FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN 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 * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
BCP GP Ltd | GRAFTECH INTERNATIONAL LTD [ | __X__ 10% Owner | |||||||||||||||||||||||||||||||||
EAF ] | __X__ Director | ||||||||||||||||||||||||||||||||||
_____ Officer (give title below) _____ Other (specify below) | |||||||||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | ||||||||||||||||||||||||||||||||
C/O BROOKFIELD ASSET | 10/8/2020 | ||||||||||||||||||||||||||||||||||
MANAGEMENT INC., 181 BAY ST, | |||||||||||||||||||||||||||||||||||
STE. 300 | |||||||||||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||||||||||||||||||||||||||||||||
TORONTO, A6 M5J2T3 | ___ Form filed by One Reporting Person | ||||||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | _ X _ Form filed by More than One Reporting Person | ||||||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) or | 5. Amount of Securities Beneficially | 6. | 7. Nature of Indirect | ||||||||||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | Disposed of (D) | Owned Following Reported | Ownership | Beneficial Ownership (Instr. | |||||||||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | Transaction(s) | Form: | 4) | |||||||||||||||||||||||||||||||
(Instr. 3 and 4) | Direct (D) | ||||||||||||||||||||||||||||||||||
or Indirect | |||||||||||||||||||||||||||||||||||
(A) or | (I) (Instr. | ||||||||||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | ||||||||||||||||||||||||||||||
Common Stock | 10/8/2020 | S | 34648 | D | $7.3824 | 172361326 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/8/2020 | S | 36492 | D | $7.3824 | 172324834 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/8/2020 | S | 64862 | D | $7.3824 | 172259972 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/9/2020 | S | 37233 | D | $7.3634 | 172222739 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/9/2020 | S | 39216 | D | $7.3634 | 172183523 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/9/2020 | S | 69703 | D | $7.3634 | 172113820 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/12/2020 | S | 34393 | D | $7.3487 | 172079427 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/12/2020 | S | 36223 | D | $7.3487 | 172043204 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Common Stock | 10/12/2020 | S | 64384 | D | $7.3487 | 171978820 | I | See Explanation of | |||||||||||||||||||||||||||
Responses (12)(13)(14)(15)(16) | |||||||||||||||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. Code | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||||||||||
Security | Conversion | Date | Execution | (Instr. 8) | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | |||||||||||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | |||||||||||||||||||||||||||||||
Security | Following | Direct (D) | |||||||||||||||||||||||||||||||||
Date | Expiration | Title | Amount or Number of | Reported | or Indirect | ||||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Shares | Transaction(s) | (I) (Instr. | |||||||||||||||||||||||||||
(Instr. 4) | 4) |
Explanation of Responses:
- The sales reported in this Form 4 (the "Sales") were effected pursuant to a Rule 10b5-1 trading plan adopted by BPE IV (Non-Cdn) GP LP, Brookfield BBP (Canada) L.P. and Brookfield BBP Canada Holdings Inc.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of BPE IV (Non-Cdn) GP LP in multiple transactions at prices ranging from $7.25 to $7.46 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP (Canada) L.P. in multiple transactions at prices ranging from $7.25 to $7.46 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth
above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP Canada Holdings Inc. in multiple transactions at prices ranging from $7.25 to $7.46 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of BPE IV (Non-Cdn) GP LP in multiple transactions at prices ranging from $7.28 to $7.57 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP (Canada) L.P. in multiple transactions at prices ranging from $7.28 to $7.57inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP Canada Holdings Inc. in multiple transactions at prices ranging from $7.28 to $7.57 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of BPE IV (Non-Cdn) GP LP in multiple transactions at prices ranging from $7.17 to $7.43 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP (Canada) L.P. in multiple transactions at prices ranging from $7.17 to $7.43 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP Canada Holdings Inc. in multiple transactions at prices ranging from $7.17 to $7.43 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- Following the Sales, consists of (i) 149,216,541 shares of Common Stock held directly by BCP IV; (ii) 5,798,798 shares of Common Stock held directly by BPE IV (Non-Cdn) GP LP, for itself and as nominee for BCP IV (US Plan) LP, BCP IV (UK Plan) LP, BCP IV (Cdn Plan) LP and BCP IV Bermuda Investor LP; (iii) 6,107,457 shares of Common Stock held directly by Brookfield BBP (Canada) L.P.; (iv) 10,855,497 shares of Common Stock held directly by Brookfield BBP Canada Holdings Inc.; and (v) 527 shares of Common Stock held directly by Brookfield Private Funds Holdings Inc.
- BAM, by virtue of its relationships with these entities, may be deemed to share beneficial ownership of all of these shares.
- BPE IV (Non-Cdn) GP LP, Brookfield Capital Partners Ltd., BCP GP Limited, Brookfield Private Equity Group Holdings LP, Brookfield Private Equity Inc. and BAM, by virtue of their relationships with BCP IV, may be deemed to share beneficial ownership in the shares held directly by BCP IV. Brookfield Capital Partners Ltd., BCP GP Limited, Brookfield Private Equity Group Holdings LP, Brookfield Private Equity Inc. and BAM, by virtue of their relationships with BPE IV (Non-Cdn) GP LP, BCP IV (UK Plan) LP, BCP IV (Cdn Plan) LP and BCP IV Bermuda Investor LP, may be deemed to share beneficial ownership in the shares held directly by BPE IV (Non-Cdn) GP LP for itself and as nominee for BCP IV (UK Plan) LP, BCP IV (Cdn Plan) LP and BCP IV Bermuda Investor LP.
