UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | Â (1) | Â (1) | Common Stock, par value $0.01 per share | 27,323,200 | $ 5 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BCP IV GrafTech Holdings L.P. BROOKFIELD PLACE, SUITE 300, 181 BAY STREET TORONTO, A6 M5J 2T3 |
 |  X |  |  |
BCP IV GrafTech Holdings LP, By: BPE IV (Non-Cdn) GP LP, its general partner, By: Brookfield Capital Partners Ltd., its general partner, /s/ David Nowak, By: David Nowak, Managing Partner | 08/18/2015 | |
**Signature of Reporting Person | Date | |
BCP IV GrafTech Holdings LP, By: BPE IV (Non-Cdn) GP LP, its general partner, By: Brookfield Capital Partners Ltd., its general partner, /s/ J. Peter Gordon, By: J. Peter Gordon, Managing Partner | 08/18/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The Series A Convertible Preferred Stock is immediately convertible, at the Reporting Person's option, into shares of common stock of the Issuer, at a conversion price of $5.00 per common share, subject to customary anti-dilution adjustments. The Series A Convertible Preferred Stock has no expiration date. |
(2) | Each share of Series B Convertible Preferred Stock is converted automatically into one share of Series A Convertible Preferred Stock upon approval by the Issuer's stockholders in compliance with Rule 312 of the NYSE Listed Company Manual. |