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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 | ||||||||
Class B Common Stock of Clearwire Corp | $ 0 (3) | 09/24/2012 | J(4) | 88,504,132 (1) (2) (4) (6) | (3) | (3) | Class A Common Stock of Clearwire Corp | 88,504,132 (1) (2) (4) (6) | $ 0 | 0 (1) (2) (6) | I | See footnotes (1) (2) (6) | |||
Class B Common Units of Clearwire Communications, LLC | $ 0 (3) | 09/24/2012 | J(4) | 88,504,132 (1) (2) (4) (6) | (3) | (3) | Class A Common Stock of Clearwire Corp | 88,504,132 (1) (2) (4) (6) | $ 0 | 0 (1) (2) (6) | I | See footnotes (1) (2) (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COMCAST CORP ONE COMCAST CENTER PHILADELPHIA, PA 19103-2838 |
X |
/s/ Arthur R. Block, Senior Vice President | 09/26/2012 | |
**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) | A wholly owned subsidiary of Comcast Corporation ("Comcast") is party to an Equityholders' Agreement dated as of November 28, 2008 (the "Equityholders' Agreement") with Clearwire Corporation (the "Issuer") and the other parties thereto (collectively, the "Unaffiliated Stockholders"). |
(2) | By virtue of the Equityholders' Agreement, Comcast and the Unaffiliated Stockholders may be deemed to be members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended, that, in the aggregate, beneficially owns more than 10% of the Issuer's outstanding shares of Class A Common Stock. The number of securities of the Issuer beneficially owned by Comcast as reported herein does not include the holdings of any Unaffiliated Stockholders. Comcast does not have any "pecuniary interest" in the securities of the Issuer or any of its subsidiaries owned by the Unaffiliated Stockholders. |
(3) | Each share of Class B Common Stock of the Issuer ("Class B Common Stock") and Class B Common Units ("Class B Common Units") of Clearwire Communications, LLC, a subsidiary of the Issuer ("Clearwire LLC"), is exchangeable at any time for one fully paid and nonassessable share of Class A Common Stock of the Issuer ("Class A Common Stock"), subject to certain limited exceptions, without an expiration date. There is no exercise price payable in connection with exchanges. |
(4) | On September 24, 2012, Comcast notified the Issuer that it had definitively determined to exchange the 88,504,132 shares of Class B Common Stock and an equal number of Class B Common Units held by a wholly owned subsidiary of Comcast into 88,504,132 shares of Class A Common Stock (the "Exchange"). The Exchange is expected to take place on September 27, 2012. |
(5) | The shares of Class A Common Stock reported in Table I will be owned indirectly by Comcast through a wholly owned subsidiary. |
(6) | The shares of Class B Common Stock reported in Table II are owned indirectly by Comcast through a wholly owned subsidiary. |