- Brookfield Private Equity Holdings LLC, Brookfield US Inc. and BAM, by virtue of their relationships with BCP IV (US Plan) LP, may be deemed to share beneficial ownership in the shares held directly by BPE IV (Non-Cdn) GP LP as nominee for BCP IV (US Plan) LP. Brookfield BBP Canadian GP L.P., Brookfield CanGP Limited, Brookfield Private Equity Inc. and BAM, by virtue of their relationships with Brookfield BBP (Canada) L.P., may be deemed to share beneficial ownership in the shares held directly by Brookfield BBP (Canada) L.P.
- Brookfield Business L.P., Brookfield Business Partners L.P., Brookfield Business Partners Limited and BAM, by virtue of their relationships with Brookfield BBP Canada Holdings Inc., may be deemed to share beneficial ownership in the shares held directly by Brookfield BBP Canada Holdings Inc. BAM, by virtue of its relationship with Brookfield Private Funds Holdings Inc., may be deemed to share beneficial ownership in the shares held directly by Brookfield Private Funds Holdings Inc.
- Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Exchange Act, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Remarks:
This Form 4 is being filed in three parts due to the number of Reporting Persons. All three Filings relate to the Sales described above in Table I. Part 1 of 3.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||
Director | 10% Owner | OfficerOther | |
BCP GP Ltd | |||
C/O BROOKFIELD ASSET MANAGEMENT INC. | X | X | |
181 BAY ST, STE. 300 | |||
TORONTO, A6 M5J2T3 | |||
BROOKFIELD ASSET MANAGEMENT INC. |
BROOKFIELD PLACE, 181 BAY STREET | X | X | ||
SUITE 300 PO BOX 762 | ||||
NEW YORK, NY 10281-1023 | ||||
Brookfield Capital Partners Ltd. | ||||
C/O BROOKFIELD ASSET MANAGEMENT INC. | X | X | ||
181 BAY ST, STE. 300 | ||||
TORONTO, A6 M5J2T3 | ||||
BPE IV (Non-Cdn) | ||||
C/O BROOKFIELD ASSET MANAGEMENT INC. | X | X | ||
181 BAY ST, STE. 300 | ||||
TORONTO, A6 M5J2T3 | ||||
BCP IV GrafTech Holdings L.P. | ||||
C/O BROOKFIELD ASSET MANAGEMENT INC. | X | X | ||
181 BAY ST, STE. 300 | ||||
TORONTO, A6 M5J2T3 | ||||
Brookfield Business Partners L.P. | ||||
73 FRONT STREET, 5TH FLOOR | X | X | ||
HAMILTON, D0 HM 12 | ||||
Brookfield Private Equity Group Holdings LP | ||||
BROOKFIELD PLACE | X | X | ||
181 BAY STREET, SUITE 300 | ||||
TORONTO, A6 M5J2T3 | ||||
Brookfield Private Equity Inc. | ||||
BROOKFIELD PLACE | X | X | ||
181 BAY STREET, SUITE 300 | ||||
TORONTO, A6 M5J2T3 | ||||
Brookfield Private Equity Holdings LLC | ||||
BROOKFIELD PLACE | X | X | ||
200 VESEY STREET | ||||
NEW YORK, NY 10281-1023 | ||||
Brookfield US Inc. | ||||
BROOKFIELD PLACE | X | X | ||
250 VESEY STREET | ||||
NEW YORK, NY 10281-1023 | ||||
Signatures | ||||
/s/ AJ Silber, as Director of BCP GP Limited |
**Signature of Reporting Person
/s/ Jessica Diab, as Officer of BROOKFIELD ASSET MANAGEMENT INC.
**Signature of Reporting Person
/s/ AJ Silber, as Officer of Brookfield Capital Partners Ltd.
**Signature of Reporting Person
/s/ AJ Silber, as Officer of Brookfield Capital Partners Ltd., general partner of BPE IV (Non-Cdn) GP LP
**Signature of Reporting Person
/s/ AJ Silber, as Officer of Brookfield Capital Partners Ltd., general partner of BPE IV (Non-Cdn) GP LP, general partner of BCP IV GrafTech Holdings LP
**Signature of Reporting Person
/s/ James Bodi, as Officer of Brookfield Business Partners Limited, general partner of Brookfield Business Partners L.P.
**Signature of Reporting Person
/s/ AJ Silber, as Director of Brookfield Private Equity Inc., the general partner of Brookfield Private Equity Group Holdings LP
**Signature of Reporting Person
/s/ AJ Silber, as Director of Brookfield Private Equity Inc.
**Signature of Reporting Person
/s/ Kristen Haase, as Officer of Brookfield Private Equity Holdings LLC
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**Signature of Reporting Person | Date |
/s/ Katayoon Sarpash, as Officer of Brookfield US Inc. | 10/13/2020 | |
**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 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.
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Graftech International Ltd. published this content on 13 October 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 October 2020 00:54:05 UTC