SEC Form 4 · accession 0001214659-15-008089
BREEZE-EASTERN CORP · BZC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
James Thomas Vanasek
10% Owner
Patrick Donnell Noone
10% Owner
JOINVILLE CAPITAL MANAGEMENT, LLC
10% Owner
VN CAPITAL MANAGEMENT, LLC
10% Owner
Period of report
Aug 5, 2015
Accepted (ET)
Nov 30, 2015 · 9:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000099359
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 5, 2015 | P | 1,000 | $12.00 | A | 1,229,658 | I | See Footnotes |
| Common StockF1,F2 | Aug 7, 2015 | P | 10,000 | $11.88 | A | 1,239,658 | I | See Footnotes |
| Common StockF1,F2 | Sep 8, 2015 | P | 1,000 | $13.78 | A | 1,240,658 | I | See Footnotes |
| Common StockF1,F2 | Sep 21, 2015 | P | 1,000 | $13.93 | A | 1,241,658 | I | See Footnotes |
| Common StockF1,F2 | Sep 28, 2015 | P | 353 | $13.75 | A | 1,242,011 | I | See Footnotes |
| Common StockF1,F2 | Sep 29, 2015 | P | 7,700 | $13.73 | A | 1,249,711 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is being filed by VN Capital Management, LLC, Joinville Capital Management, LLC (together with VN Capital Management, LLC the "General Partners"), VN Capital Fund I, LP (the "Fund"), Patrick Donnell Noone ("Noone") and James Thomas Vanasek ("Vanasek" and collectively with the General Partners, the Fund and Noone, the "Reporting Persons"). Mr. Noone and Mr. Vanasek are the principals and managing members of VN Capital Management, LLC
- F2This amount reflects the amount of securities held by the Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Fund is reported herein. Each of the Reporting Persons disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Remarks
The undersigned, VN Capital Management, LLC, Joinville Capital Management, LLC, VN Capital Fund I, L.P., Patrick Donnell Noone and James Thomas Vanasek, are jointly filing the attached Statement of Changes in Beneficial Ownership of Securities on Form 4 with VN Capital Management LLC with respect to the beneficial ownership of securities of Breeze Eastern Corp.