FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ROI Acquisition Corp. [ ROIQ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/29/2012 | ||||||||||||||||||||||||||
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.0001 per share | 04/09/2012 | J(1) | 281,250 | D | (1) | 1,875,000 | I | See Footnote(1) | ||
Common Stock, par value $0.0001 per share | 07/26/2012 | J(2) | 1,875,000 | D | $0.012 | 1,875,000 | I | See Footnote(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Sponsor Warrants | $12 | 02/29/2012 | A | 4,166,667 | (3) | (3) | Common Stock, par value $0.0001 per share | 4,166,667 | $0.75 | 4,166,667 | I | See Footnote(2) | |||
Warrants to Purchase Common Stock | $12 | 04/20/2012 | A | 500,000 | (3) | (3) | Common Stock, par value $0.0001 per share | 500,000 | $0.6003 | 500,000 | I | See Footnote(4) | |||
Warrants to Purchase Common Stock | $12 | 07/26/2012 | J(5) | 500,000 | (3) | (3) | Common Stock, par value $0.0001 per share | 500,000 | $0.7339 | 500,000 | I | See Footnote(5) | |||
Sponsor Warrants | $12 | 07/26/2012 | J(6) | 4,166,667 | (3) | (3) | Common Stock, par value $0.0001 per share | 4,166,667 | $0.7339 | 4,166,667 | I | See Footnote(6) |
Explanation of Responses: |
1. Forfeiture to the Issuer as a result of failure of underwriter in the Issuer's initial public offering to exercise its overallotment option. Represents shares of the Issuer's common stock forfeited by ROIC Acquisition Holdings LP, an entity indirectly owned by George E. Hall. Mr. Hall has sole voting and dispositive power over the shares held by ROIC Acquisition Holdings LP. |
2. Represents warrants to purchase common stock held by ROIC Acquisition Holdings LP, a limited partnership whose general partner is ROIC Acquisition Holdings GP LLC, a limited liability company whose indirectly wholly owned by the reporting person. |
3. The warrants will become exercisable on the later of 30 days after the completion of the Issuer's initial business combination or twelve months from the closing of the Issuer's initial public offering, provided in each case that the Issuer has an effective registration statement under the Securities Act of 1933, as amended, covering the shares of common stock issuable upon exercise of the warrants and a current prospectus relating to them is available, and will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. |
4. Represents warrants to purchase shares of the Issuer's common stock held by GEH Capital Inc., an entity wholly owned by George E. Hall. Mr. Hall disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
5. Reflects change in form of indirect ownership as a result of transfer from GEH Capital Inc. to Clinton Magnolia Master Fund Ltd. ("Magnolia"), with no change in the reporting person's pecuniary interest. Investment and reporting decisions of Magnolia are made by its investment manager, Clinton Group, Inc., an entity controlled by the reporting person. |
6. Reflects change in form of indirect ownership as a result of transfer from ROIC Acquisition Holdings L.P. to Clinton Magnolia Master Fund Ltd. ("Magnolia"), with no change in the reporting person's pecuniary interest. Investment and reporting decisions of Magnolia are made by its investment manager, Clinton Group, Inc., an entity controlled by the reporting person. |
/s/ Laura Rosenblum, Attorney-in-Fact | 01/17/2013 | |
** 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. | ||
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. |