SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY |
SUITE 1200 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SPORTSMAN'S WAREHOUSE HOLDINGS, INC.
[ SPWH ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 04/18/2016
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
04/18/2016 |
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S |
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2,968,421
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D |
$10.77
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4,600,711
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I |
See footnote 2 |
Common Stock |
04/18/2016 |
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S |
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3,031,579
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D |
$10.77
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4,698,600
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I |
See footnote 4 |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY |
SUITE 1200 |
(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY |
SUITE 1200 |
(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY |
SUITE 1200 |
(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY |
SUITE 1200 |
(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY |
SUITE 1200 |
(Street)
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Explanation of Responses: |
Remarks: |
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Seidler Kutsenda Management Company, LLC, /s/ Eric Kutsenda |
04/19/2016 |
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Seidler Equity Partners III, L.P., By: SEM III, LLC, its general partner, /s/ Christopher Eastland, Vice President |
04/19/2016 |
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SEP SWH Holdings GP, LLC, By: Seidler Equity Partners III, L.P., its sole member, By: SEM III, LLC, its general partner, /s/ Christopher Eastland, Vice President |
04/19/2016 |
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SEP SWH Holdings, L.P., By: SEP SWH Holdings GP, LLC, its general partner, /s/ Christopher Eastland, Vice President |
04/19/2016 |
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New SEP SWH Holdings, L.P., By: SEP SWH Holdings GP, LLC, its general partner, /s/ Christopher Eastland, Vice President |
04/19/2016 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
Exhibit 99
The amount of securities reported as beneficially owned includes 4,600,711
shares of the Issuer's common stock held of record by SEP SWH Holdings, L.P.
("SEP") and 4,698,600 shares of the Issuer's common stock held of record by New
SEP SWH Holdings, L.P. ("New SEP" and, together with SEP, the "SEP Funds").
This Form 4 is being filed by (i) Seidler Kutsenda Management Company, LLC
("SKMC"), (ii) Seidler Equity Partners III, L.P. ("SEP III"), (iii) SEP SWH
Holdings GP, LLC ("SEP GP"), (iv) SEP, and (v) New SEP (together with SKMC, SEP
III, SEP GP, and SEP, the "Reporting Persons"). SEP GP is the general partner of
both SEP and New SEP, and SEP III is the sole member of SEP GP. SKMC, as the
investment manager of SEP III, has ultimate voting and dispositive power over
all of the shares owned by the SEP Funds. SKMC's Investment Committee makes all
voting, investment and disposition decisions on behalf of SKMC. That committee
is comprised of Peter Seidler, Robert Seidler and Eric Kutsenda. None of these
individuals individually exercises control over SKMC, and therefore, each of
them disclaims beneficial ownership over the shares owned by the SEP Funds,
except to the extent of their respective indirect pecuniary interests, if any,
in those shares. The Reporting Persons are 10% owners of the Issuer's common
stock. The Reporting Persons also may be deemed a director as they have
representatives serving on the Issuer's board of directors. Leonard Lee and
Christopher Eastland currently serve as representatives of the Reporting Persons
on the Issuer's board of directors. Each of SKMC, SEP III and SEP GP may be
deemed, pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as
amended to beneficially own the Issuer's common stock reported herein and held
by the SEP Funds and each of SKMC, SEP III and SEP GP disclaim beneficial
ownership of the shares of the Issuer's common stock reported herein, except to
the extent of their respective indirect pecuniary interests therein, if any, in
those shares.