Platinum Equity, LLC 的 Form 4/A 修正申報
修正Vertiv Holdings Co（VRT），2021/11/9 申報
- 申報編號
- 0000899243-21-043640
- 申報時間
- 2021/11/9 16:05 ET
- 交易日
- 2021/11/4
- 申報延遲
- 5 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2021/11/8
這份申報列了 1 筆非衍生性交易。公開市場賣出合計 $5.44 億。交易後 5 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Platinum Equity, LLCCIK 0001228754 | 董事、持股 10% 以上大股東 |
| Gores TomCIK 0001471783 | 董事、持股 10% 以上大股東 |
| Platinum Equity Investment Holdings, LLCCIK 0001634372 | 董事、持股 10% 以上大股東 |
| Platinum Equity Investment Holdings III, LLCCIK 0001676357 | 董事、持股 10% 以上大股東 |
| Platinum Equity Investment Holdings IC (Cayman), LLCCIK 0001756330 | 董事、持股 10% 以上大股東 |
| Platinum Equity Investment Holdings III Manager, LLCCIK 0001757175 | 董事、持股 10% 以上大股東 |
| Platinum InvestCo (Cayman), LLCCIK 0001766567 | 董事、持股 10% 以上大股東 |
| PE Vertiv Holdings, LLCCIK 0001801996 | 董事、持股 10% 以上大股東 |
| Vertiv JV Holdings, LLCCIK 0001801997 | 董事、持股 10% 以上大股東 |
| VPE Holdings, LLCCIK 0001801998 | 董事、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/4 | Class A common stock, par value $0.0001 | S賣出處分 | −21,925,000 | $24.83 | −$544,303,472.5 | 37,955,215 | 直接 | 重複申報 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
VPE Holdings, LLC ("VPE"), a Delaware limited liability company, directly owns 37,955,215 shares of Class A common stock, par value $0.0001 per share (the "Shares"), of Vertiv Holdings Co (the "Issuer"). Vertiv JV Holdings, LLC ("JV") owns a majority of the outstanding equity interests of VPE, and PE Vertiv Holdings, LLC ("PE Vertiv") owns a majority of the outstanding interests of JV, and, accordingly, each may be deemed to beneficially own the Shares beneficially owned by VPE. PE Vertiv is directly owned by six private equity investment funds (the "Funds"), none of which private equity investment funds individually has the power to direct the voting or disposition of shares beneficially owned.
- F2
(continued from Footnote 1) Platinum Equity Investment Holdings III, LLC ("Holdings III") is the managing member of one of the Funds and the managing member of the general partner of four of the Funds. Through such positions, Holdings III has the indirect power to direct the voting of a majority of the outstanding equity interests of PE Vertiv.
- F3
(Continued From Footnote 2) Platinum Equity Investment Holdings III Manager, LLC ("Holdings Manager") is the managing member of Holdings III. Platinum Equity InvestCo, L.P. ("InvestCo") owns all of the economic interests in Holdings III. Platinum Equity Investment Holdings IC (Cayman), LLC ("Holdings Cayman") is the general partner of InvestCo. Platinum InvestCo (Cayman), LLC ("InvestCo Cayman") holds a controlling interest in InvestCo. Platinum Equity, LLC ("Platinum") is sole member of Holdings Manager. Platinum also indirectly controls the other funds that own equity interests of PE Vertiv.
- F4
(Continued From Footnote 3) Mr. Tom Gores (together with VPE, JV, PE Vertiv, Holdings III, Holdings Manager, InvestCo, Holdings Cayman, InvestCo Cayman and Platinum, the "Reporting Persons") is the beneficial owner of Platinum. Accordingly, as a result of their indirect ownership and control of each of VPE, JV and PE Vertiv, each of Holdings III, Holdings Manager, InvestCo, Holdings Cayman, InvestCo Cayman, Platinum and Mr. Tom Gores may be deemed to beneficially own the shares owned directly by VPE.
- F5
Because of the relationship among the Reporting Persons, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of their respective pecuniary interests. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
- F6
Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.
備註
NOTE: This Amendment to Form 4 is being filed solely to correct the name of the signatory for certain of the Reporting Persons. No other changes to the information in the Form 4 as originally filed have been made. VPE, which is indirectly controlled by Tom Gores as described in footnotes 1-6, is party to a Stockholders Agreement with the Issuer which gives VPE the right to nominate up to four directors to the Issuer's board of directors, subject to certain ownership thresholds. Jacob Kotzubei and Matthew Louie serve on the Issuer's board of directors pursuant to this right. Each of Messrs. Kotzubei and Louie is, respectively, a Partner and Managing Director of Platinum Equity Advisors, LLC, the advisory entity of the Funds. Accordingly, Messrs. Kotzubei and Louie may be determined to represent the interests of the Reporting Persons on the Board of Directors of the Issuer, and accordingly, the Reporting Persons may be deemed to be directors for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Form 1 of 2