0001193125-17-200626.txt : 20170612 0001193125-17-200626.hdr.sgml : 20170612 20170612070556 ACCESSION NUMBER: 0001193125-17-200626 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170612 DATE AS OF CHANGE: 20170612 GROUP MEMBERS: COMMSCOPE, INC. GROUP MEMBERS: COMMSCOPE, INC. OF NORTH CAROLINA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HYDROGENICS CORP CENTRAL INDEX KEY: 0001119985 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INORGANIC CHEMICALS [2810] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60857 FILM NUMBER: 17904576 BUSINESS ADDRESS: STREET 1: 220 ADMIRAL BLVD STREET 2: - CITY: MISSISSAUGA L5T 2N6 STATE: A6 ZIP: 00000 BUSINESS PHONE: 9053613660 MAIL ADDRESS: STREET 1: 220 ADMIRAL BLVD STREET 2: - CITY: MISSISSAUGA L5T 2N6 STATE: A6 ZIP: 00000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CommScope Holding Company, Inc. CENTRAL INDEX KEY: 0001517228 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 274332098 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1100 COMMSCOPE PLACE, SE CITY: HICKORY STATE: NC ZIP: 28602 BUSINESS PHONE: 828-324-2200 MAIL ADDRESS: STREET 1: 1100 COMMSCOPE PLACE, SE CITY: HICKORY STATE: NC ZIP: 28602 SC 13D/A 1 d365042dsc13da.htm AMENDMENT NO. 13 TO SC 13D Amendment No. 13 to SC 13D

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 13)*

 

 

Hydrogenics Corporation

(Name of Issuer)

Common Shares

(Title of Class of Securities)

448883207

(CUSIP Number)

 

CommScope, Inc.

1100 CommScope Place, SE

Hickory, North Carolina 28602

(800) 324-2200

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

June 9, 2017

(Date of Event Which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ☐

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

 

 

 

*  The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 448883207  

 

  1.   

Names of Reporting Persons

 

CommScope Holding Company, Inc.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☒

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

619,386

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

619,386

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

619,386

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

13.  

Percent of Class Represented by Amount in Row (11)

 

4.9%

14.  

Type of Reporting Person (See Instructions)

 

CO


 

CUSIP No. 448883207  

 

  1.  

Names of Reporting Persons

 

CommScope, Inc.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☒

 

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

619,386

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

619,386

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

619,386

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

13.  

Percent of Class Represented by Amount in Row (11)

 

4.9%

14.  

Type of Reporting Person (See Instructions)

 

CO


 

 

CUSIP No. 448883207  

 

  1.  

Names of Reporting Persons

 

CommScope, Inc. of North Carolina

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☒

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

  6.  

Citizenship or Place of Organization

 

North Carolina

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

619,386

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

619,386

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

619,386

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

13.  

Percent of Class Represented by Amount in Row (11)

 

4.9%

14.  

Type of Reporting Person (See Instructions)

 

CO


EXPLANATORY NOTE

The following constitutes Amendment No. 13 (“Amendment No. 13”) to the statement on Schedule 13D previously filed by the undersigned with the Securities and Exchange Commission (the “SEC”) on August 17, 2010, as amended on October 1, 2010, April 4, 2011, July 1, 2011, May 16, 2014, November 4, 2014, February 12, 2015, March 12, 2015, April 21, 2016, March 20, 2017, April 18, 2017, May 11, 2017 and June 9, 2017 (as amended through the date hereof, the “Schedule 13D”). The Schedule 13D remains in full force and effect, except as specifically amended by this Amendment No. 13. The Schedule 13D is filed by CommScope Holding Company, Inc. (“Holding”), CommScope Inc., a Delaware corporation (“Parent”) and a wholly-owned subsidiary of Holding, and CommScope, Inc. of North Carolina, a North Carolina corporation and a wholly-owned subsidiary of Parent (“CommScope NC” and together with Holding and Parent, the “Reporting Persons”). The Schedule 13D relates to the common stock (the “Common Stock”) of Hydrogenics Corporation, a corporation existing under the laws of Canada (“Hydrogenics”).

