0001209191-14-077991.txt : 20141224 0001209191-14-077991.hdr.sgml : 20141224 20141224162341 ACCESSION NUMBER: 0001209191-14-077991 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141222 FILED AS OF DATE: 20141224 DATE AS OF CHANGE: 20141224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Higher One Holdings, Inc. CENTRAL INDEX KEY: 0001486800 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 263025501 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 115 MUNSON STREET CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 2037767776 MAIL ADDRESS: STREET 1: 115 MUNSON STREET CITY: NEW HAVEN STATE: CT ZIP: 06511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vassallo Mark F CENTRAL INDEX KEY: 0001297193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34779 FILM NUMBER: 141310345 MAIL ADDRESS: STREET 1: COLLEGIATE FUNDING SERVICES STREET 2: 100 RIVERSIDE PARKWAY CITY: FREDERICKSBURG STATE: VA ZIP: 22406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LY Holdings, LLC CENTRAL INDEX KEY: 0001596820 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34779 FILM NUMBER: 141310346 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-328-0555 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lightyear Fund II GP Holdings, LLC CENTRAL INDEX KEY: 0001478799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1209 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34779 FILM NUMBER: 141310347 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-328-0555 MAIL ADDRESS: STREET 1: 375 PARK AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10152 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lightyear Fund II GP, L.P. CENTRAL INDEX KEY: 0001478800 STATE OF INCORPORATION: DE FISCAL YEAR END: 1209 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34779 FILM NUMBER: 141310348 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-328-0555 MAIL ADDRESS: STREET 1: 375 PARK AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10152 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LIGHTYEAR FUND II LP CENTRAL INDEX KEY: 0001401516 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34779 FILM NUMBER: 141310349 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-328-0555 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-12-22 0 0001486800 Higher One Holdings, Inc. ONE 0001401516 LIGHTYEAR FUND II LP 9 WEST 57TH STREET, 31ST FLOOR NEW YORK NY 10019 0 0 1 0 0001478800 Lightyear Fund II GP, L.P. 9 WEST 57TH STREET, 31ST FLOOR NEW YORK NY 10019 0 0 1 0 0001478799 Lightyear Fund II GP Holdings, LLC 9 WEST 57TH STREET, 31ST FLOOR NEW YORK NY 10019 0 0 1 0 0001596820 LY Holdings, LLC 9 WEST 57TH STREET, 31ST FLOOR NEW YORK NY 10019 0 0 1 0 0001297193 Vassallo Mark F 9 WEST 57TH STREET, 31ST FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock 2014-12-22 4 S 0 19044 4.44 D 6890233 D Common Stock 2014-12-22 4 S 0 96 4.44 D 36648 I See Footnotes Common Stock 2014-12-23 4 S 0 36771 4.26 D 6853462 D Common Stock 2014-12-23 4 S 0 185 4.26 D 36463 I See Footnotes Common Stock 18903 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.34 to $4.49, inclusive. The reporting persons undertake to provide to Higher One Holdings, Inc., any security holder of Higher One Holdings, Inc., 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 ranges set forth in footnotes (1) and (4) to this Form 4. The shares are held directly by Lightyear Fund II, L.P. The shares are held directly by Lightyear Co-Invest Partnership II, L.P. The general partner of Lightyear Co-Invest Partnership II, L.P. is Lightyear Fund II GP Holdings, LLC. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.205 to $4.40, inclusive. The general partner of Lightyear Fund II, L.P. is Lightyear Fund II GP, L.P. The general partner of Lightyear Fund II GP, L.P. is Lightyear Fund II GP Holdings, LLC. The managing member of Lightyear Fund II GP Holdings, LLC is LY Holdings, LLC. The managing member of LY Holdings, LLC is Mr. Mark F. Vassallo. The shares are held directly by Mark F. Vassallo. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein only to the extent of his or its pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that any of the Reporting Persons is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. LIGHTYEAR FUND II, L.P. By: Lightyear Fund II GP, L.P., its general partner, By: Lightyear Fund II GP Holdings, LLC, its general partner, By: /s/ Lori Forlano, Name: Lori Forlano, Title: Vice President 2014-12-24 LIGHTYEAR FUND II GP, L.P., By: Lightyear Fund II GP Holdings, LLC, its general partner, By: /s/ Lori Forlano, Name: Lori Forlano, Title: Vice President 2014-12-24 LIGHTYEAR FUND II GP HOLDINGS, LLC, By: LY Holdings, LLC, By: /s/ Lori Forlano, Name: Lori Forlano, Title: Vice President 2014-12-24 LY HOLDINGS, LLC, By: /s/ Lori Forlano, Name: Lori Forlano, Title: Vice President 2014-12-24 MARK F. VASSALLO, /s/ Lori Forlano, By: Lori Forlano, Attorney-in-Fact 2014-12-24