0001638599-16-000577.txt : 20160202 0001638599-16-000577.hdr.sgml : 20160202 20160202150440 ACCESSION NUMBER: 0001638599-16-000577 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160129 FILED AS OF DATE: 20160202 DATE AS OF CHANGE: 20160202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NORTEK INC CENTRAL INDEX KEY: 0001216596 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC HOUSEWARES & FANS [3634] IRS NUMBER: 050314991 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 EXCHANGE STREET CITY: PROVIDENCE STATE: RI ZIP: 02903 BUSINESS PHONE: 4017511600 MAIL ADDRESS: STREET 1: 500 EXCHANGE STREET CITY: PROVIDENCE STATE: RI ZIP: 02903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lukas Daniel C CENTRAL INDEX KEY: 0001359705 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34697 FILM NUMBER: 161380517 MAIL ADDRESS: STREET 1: RAM RE HOUSE STREET 2: 46 REID STREET CITY: HAMILTON STATE: D0 ZIP: HM 12 4 1 doc4_3653.xml PRIMARY DOCUMENT X0306 4 2016-01-29 0 0001216596 NORTEK INC NTK 0001359705 Lukas Daniel C ARES MANAGEMENT LLC 2000 AVENUE OF THE STARS LOS ANGELES CA 90067 1 0 0 0 Common 2016-01-29 4 A 0 2266 0 A 7633 D Unvested restricted stock awarded under the 2009 Omnibus Incentive Plan for which the Reporting Person has dividend and voting rights. Any dividends held by the Company are forfeitable. Time-based restricted stock vests in one-third installments. One third vests on each anniversary date of the grant beginning on January 29, 2017. These securities are held by the Reporting Person for the benefit of Ares Management LLC ("Ares") and Ares Corporate Opportunities Fund II, L.P. ("ACOF II") and Ares Corporate Opportunities Fund III, L.P. ("ACOF III" and together with ACOF II, the "ACOF Funds"), which are indirectly controlled by Ares. The Reporting Person is associated with Ares and the ACOF Funds. Pursuant to the policies of Ares and the ACOF Funds, the Reporting Person holds these securities as a nominee on behalf, and for the sole benefit, of Ares and the ACOF Funds and has assigned all economic, pecuniary and voting rights in respect of these securities to Ares. The amounts reported in this Form 4 do not include any securities of the Issuer held by the ACOF Funds. The Reporting Person disclaims beneficial ownership of such securities of the Issuer owned by the ACOF Funds and such securities of the Issuer issued to the Reporting Person, except to the extent of any pecuniary interest therein, and the filing of this Form 4 shall not be deemed an admission that the Reporting Person is the beneficial owner of or has any pecuniary interest in any such securities for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose. /s/Naseem Sagati for Daniel C. Lukas 2016-02-02