UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Main Street Capital CORP 1300 POST OAK BLVD. HOUSTON, TX 77056 |
 |  X |  |  |
Pessin Brian L. 366 MADISON AVENUE 14TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
PESSIN NORMAN H 366 MADISON AVENUE 14TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
PESSIN SANDRA F 366 MADISON AVENUE 14TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
GP Investment Holdings, LLC 1300 POST OAK BLVD. HOUSTON, TX 77056 |
 |  X |  |  |
Shuford Robert M 1300 POST OAK BLVD. HOUSTON, TX 77056 |
 |  X |  |  |
/s/ Jason B. Beauvais as Attorney-in-Fact for Brian Pessin, Norman H. Pessin, Sandra Pessin, Robert Shuford | 08/16/2013 | |
**Signature of Reporting Person | Date | |
Jason B. Beauvais as Attorney-in-Fact for Brian Pessin | 08/09/2013 | |
**Signature of Reporting Person | Date | |
Jason B. Beauvais as Attorney-in-Fact for Norman H. Pessin | 08/09/2013 | |
**Signature of Reporting Person | Date | |
Jason B. Beauvais as Attorney-in-Fact for Sandra Pessin | 08/09/2013 | |
**Signature of Reporting Person | Date | |
Jason B. Beauvais as Attorney-in-Fact for GP Investment Holdings, LLC | 08/09/2013 | |
**Signature of Reporting Person | Date | |
Jason B. Beauvais as Attorney-in-Fact for Robert M. Shuford | 08/09/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | This Form 3 is filed jointly by GP Investment Holdings, LLC ("GP Investment"), Main Street Capital Corporation ("MSCC"), Robert M. Shuford, Brian Pessin, Sandra Pessin and Norman Pessin (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his, hers or its pecuniary interest therein. |
(2) | Shares of Common Stock owned directly by GP Investment. As (i) the owner of 50% of the limited liability company interests of GP Investment, (ii) one of the two members of the board of managers and the Chief Executive Officer of GP Investment, (iii) one of the two members of the board of managers and the President of GP Investment and the owner of approximately 3.9% of the limited liability company interests of GP Investment, and (iv) the owners of approximately 46.1% of the limited liability company interests of GP Investment, respectively, each of MSCC, Robert M. Shuford, Brian Pessin and Sandra and Norman Pessin may be deemed to beneficially own the shares of Common Stock owned directly by GP Investment. |
(3) | Shares of Common Stock owned directly by a subsidiary of MSCC. MSCC may be deemed to beneficially own such shares of Common Stock. |