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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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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Alarm.com Holdings, Inc. [ ALRM ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/31/2015 | J(1) | 12,884,619 | D | $0 | 0 | D(2) | |||
Common Stock | 12/31/2015 | J(1) | 666,904 | D | $0 | 0 | I | By Limited Partnership(3) | ||
Common Stock | 12/31/2015 | J(1) | 786,123 | D | $0 | 0 | I | By Limited Partnership(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) | 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | 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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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. On December 31, 2015, all remaining portfolio investments of ABS Capital Partners V, L.P. ("ABS Capital V"), ABS Capital Partners V Offshore, L.P. ("ABS Capital Offshore"), ABS Capital Partners V-A, L.P. ("ABS Capital V-A"), ABS Partners V, LLC (the "LLC") and ABS Partners V, L.P. ("ABS Partners V") (collectively, the "Funds") were transferred to ABS Capital Partners V Trust, a liquidating trust, for which ABS Capital Partners, Inc. serves as trustee, in connection with the dissolution and liquidation of the Funds. |
2. These shares were held directly by ABS Capital V. The LLC was the general partner of ABS Partners V, which was the general partner of ABS Capital V. Donald Hebb, Jr., Phillip Clough, John Stobo, Jr., Mark Anderson, Stephanie Carter, Ashoke Goswami, James Stevenson, Ralph Terkowitz, Timothy Weglicki and Laura Witt (collectively, the "ABS Managers") were the managing members of the LLC and, as such, shared voting and dispositive power over the shares held by ABC Capital V. None of the ABS Managers acting alone had voting or dispositive power over the shares held by ABS Capital V. |
3. These shares were held directly by ABS Capital V-A. The LLC was the general partner of ABS Partners V, which was the general partner of ABS Capital V-A. The ABS Managers were the managing members of the LLC and, as such, shared voting and dispositive power over the shares held by ABS Capital V-A. None of the ABS Managers acting alone had voting or dispositive power over the shares held by ABS Capital V-A. |
4. These shares were held directly by ABS Capital Offshore. The LLC was the general partner of ABS Partners V, which was the general partner of ABS Capital Offshore. The ABS Managers were the managing members of the LLC and, as such, shared voting and dispositive power over the shares held by ABS Capital Offshore. None of the ABS Managers acting alone had voting or dispositive power over the shares held by ABS Capital Offshore. |
Remarks: |
/s/ James E. Stevenson Jr., Managing Director of ABS Capital Partners, Inc., Trustee of ABS Capital Partners V Trust, as liquidating trust of ABS Capital Partners V, L.P. | 08/19/2016 | |
/s/ James E. Stevenson Jr., Managing Director of ABS Capital Partners, Inc., Trustee of ABS Capital Partners V Trust, as liquidating trust of ABS Capital Partners V Offshore, L.P. | 08/19/2016 | |
/s/ James E. Stevenson Jr., Managing Director of ABS Capital Partners, Inc., Trustee of ABS Capital Partners V Trust, as liquidating trust of ABS Capital Partners V-A, L.P. | 08/19/2016 | |
/s/ James E. Stevenson Jr., Managing Director of ABS Capital Partners, Inc., Trustee of ABS Capital Partners V Trust, as liquidating trust of ABS Partners V, LLC. | 08/19/2016 | |
/s/ James E. Stevenson Jr., Managing Director of ABS Capital Partners, Inc., Trustee of ABS Capital Partners V Trust, as liquidating trust of ABS Partners V, L.P. | 08/19/2016 | |
** 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 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. |