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) 03/23/2015 | 3. Issuer Name and Ticker or Trading Symbol J M SMUCKER Co [ SJM ] | |||||||||||||
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, without par value | 3,861,650 | I | Held through Blue Holdings I, L.P.(1)(2)(3) |
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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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Blue Holdings I, L.P. ("Blue Holdings") directly owns all of the shares of Common Stock reported in this statement. Vestar/Blue Investments I L.P. holds limited partner interests in Blue Holdings and holds membership interests in Blue Holdings GP, LLC, the general partner of Blue Holdings. |
2. The general partner of Vestar/Blue Investments I L.P. is Vestar Associates V, L.P., and the general partner of Vestar Associates V, L.P. is Vestar Managers V Ltd. Daniel S. O'Connell is the sole director of Vestar Managers V Ltd. and as a result he may be deemed to have beneficial ownership of the shares of Common Stock reported herein. |
3. Each of Vestar/Blue Investments I, L.P., Vestar Associates V, L.P., Vestar Managers V Ltd. and Mr. O'Connell may be deemed to be the beneficial owner of the securities reported herein, and each such person disclaims beneficial ownership of any securities beneficially owned by Blue Holdings except to the extent of their respective pecuniary interests therein. |
Remarks: |
Exhibit List: Exhibit 24 - Power of Attorney |
VESTAR/BLUE INVESTMENTS I L.P. By: Vestar Associates V, L.P., its general partner By: Vestar Managers V Ltd., its general partner By: /s/ Brian P. Schwartz Name: Brian P. Schwartz Title: Managing Director and Chief Financial Officer | 04/02/2015 | |
VESTAR ASSOCIATES V, L.P. By: Vestar Managers V Ltd., its general partner By: /s/ Brian P. Schwartz Name: Brian P. Schwartz Title: Managing Director and Chief Financial Officer | 04/02/2015 | |
VESTAR MANAGERS V LTD. By: /s/ Brian P. Schwartz Name: Brian P. Schwartz Title: Managing Director and Chief Financial Officer | 04/02/2015 | |
DANIEL S. O'CONNELL By: /s/ Brian P. Schwartz, by power of attorney | 04/02/2015 | |
** 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. |