0001104659-14-084476.txt : 20141202
0001104659-14-084476.hdr.sgml : 20141202
20141202175343
ACCESSION NUMBER: 0001104659-14-084476
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141201
FILED AS OF DATE: 20141202
DATE AS OF CHANGE: 20141202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SFX Entertainment, INC
CENTRAL INDEX KEY: 0001553588
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-AMUSEMENT & RECREATION SERVICES [7900]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 430 PARK AVENUE
STREET 2: 6TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 646-561-6400
MAIL ADDRESS:
STREET 1: 430 PARK AVENUE
STREET 2: 6TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: SFX HOLDING Corp
DATE OF NAME CHANGE: 20120705
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SILLERMAN ROBERT F X
CENTRAL INDEX KEY: 0000940128
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36119
FILM NUMBER: 141261675
MAIL ADDRESS:
STREET 1: 150 EAST 58TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10155
4
1
a4.xml
4
X0306
4
2014-12-01
0
0001553588
SFX Entertainment, INC
SFXE
0000940128
SILLERMAN ROBERT F X
430 PARK AVENUE, FLOOR 6
NEW YORK
NY
10022
1
1
1
0
CEO and Chairman of the Board
Common Stock
2014-12-01
4
P
0
222046
4.37
A
28407927
I
By Sillerman Investment Company III LLC
Common Stock
2014-12-02
4
P
0
222046
4.38
A
28629973
I
By Sillerman Investment Company III LLC
Common Stock
7546000
D
Common Stock
1333000
D
The transactions reported in this row were effected pursuant to a Rule 10b5-1 trading plan.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.23 to $4.48, inclusive. Mr. Sillerman undertakes to provide SFX Entertainment, Inc., any security holder of SFX Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (2) and (4).
These shares are owned indirectly by Mr. Sillerman as manager and sole member of Sillerman Investment Company III LLC.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.47, inclusive.
These shares are beneficially owned by Mr. Sillerman pursuant to nominee agreements with various stockholders of the Company (including one partnership controlled by Mr. Sillerman) that name Mr. Sillerman as nominee with respect to such shares. The nominee agreements may be terminated upon the earlier of (i) two business days after delivery by the beneficiary to Mr. Sillerman of written notice to terminate the agreement or (ii) two business days after delivery by Mr. Sillerman to the beneficiary of his written notice of resignation as nominee.
Includes 100,000 restricted shares that will vest on December 31, 2015, 1,000,000 restricted shares that will vest on February 11, 2016, and 233,000 restricted shares that will vest on October 15, 2016, each subject to accelerated vesting under certain conditions as set forth in Mr. Sillerman's employment agreement.
/s/ Robert F.X. Sillerman
2014-12-02