes (1) and |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 6,628,572 shares of common stock of the Issuer held directly by TCP WR Acquisition, LLC, (ii) 733,333 shares of common stock of the Issuer held by TCP SQBG Acquisition, LLC and (iii) 257,273 shares of common stock of the Issuer held by TCP SQBG II, LLC. Mr. William Sweedler and Mr. Matthew Eby are managing members of Tengram Capital Associates, LLC, which is the general partner of the managing member of each of TCP WR Acquisition, LLC, TCP SQBG Acquisition, LLC and TCP SQBG II, LLC. Mr. Sweedler also is a director of the Issuer. Each of Tengram Capital Associates, LLC, Mr. Sweedler and Mr. Eby disclaims beneficial ownership of such shares of Common Stock, except to the extent of his or its respective pecuniary interest therein.
- F2The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $1.605 to $1.65. The reporting person undertakes to provide to Sequential Brands Group, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $1.6221 to $1.64. The reporting person undertakes to provide to Sequential Brands Group, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in this footnote.
- F4Directly owned by Mr. Eby.