SEC Form 4 · accession 0001144204-17-060225
Sequential Brands Group, Inc. · SQBG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
William Sweedler
Director · 10% Owner
Matthew Eby
10% Owner
TCP WR Acquisition LLC
10% Owner
Tengram Capital Associates, LLC
10% Owner
Period of report
Nov 17, 2017
Accepted (ET)
Nov 20, 2017 · 6:13 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 StockF1,F2 | Nov 17, 2017 | P | 86,036 | $1.6755 | A | 1,020,290 | D | |
| Common StockF3 | holding | — | — | — | 59,165 | I | By Madcat II, LLC. See footnote | |
| Common StockF4 | holding | — | — | — | 6,628,572 | I | By TCP WR Acquisition, LLC. See footnote | |
| Common StockF4 | holding | — | — | — | 733,333 | I | By TCP SQBG Acquisition, LLC. See footnote | |
| Common StockF4 | holding | — | — | — | 257,273 | I | By TCP SQBG II, LLC. See footnote | |
| Common StockF5 | holding | — | — | — | 95,938 | I | By Matthew Eby. See footnote |
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 bought in multiple transactions at the reported price. 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.
- F2Directly owned by Mr. William Sweedler.
- F3Consists of shares of common stock of the Issuer held by Madcat II, LLC, of which Mr. Sweedler is the managing member. Mr. Sweelder disclaims beneficial ownership of shares of common stock of the Issuer held by Madcat II, LLC, except to the extent of his pecuniary interest therein.
- F4Consists 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. 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.
- F5Directly owned by Mr. Eby.