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 |
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(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) 12/28/2016
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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 |
12/28/2016 |
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J |
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4,155,448
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D |
$0
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0 |
I |
See footnote 2
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Common Stock |
12/28/2016 |
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J |
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4,243,863
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D |
$0
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0 |
I |
See footnote 4
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Common Stock |
12/28/2016 |
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J |
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4,969,138
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A |
$0
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4,969,138 |
I |
See footnote 6
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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 |
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(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY, SUITE 1200 |
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(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY, SUITE 1200 |
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(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY, SUITE 1200 |
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(Street)
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1. Name and Address of Reporting Person*
4640 ADMIRALTY WAY, SUITE 1200 |
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(Street)
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Explanation of Responses: |
Remarks: |
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Eric Kutsenda |
12/28/2016 |
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Chris Eastland |
12/29/2016 |
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Chris Eastland |
12/28/2016 |
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Chris Eastland |
12/28/2016 |
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Chris Eastland |
12/28/2016 |
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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
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 SWH Holdings, L.P. ("SEP"), and (v) New
SEP SWH Holdings, L.P. ("New SEP", and together with SKMC, SEP III, SEP GP, and
SEP, the "Reporting Persons").
Prior to the distribution reported on this Form 4, SEP and New SEP each held of
record shares of the Issuer's common stock. SEP GP is the general partner of
both SEP and New SEP, SEP IIII is the sole member of SEP GP, and SKMC is the
investment manager of SEP III. SEP GP, SEP III and SKMC were deemed to have
beneficial ownership over all shares held by SEP and New SEP.
Each of SEP and New SEP conducted a pro rata distribution to its limited
partners of all shares of the Issuer's common stock owned by it. After the
distributions, neither SEP nor NEW SEP hold any shares of the Issuer's common
stock and neither are deemed to beneficially own any shares of the Issuer's
common stock. SEP GP is also no longer deemed to have beneficial ownership over
any shares of the Issuer's common stock after the distributions by SEP and New
SEP. The amount of securities reported as beneficially owned after the
distribution represents the shares of the Issuer's common stock held of record
by SEP III, which SEP III received as a limited partner of each of SEP and New
SEP.
SKMC, as the investment manager of SEP III, has ultimate voting and dispositive
power over all of the shares owned by SEP III. 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 SEP III,
except to the extent of their respective indirect pecuniary interests, if any,
in those shares. SKMC and SEP III are 10% or more beneficial owners of the
Issuer's common stock. The Reporting Persons also may be deemed a director as
they have a representative serving on the Issuer's board of directors.
Christopher Eastland currently serves as a representative of the Reporting
Persons on the Issuer's board of directors. SKMC 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 SEP III and SKMC disclaims
beneficial ownership of the shares of the Issuer's common stock reported herein,
except to the extent of its indirect pecuniary interests therein, if any, in
those shares.