01/24/2025 | Press release | Distributed by Public on 01/24/2025 15:05
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCSF Cardinal, LLC C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, 4TH FLOOR BOCA RATON, FL 33486 |
X | |||
Sun Capital Securities Offshore Fund, Ltd. C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, 4TH FLOOR BOCA RATON, FL 33486 |
X | |||
SUN CAPITAL SECURITIES FUND, LP C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, 4TH FLOOR BOCA RATON, FL 33486 |
X | |||
Sun Capital Securities, LLC C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, 4TH FLOOR BOCA RATON, FL 33486 |
X | |||
Sun Capital Securities Advisors, LP C/O SUN CAPITAL PARTNERS, INC. 5200 TOWN CIRCLE CENTER, 4TH FLOOR BOCA RATON, FL 33486 |
X |
/s/ Marc Keirstead, for Sun Capital Securities Offshore Fund, Ltd. | 01/24/2025 |
**Signature of Reporting Person | Date |
/s/ Marc Keirstead, for Sun Capital Securities Fund, LP | 01/24/2025 |
**Signature of Reporting Person | Date |
/s/ Marc Keirstead, for Sun Capital Securities Advisors, LP | 01/24/2025 |
**Signature of Reporting Person | Date |
/s/ Marc Keirstead, for Sun Capital Securities, LLC | 01/24/2025 |
**Signature of Reporting Person | Date |
/s/ Marc Keirstead, for SCSF Cardinal, LLC | 01/24/2025 |
**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) | Represents the purchase by P180 Vince Acquisition Co. ("P180") of shares of Vince Holding Corp. ("Vince") common stock pursuant to that certain Stock and Loan Purchase Agreement by and among P180, Sun Cardinal, LLC, SCSF Cardinal, LLC ("SCSF Cardinal") and SK Financial Services, LLC. P180 purchased a total of 2,083,432 shares from SCSF Cardinal, a portion of which were held back by SCSF Cardinal. |
(2) | Represents shares held back by SCSF Cardinal. Such held back shares (or a portion thereof) may be transferred to P180 in the future subject to certain conditions set forth in the Stock and Loan Purchase Agreement. |
(3) | Represents common stock owned of record by SCSF Cardinal. SCSF Cardinal is jointly owned by Sun Capital Securities Offshore Fund, Ltd. ("SCSF Offshore") and Sun Capital Securities Fund, L.P. ("SCSF LP"). Sun Cardinal Securities, LLC ("SCSF LLC") is the general partner of Sun Capital Securities Advisors, L.P. ("SCSF Advisors"), which is in turn the general partner of SCSF LP. As a result, SCSF LLC, SCSF Advisors, SCSF LP and SCSF Offshore (collectively, the "Indirect Sun Owners") may be deemed to have indirect beneficial ownership of the securities owned of record by SCSF Cardinal. Each Indirect Sun Owner expressly disclaims beneficial ownership of any securities in which it does not have a pecuniary interest. |