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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 | |
VON MENTZER PER C/O THE CONTAINER STORE GROUP, INC. 500 FREEPORT PARKWAY COPPELL, TX 75019 |
CEO OF ELFA |
/s/ Joan Manson, Attorney-in-Fact for Per von Mentzer | 11/07/2013 | |
**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) | As more fully described in the Issuer's Registration Statement on Form S-1 (Registration No. 333-191465) (the "Registration Statement"), in connection with the Issuer's initial public offering (the "Offering"), upon the closing of the Offering, each outstanding share of 12% Senior Cumulative Preferred Stock ("Senior Preferred Stock") and 12% Junior Cumulative Preferred Stock ("Junior Preferred Stock" and, collectively with Senior Preferred Stock, the "Preferred Stock") were exchanged (the "Preferred Stock Exchange") for a number of shares of Common Stock of the Issuer determined by dividing (a) the liquidation preference amount of such Preferred Stock by (b) with respect to the Senior Preferred Stock, the initial public offering price of $18.00 and, with respect to the Junior Preferred Stock, the Junior Preferred Stock Exchange Price (as defined in the Registration Statement). |
(2) | Prior to the closing of the Issuer's initial public offering the Issuer effected a one (1) to 5.88046593587358 forward split of its Common Stock (the "Stock Split"). The aggregate number of shares of Common Stock reported in this line item reflects the Preferred Stock Exchange and the Stock Split and any fractional share adjustments. |