SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/02/2015 | 3. Issuer Name and Ticker or Trading Symbol LMI AEROSPACE INC [ LMIA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.02 per share ("Common Stock") | 1,422,789(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. See Remarks |
Remarks: |
(1) These securities held by Glen Capital Partners Focus Fund, L.P. (f/k/a Glen Capital Partners Fund I, L.P., the "Fund") were previously reported on a Form 4 filed as of June 2, 2015 as indirect holdings of Gregory L. Summe, who is a Director of the issuer. Mr. Summe is the Sole Member of Glen Capital Partners GP LLC, the general partner of the Fund (the "GP"), and the Sole Member and Managing Partner of Glen Capital Partners LLC, the Fund's investment manager (the "Manager"). These securities were also reported as holdings of the Fund on a Schedule 13D/A filed as of June 2, 2015. The GP, the Manager and Mr. Summe may be deemed to beneficially own the securities reported above in their respective capacities as the general partner of the Fund, the adviser to the Fund, and the sole member of each of the GP and the Manager. This filing confirms that the shares held by the reporting persons make such persons "10% Owners" of the Common Stock. There has been no change in the number of shares held by the Fund or the voting or dispositive powers of the GP, the Manager or Mr. Summe over the Fund's shares since June 2, 2015. The GP, the Manager, and Mr. Summe disclaim any beneficial ownership of the securities held by the Fund except to the extent of any pecuniary interest therein. |
/s/ Gregory L. Summe, as the sole member of Glen Capital Partners LLC and Glen Capital Partners GP LLC for itself and as the general partner of Glen Capital Partners Focus Fund, L.P. | 04/22/2016 | |
** 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 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). | ||
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. |