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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/26/2011 |
3. Issuer Name and Ticker or Trading Symbol
DynaVox Inc. [ DVOX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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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 A Common Stock | 2,788 | I | See footnote(1) |
Class B Common Stock | 1 | I | See footnote(2) |
Class B Common Stock | 1 | I | See footnote(3) |
Class B Common Stock | 1 | I | See footnote(4) |
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 | ||||
Units of DynaVox Systems Holdings | (5) | (5) | Class A Common Stock | 783,158 | (5) | I | See footnote(6) |
Units of DynaVox Systems Holdings | (5) | (5) | Class A Common Stock | 308,280 | (5) | I | See footnote(7) |
Units of DynaVox Systems Holdings | (5) | (5) | Class A Common Stock | 142,278 | (5) | I | See footnote(8) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The shares are held in an account for the benefit of New York Life Insurance Company ("NYLIC") and are managed on its behalf by a wholly-owned subsidiary of New York Life Investment Management Holdings LLC ("NYLIMH"), a wholly-owned subsidiary of NYLIC. |
2. This share is owned directly by New York Life Capital Partners, L.P. ("NYLCAP") and indirectly by each of the following: (i) New York Life Capital Partners, L.L.C. ("NYLCAP GP"), which is the general partner of NYLCAP, (ii) NYLCAP Manager LLC ("NYLCAP Manager"), which is the investment manager of NYLCAP and the sole member of NYLCAP GP, (iii) NYLIMH, which wholly-owns NYLCAP Manager, and (iv) NYLIC, which wholly-owns NYLIMH. NYLCAP may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act with securityholders who are party to that certain Amended and Restated Securityholders Agreement, dated as of April 20, 2010, which is described in the Reporting Persons' Schedule 13D filed on March 7, 2011 (the "Securityholders Agreement"). |
3. This share is owned directly by New York Life Investment Management Mezzanine Partners, LP ("NYL Mezz Main"), and indirectly by each of the following: (i) NYLIM Mezzanine GenPar, LP ("NYL MezzGP"), which is the general partner of NYL Mezz Main, (ii) NYLIM Mezzanine GenPar GP, LLC ("Mezz GP of GP"), which is the general partner of NYL MezzGP, (iii) NYLCAP Manager, which is the investment manager of NYL Mezz Main and the sole member of Mezz GP of GP, (iv) NYLIMH, which wholly-owns NYLCAP Manager, and (iv) NYLIC, which wholly-owns NYLIMH. NYL Mezz Main may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act with securityholders who are party to that certain Securityholders Agreement. |
4. This share is owned directly by NYLIM Mezzanine Partners Parallel Fund, LP ("NYL Mezz Parallel"), and indirectly by each of the following: (i) NYL MezzGP, which is the general partner of NYL Mezz Parallel, (ii) Mezz GP of GP, which is the general partner of NYL MezzGP, (iii) NYLCAP Manager, which is the investment manager of NYL Mezz Parallel and the sole member of Mezz GP of GP, (iv) NYLIMH, which wholly-owns of NYLCAP Manager, and (iv) NYLIC, which wholly-owns of NYLIMH. NYL Mezz Parallel may be deemed to be a member of a "group" for purposes of Section 13(d) of the Exchange Act with securityholders who are party to that certain Securityholders Agreement. |
5. Pursuant to the terms of an exchange agreement, units of DynaVox Systems Holdings LLC are exchangeable for shares of Class A common stock of DynaVox Inc. on a one-for-one basis from and after April 27, 2011, which is the first anniversary of the closing of DynaVox Inc.'s initial public offering. |
6. These units are owned directly by NYLCAP and indirectly by each of the following: (i) NYLCAP GP, which is the general partner of NYLCAP, (ii) NYLCAP Manager, which is the investment manager of NYLCAP and the sole member of NYLCAP GP, (iii) NYLIMH, which wholly-owns NYLCAP Manager, and (iv) NYLIC, which wholly-owns NYLIMH. |
7. These units are owned directly by NYL Mezz Main, and indirectly by each of the following: (i) NYL MezzGP, which is the general partner of NYL Mezz Main, (ii) Mezz GP of GP, which is the general partner of NYL MezzGP, (iii) NYLCAP Manager, which is the investment manager of NYL Mezz Main and the sole member of Mezz GP of GP, (iv) NYLIMH, which wholly-owns of NYLCAP Manager, and (iv) NYLIC, which wholly-owns of NYLIMH. |
8. These units are owned directly by NYL Mezz Parallel, and indirectly by each of the following: (i) NYL MezzGP, which is the general partner of NYL Mezz Parallel, (ii) Mezz GP of GP, which is the general partner of NYL MezzGP, (iii) NYLCAP Manager, which is the investment manager of NYL Mezz Parallel and the sole member of Mezz GP of GP, (iv) NYLIMH, which wholly-owns NYLCAP Manager, and (iv) NYLIC, which wholly-owns NYLIMH. |
Remarks: |
/s/ Robert M. Barrack, as Chief Operating Officer of NYLCAP Manager LLC, the investment manager of New York Life Capital Partners, L.P. | 03/07/2011 | |
/s/ Robert M. Barrack, as Chief Operating Officer of New York Life Capital Partners, L.L.C. | 03/07/2011 | |
/s/ Robert M. Barrack, as Chief Operating Officer of NYLCAP Manager LLC | 03/07/2011 | |
/s/ Yie-Hsin Hung, as Senior Managing Director of New York Life Investment Management Holdings LLC | 03/07/2011 | |
/s/ William Y. Cheng, as Vice President of New York Life Insurance Company | 03/07/2011 | |
/s/ Robert M. Barrack, as Chief Operating Officer of NYLIM Mezzanine GenPar GP, LLC, the general partner of NYLIM Mezzanine GenPar, LP, the general partner of New York Life Investment Management Mezzanine Partners, LP | 03/07/2011 | |
/s/ Robert M. Barrack, as Chief Operating Officer of NYLIM Mezzanine GenPar GP, LLC, the general partner of NYLIM Mezzanine GenPar, LP, the general partner of NYLIM Mezzanine Partners Parallel Fund, LP | 03/07/2011 | |
/s/ Robert M. Barrack, as Chief Operating Officer of NYLIM Mezzanine GenPar GP, LLC, the general partner of NYLIM Mezzanine GenPar, LP | 03/07/2011 | |
/s/ Robert M. Barrack, as Chief Operating Officer of NYLIM Mezzanine GenPar GP, LLC | 03/07/2011 | |
** 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. |