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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, 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. | |||
| 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 | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| ROSS WILBUR L JR 1166 AVENUE OF THE AMERICAS NEW YORK, NY 10036 |
X | X | ||
| /s/Wilbur L. Ross, Jr. | 12/05/2011 | |
| **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) | The Common Stock reported herein was purchased at a range of between $10.99 and $11.35 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. |
| (2) | The Common Stock reported herein was purchased at a range of between $11.12 and $11.34 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. |
| (3) | These shares were purchased by the following funds: 1,861,976 by WLR Recovery Fund IV, L.P. ("Fund IV"), 6,337 by WLR IV Parallel ESC, L.P. ("Parallel Fund"), 89,967 by WLR/GS Master Co-Investment, L.P. ("WLR/GS Fund") and 41,720 by WLR AGO Co-Invest, L.P. ("Co-Invest Fund"); the aggregate total includes shares owned by the entities listed in footnotes 4 and 5. |
| (4) | Fund IV holds 16,073,487 shares directly. WLR Recovery Fund III, L.P. ("Fund III") holds 1,348,803 shares directly. Parallel Fund holds 55,243 shares directly. WLR/GS Fund holds 778,208 shares directly. Co-Invest Fund holds 1,115,445 shares directly. Mr. Ross is the managing member of El Vedado, LLC, the general partner of WL Ross Group, L.P., the managing member of WLR Recovery Associates IV LLC (the general partner of Fund IV and Co-Invest Fund), WLR Recovery Associates III LLC (the general partner of Fund III) and WLR Master Co-Investment GP, LLC (the general partner of WLR/GS Fund). (Continued in footnote 5) |
| (5) | Accordingly, Mr. Ross, El Vedado, LLC, and WL Ross Group, L.P. can be deemed to share voting and dispositive power over the shares held directly by Fund IV, Co-Invest Fund, Fund III and WLR/GS Fund. Invesco WLR IV Associates LLC and WLR Recovery Associates IV LLC have entered into a parallel investment agreement whereby Parallel Fund will invest on a pro rata basis in the same investments as Fund IV. Accordingly, Mr. Ross, El Vedado, LLC, and WL Ross Group, L.P. can be deemed to share voting and dispositive power over the shares held directly by Parallel Fund. |
| (6) | These shares were purchased by the following funds: 432,149 by Fund IV, 1,471 by Parallel Fund, 20,881 by WLR/GS Fund and 9,683 by Co-Invest Fund; the aggregate total includes shares owned by the entities listed in footnotes 7 and 8. |
| (7) | Fund IV holds 16,505,636 shares directly. Fund III holds 1,348,803 shares directly. Parallel Fund holds 56,714 shares directly. WLR/GS Fund holds 779,089 shares directly. Co-Invest Fund holds 1,125,128 shares directly. Mr. Ross is the managing member of El Vedado, LLC, the general partner of WL Ross Group, L.P., the managing member of WLR Recovery Associates IV LLC (the general partner of Fund IV and Co-Invest Fund), WLR Recovery Associates III LLC (the general partner of Fund III) and WLR Master Co-Investment GP, LLC (the general partner of WLR/GS Fund). (Continued in footnote 8) |
| (8) | Accordingly, Mr. Ross, El Vedado, LLC, and WL Ross Group, L.P. can be deemed to share voting and dispositive power over the shares held directly by Fund IV, Co-Invest Fund, Fund III and WLR/GS Fund. Invesco WLR IV Associates LLC and WLR Recovery Associates IV LLC have entered into a parallel investment agreement whereby Parallel Fund will invest on a pro rata basis in the same investments as Fund IV. Accordingly, Mr. Ross, El Vedado, LLC, and WL Ross Group, L.P. can be deemed to share voting and dispositive power over the shares held directly by Parallel Fund. |
| Remarks: This Form 4 should be read with the Form 3 filed with respect to these transactions by WL Ross Group, L.P. and the other entities listed in the footnotes hereof for a full listing of all reporting persons. | |