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KKR Americas XII AIV GP LLC's Form 4 filing

OneStream, Inc. (OS) · filed Jul 29, 2024

Accession no.
0001140361-24-034739
Filed
Jul 29, 2024, 6:08 PM ET
Trade date
Jul 25, 2024
Filing delay
4 days
Rule 10b5-1 plan
Not checked

This filing lists 20 non-derivative transactions and 11 derivative transactions. Open-market sales total $48.2M. It was filed 4 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
OwnerRelationship to the company
KKR Americas XII AIV GP LLCCIK 000174657710% Owner
KKR Associates Americas XII AIV L.P.CIK 000174658910% Owner
KKR Wolverine I Ltd.CIK 000203111510% Owner
KKR Americas XII (Dream II) Blocker Parent L.P.CIK 000203118110% Owner
KKR Americas XII EEA (Dream) Blocker Parent L.P.CIK 000203118310% Owner
KKR Americas XII (Dream) Blocker Parent L.P.CIK 000203118410% Owner
KKR Americas Fund XII (Dream) L.P.CIK 000203118510% Owner
KKR Dream Aggregator GP LLCCIK 000203118610% Owner
KKR Dream Aggregator L.P.CIK 000203118710% Owner
KKR Dream Holdings LLCCIK 000203118810% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Jul 25, 2024Class A Common StockCConversionAcquired+1,375,132–F2–1,375,132Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−1,375,132$18.85F18−$25,921,238.20Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+170,996–F2–170,996Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−170,996$18.85F18−$3,223,274.60Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+4,551–F2–4,551Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−4,551$18.85F18−$85,786.350Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+115,193–F2–115,193Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−115,193$18.85F18−$2,171,388.050Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+81,838–F2–81,838Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−81,838$18.85F18−$1,542,646.30Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+39,720–F2–39,720Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−39,720$18.85F18−$748,7220Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+278,043–F2–278,043Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−278,043$18.85F18−$5,241,110.550Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+373,599–F2–373,599Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−373,599$18.85F18−$7,042,341.150Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+55,990–F2–55,990Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−55,990$18.85F18−$1,055,411.50Indirect
Jul 25, 2024Class A Common StockCConversionAcquired+59,582–F2–59,582Indirect
Jul 25, 2024Class A Common StockSSaleDisposed−59,582$18.85F18−$1,123,120.70Indirect

Derivative securities (Table II)

Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
Jul 25, 2024Class D Common StockSSaleDisposed−2,401,060$18.85F19−$45,259,98152,687,425Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−1,375,132$0.00$030,175,083Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−170,996$0.00$03,752,240Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−4,551$0.00$099,864Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−115,193$0.00$02,527,740Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−81,838$0.00$01,795,818Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−39,720$0.00$0871,604Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−278,043$0.00$06,101,222Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−373,599$0.00$08,198,040Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−55,990$0.00$01,228,626Indirect
Jul 25, 2024Class A Common StockCConversionDisposed−59,582$0.00$01,307,452Indirect

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

F2

The Class D Common Stock is convertible at any time, at the holder's election, into Class A Common Stock on a one-for-one basis. Each outstanding share of Class D Common Stock will automatically convert into one share of the Issuer's Class A Common Stock on the first trading day following the seventh anniversary of the Issuer's initial public offering.

Referenced by the price of 10 transactions in Table I.

F18

This amount represents the $20.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.15 per share.

Referenced by the price of 10 transactions in Table I.

F19

The Issuer used a portion of the net proceeds from the closing of its initial public offering of Class A Common Stock to purchase Common Units from certain of the Issuer's pre-initial public offering equityholders, including KKR Dream Holdings LLC, at a price of $18.85 per Common Unit.

Referenced by the price of 1 transaction in Table II.

Remarks

Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, certain affiliates of the Reporting Persons have filed a separate Form 4.

Read the full filing on SEC EDGAR (opens in a new tab)