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) 11/17/2020 | 3. Issuer Name and Ticker or Trading Symbol GCM Grosvenor Inc. [ GCMG ] | |||||||||||||
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) |
Class C Common Stock | 144,235,246(1) | I | See footnotes(2)(6) |
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 | ||||
Common Units | (3) | (3) | Class A Common Stock | 144,235,246 | (3) | I | See footnotes(4)(6) |
Warrants | 12/17/2020 | 11/17/2025 | Class A Common Stock | 900,000 | 11.5 | I | See footnotes(5)(6) |
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. The Issuer's Class C Common Stock will automatically be cancelled for no consideration upon any sale or other transfer of a share of the Issuer's Class A Common Stock issued as a result of any redemption or direct exchange of the Common Units of Grosvenor Capital Management Holdings, LLLP ("GCMH"). |
2. Represents securities held directly by GCM V, LLC ("GCM V"). |
3. The Common Units of GCMH may be redeemed by the Reporting Persons at any time for shares of the Issuer's Class A Common Stock on a one-to-one basis. The Common Units do not expire. |
4. Represents securities held directly by Grosvenor Holdings, L.L.C. ("Grosvenor Holdings"), Grosvenor Holdings II, L.L.C. ("Grosvenor Holdings II"), and GCM Grosvenor Management, LLC ("GCM Grosvenor Management"). |
5. Represents securities held direclty by Grosvenor Holdings. |
6. The Reporting Person is the ultimate managing member of each of GCM V, Grosvenor Holdings, Grosvenor Holdings II and GCM Grosvenor Management. |
Remarks: |
Exhibit 24.1 - Power of Attorney. Exhibit 24.2 - Power of Attorney. Exhibit 24.3 - Power of Attorney. |
/s/ Rachel Haupt, Attorney-in-Fact for Michael J. Sacks | 11/17/2020 | |
/s/ Rachel Haupt, Attorney-in-Fact for GCM V, LLC | 11/17/2020 | |
/s/ Rachel Haupt, Attorney-in-Fact for Grosvenor Holdings, L.L.C. | 11/17/2020 | |
** 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. |