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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 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 | (1) | 12/10/2021 | C | 687,030 | (1) | (1) | Class A Common Stock | 687,030 | (1) | 3,893,169 | I | See Footnote (2) (3) | |||
Class B Common Stock | (1) | 12/10/2021 | C | 142,845 | (1) | (1) | Class A Common Stock | 142,845 | (1) | 809,453 | I | See Footnote (3) (4) | |||
Class B Common Stock | (1) | 12/10/2021 | C | 238,074 | (1) | (1) | Class A Common Stock | 238,074 | (1) | 1,349,089 | I | See Footnote (3) (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Riverwood Capital Partners III (Parallel - A) L.P. 70 WILLOW ROAD, SUITE 100 MENLO PARK, CA 94025 |
X | |||
Riverwood Capital III L.P. 70 WILLOW ROAD SUITE 100 MENLO PARK, CA 94025-3652 |
X | |||
Riverwood Capital GP III Ltd. 70 WILLOW ROAD SUITE 100 MENLO PARK, CA 94025-3652 |
X | |||
RCP III AIV L.P. 70 WILLOW ROAD SUITE 100 MENLO PARK, CA 94025-3652 |
X | |||
Riverwood Capital Partners III (Parallel - B) L.P. 70 WILLOW ROAD SUITE 100 MENLO PARK, CA 94025-3652 |
X | |||
Parks Jeffrey T 70 WILLOW ROAD SUITE 100 MENLO PARK, CA 94025-3652 |
X |
/s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P. | 02/14/2022 | |
**Signature of Reporting Person | Date | |
/s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-A) L.P. | 02/14/2022 | |
**Signature of Reporting Person | Date | |
/s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of Riverwood Capital III L.P., general partner of Riverwood Capital Partners III (Parallel-B) L.P. | 02/14/2022 | |
**Signature of Reporting Person | Date | |
/s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd., general partner of RCP III AIV L.P. | 02/14/2022 | |
**Signature of Reporting Person | Date | |
/s/ Jeffrey Parks, Director of Riverwood Capital GP III Ltd. | 02/14/2022 | |
**Signature of Reporting Person | Date | |
/s/ Jeffrey Parks | 02/14/2022 | |
**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) | Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of the Class A Common Stock. Additionally, each share of Class B Common Stock will, subject to certain exceptions, convert automatically into one share of Class A Common Stock upon any transfer and upon certain other conditions. |
(2) | Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by RCP III AIV L.P. |
(3) | Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. |
(4) | Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. |
(5) | Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to be beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. RCP III AIV L.P., Riverwood Capital Partners III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. are referred to collectively herein as the "Riverwood Entities"). |
Remarks: Jeffrey T. Parks is a member of the board of director of the Issuer and a member of the investment committee and a shareholder of Riverwood Capital GP III Ltd. He disclaims beneficial ownership with respect to the shares beneficially owned by the Riverwood Entities except to the extent of his pecuniary interest therein. |