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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AI INTERNATIONAL CHEMICALS S.A.R.L. 15-17 AVENUE GASTON DIDERICH LUXEMBOURG, N4 L-1420 |
X | |||
AI INVESTMENTS HOLDINGS LLC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
X | |||
AIPH Holdings LLC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
X | |||
ACCESS INDUSTRIES, LLC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
X | |||
ACCESS INDUSTRIES MANAGEMENT, LLC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
X | |||
Blavatnik Len 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
X | |||
ACCESS INDUSTRIES INC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
Affiliate of 10% Owner | |||
Access Industries Holdings LLC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
X |
/s/ Alejandro Moreno for AI International Chemicals Sarl | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno for AI Investments Holdings LLC | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno for AIPH Holdings LLC | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno for Access Industries, LLC | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno for Access Industries Management, LLC | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno, Attorney-in-Fact for Len Blavatnik | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno for Access Industries, Inc. | 08/02/2013 | |
**Signature of Reporting Person | Date | |
/s/ Alejandro Moreno for Access Industries Holdings LLC | 08/02/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The securities reported are held directly by AI International Chemicals Sarl ("AIIC") and may be deemed to be beneficially owned by each of the other reporting persons (other than Access Industries, Inc.) because AI Investment Holdings LLC ("AIIH") holds a majority of the outstanding voting interests in AIIC, AIPH Holdings LLC ("AIPH") holds a majority of the outstanding voting interests in AIIH, Access Industries Holdings LLC ("Holdings") holds a majority of the outstanding voting interests in AIPH, Access Industries, LLC ("Access LLC") holds a majority of the outstanding voting interests in Holdings. Access Industries Management, LLC ("Management LLC") controls Access LLC, Holdings, AIPH and AIIH and Len Blavatnik controls Management LLC and Access LLC. |
(2) | Each of the reporting persons (other than AIIC) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for any purpose. |
(3) | The securities reported are held directly by Altep 2014 L.P. ("Altep 2014") and may be deemed to be beneficially owned by Access Industries, Inc. and Mr. Blavatnik because Access Industries, Inc. is the general partner of Altep 2014 and Mr. Blavatnik controls Access Industries, Inc. Each of the reporting persons disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for any purpose. |
(4) | Securities held directly by AI European Holdings Sarl ("AIEH") which may be deemed to be beneficially owned by AIPH, Holdings, Access LLC, Management, LLC and Mr. Blavatnik because AIEH is controlled by Access LLC and a majority of its equity is owned by an indirect subsidiary of AIPH. See footnote (1) above. Each of the reporting persons disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for any purpose. |
(5) | The securities reported are held directly by Altep 2010 L.P. ("Altep 2010") and may be deemed to be beneficially owned by Access Industries, Inc. and Mr. Blavatnik because Access Industries, Inc. is the general partner of Altep 2010 and Mr. Blavatnik controls Access Industries, Inc. Each of the reporting persons disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for any purpose. |
(6) | The securities reported are held directly by Altep 2011 L.P. ("Altep 2011") and may be deemed to be beneficially owned by Access Industries, Inc. and Mr. Blavatnik because Access Industries, Inc. is the general partner of Altep 2011 and Mr. Blavatnik controls Access Industries, Inc. Each of the reporting persons disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for any purpose. |