0001213900-20-037795.txt : 20201117 0001213900-20-037795.hdr.sgml : 20201117 20201117180521 ACCESSION NUMBER: 0001213900-20-037795 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20201117 FILED AS OF DATE: 20201117 DATE AS OF CHANGE: 20201117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sacks Michael Jay CENTRAL INDEX KEY: 0001509764 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39716 FILM NUMBER: 201322281 MAIL ADDRESS: STREET 1: 900 NORTH MICHIGAN AVENUE STREET 2: SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GCM V, LLC CENTRAL INDEX KEY: 0001831172 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39716 FILM NUMBER: 201322282 BUSINESS ADDRESS: STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT STREET 2: 900 NORTH MICHIGAN AVENUE, SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: (312) 506-6500 MAIL ADDRESS: STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT STREET 2: 900 NORTH MICHIGAN AVENUE, SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grosvenor Holdings, L.L.C. CENTRAL INDEX KEY: 0001743987 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39716 FILM NUMBER: 201322283 BUSINESS ADDRESS: STREET 1: 900 NORTH MICHIGAN AVE STREET 2: SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312-506-6500 MAIL ADDRESS: STREET 1: 900 NORTH MICHIGAN AVE STREET 2: SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GCM Grosvenor Inc. CENTRAL INDEX KEY: 0001819796 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 900 NORTH MICHIGAN AVENUE STREET 2: SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312-506-6500 MAIL ADDRESS: STREET 1: 900 NORTH MICHIGAN AVENUE STREET 2: SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 3 1 ownership.xml OWNERSHIP DCOUMENT X0206 3 2020-11-17 0 0001819796 GCM Grosvenor Inc. GCMG 0001509764 Sacks Michael Jay C/O GCM GROSVENOR INC. 900 NORTH MICHIGAN AVENUE, SUITE 1100 CHICAGO IL 60611 1 1 1 0 Chief Executive Officer 0001831172 GCM V, LLC C/O GCM GROSVENOR INC. 900 NORTH MICHIGAN AVENUE, SUITE 1100 CHICAGO, IL 60611 0 0 1 0 0001743987 Grosvenor Holdings, L.L.C. C/O GCM GROSVENOR INC. 900 NORTH MICHIGAN AVENUE, SUITE 1100 CHICAGO, IL 60611 0 0 1 0 Class C Common Stock 144235246 I See footnotes Common Units Class A Common Stock 144235246 I See footnotes Warrants 11.50 2020-12-17 2025-11-17 Class A Common Stock 900000 I See footnotes The Issuer's Class C Common Stock will automatically be cancelled for no consideration upon any sale or other transfer of a share of the Issuer's Class A Common Stock issued as a result of any redemption or direct exchange of the Common Units of Grosvenor Capital Management Holdings, LLLP ("GCMH"). Represents securities held directly by GCM V, LLC ("GCM V"). The Common Units of GCMH may be redeemed by the Reporting Persons at any time for shares of the Issuer's Class A Common Stock on a one-to-one basis. The Common Units do not expire. Represents securities held directly by Grosvenor Holdings, L.L.C. ("Grosvenor Holdings"), Grosvenor Holdings II, L.L.C. ("Grosvenor Holdings II"), and GCM Grosvenor Management, LLC ("GCM Grosvenor Management"). Represents securities held direclty by Grosvenor Holdings. The Reporting Person is the ultimate managing member of each of GCM V, Grosvenor Holdings, Grosvenor Holdings II and GCM Grosvenor Management. Exhibit 24.1 - Power of Attorney. Exhibit 24.2 - Power of Attorney. Exhibit 24.3 - Power of Attorney. /s/ Rachel Haupt, Attorney-in-Fact for Michael J. Sacks 2020-11-17 /s/ Rachel Haupt, Attorney-in-Fact for GCM V, LLC 2020-11-17 /s/ Rachel Haupt, Attorney-in-Fact for Grosvenor Holdings, L.L.C. 2020-11-17 EX-24.1 2 ea130049ex24-1_gcmgrosvenor.htm POWER OF ATTORNEY

Exhibit 24.1

 

POWER OF ATTORNEY

 

With respect to holdings of and transactions in securities issued by GCM Grosvenor Inc. (the “Company”), the undersigned hereby constitutes and appoints the individual or individuals named on Schedule A attached hereto and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, to act as the undersigned’s true and lawful attorney-in-fact to:

 

1.prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the United States Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain and/or regenerate codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC;

 

2.execute for and on behalf of the undersigned, Forms 3, 4, and 5 in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder;

 

3.do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

4.take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorneys-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

 

The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.


       IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 2nd day of November, 2020.

 

  Signature: /s/ Michael J. Sacks
  Print Name:  Michael J. Sacks

 

 

 

 

Schedule A

 

Individual Appointed as Attorney-in-Fact with Full Power of Substitution and Resubstitution

 

1.Burke Montgomery
2.Rachel Haupt

 

 

 

 

 EX-24.2 3 ea130049ex24-2_gcmgrosvenor.htm POWER OF ATTORNEY

Exhibit 24.2

 

POWER OF ATTORNEY

 

With respect to holdings of and transactions in securities issued by GCM Grosvenor Inc. (the “Company”), the undersigned hereby constitutes and appoints the individual or individuals named on Schedule A attached hereto and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, to act as the undersigned’s true and lawful attorney-in-fact to:

 

1.prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the United States Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain and/or regenerate codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC;

 

2.execute for and on behalf of the undersigned, Forms 3, 4, and 5 in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder;

 

3.do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

4.take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorneys-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

 

The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 2nd day of November, 2020.

 

  GCM V, LLC
   
  By: MJS V LLC, as Member and successor Manager
   
  By: /s/ Michael J. Sacks
  Name:   Michael J. Sacks
  Title: Manager
     
  By: MICHAEL J. SACKS, as Manager
     
  By: /s/ Michael J. Sacks
  Name: Michael J. Sacks

 

 

 

 

Schedule A

 

Individual Appointed as Attorney-in-Fact with Full Power of Substitution and Resubstitution

 

1.Burke Montgomery
2.Rachel Haupt

 

 

 

 

 EX-24.3 4 ea130049ex24-3_gcmgrosvenor.htm POWER OF ATTORNEY

Exhibit 24.3

 

POWER OF ATTORNEY

 

With respect to holdings of and transactions in securities issued by GCM Grosvenor Inc. (the “Company”), the undersigned hereby constitutes and appoints the individual or individuals named on Schedule A attached hereto and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, to act as the undersigned’s true and lawful attorney-in-fact to:

 

1.prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the United States Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain and/or regenerate codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC;

 

2.execute for and on behalf of the undersigned, Forms 3, 4, and 5 in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder;

 

3.do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

4.take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorneys-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

 

The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.


       IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 2nd day of November, 2020.

 

  Grosvenor Holdings, L.L.C.
   
  By: MJS, LLC, as Manager Member
     
  By: /s/ Michael J. Sacks
  Name:   Michael J. Sacks
  Title: Managing Member
     
  By: MICHAEL J. SACKS, as Managing Member
     
  By: /s/ Michael J. Sacks
  Name: Michael J. Sacks

 

 

 

 

Schedule A

 

Individual Appointed as Attorney-in-Fact with Full Power of Substitution and Resubstitution

 

1.Burke Montgomery
2.Rachel Haupt