 

Item 5. Interest in Securities of the Issuer

CommScope NC directly owns 619,386 shares of Common Stock, or 4.9% of the Common Stock outstanding. Each of Parent, as the owner of all the outstanding equity of CommScope NC, and Holding, as the owner of all the outstanding equity of Holding, may be deemed the beneficial owner of the shares of Common Stock held by CommScope NC.

Within the 60 days prior to the date hereof, CommScope NC entered into the transactions set forth in Schedule A, which scheduled is incorporated into this Item 5 by reference.

The percentage of Common Stock reported as beneficially owned by the Reporting Persons is based upon 12,547,567 shares of Common Stock outstanding as of March 31, 2017, as reported in Exhibit 99.2 to Hydrogenics’ Current Report on Form 6-K, filed with the SEC on May 12, 2017.

 

1


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

COMMSCOPE HOLDING COMPANY, INC.

6/12/17

Date

/s/ Mark A. Olson

Signature

 

Mark A. Olson

Executive Vice President and Chief Financial Officer

Name/Title

 

COMMSCOPE, INC.

6/12/17

Date

/s/ Mark A. Olson

Signature

 

Mark A. Olson

Executive Vice President and Chief Financial Officer

Name/Title

 

COMMSCOPE, INC. OF NORTH CAROLINA

6/12/17

Date

/s/ Mark A. Olson

Signature

 

Mark A. Olson

Executive Vice President and Chief Financial Officer

Name/Title

 

2


Schedule A

Set forth below is a list of open market transactions in shares of the Common Stock which have been effected by the Reporting Persons NC in the past 60 days. All such transactions were privately-negotiated transactions pursuant to brokers’ transactions, transactions with a market maker or in riskless principal transactions.

The prices reported below are weighted average prices. The shares were sold in multiple transactions at prices in the ranges reported below. The Reporting Persons undertake to provide to the Company, any security holder of the Company, 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 below.

 

Trade Date

   Entity      Purchase or Sale    Quantity      Weighted Average
Price
     Price Ranges  

4/11/17

     CommScope NC      Sale      15,350      $ 7.4438      $ 7.30 – $7.60  

4/12/17

     CommScope NC      Sale      11,315      $ 7.2115      $ 6.95 – $7.60  

4/13/17

     CommScope NC      Sale      6,241      $ 7.1140      $ 7.00 – $7.275  

4/17/17

     CommScope NC      Sale      3,100      $ 6.9813      $ 6.85 – $7.15  

4/18/17

     CommScope NC      Sale      1,855      $ 6.9244      $ 6.85 – $7.00  

4/19/17

     CommScope NC      Sale      2,208      $ 6.7837      $ 6.70 – $6.90  

4/20/17

     CommScope NC      Sale      2,900      $ 6.7181      $ 6.55 – $6.80  

4/21/17

     CommScope NC      Sale      5,450      $ 7.0427      $ 6.60 – $7.20  

4/24/17

     CommScope NC      Sale      3,698      $ 7.1681      $ 7.05 – $7.25  

4/25/17

     CommScope NC      Sale      9,142      $ 7.3042      $ 7.15 – $7.50  

4/26/17

     CommScope NC      Sale      15,700      $ 7.0880      $ 6.95 – $7.40  

4/27/17

     CommScope NC      Sale      9,061      $ 6.9391      $ 6.55 – $7.15  

4/28/17

     CommScope NC      Sale      13,021      $ 7.4341      $ 7.30 – $7.90  

5/1/17

     CommScope NC      Sale      10,156      $ 7.5614      $ 7.30 – $7.70  

5/2/17

     CommScope NC      Sale      13,701      $ 7.4309      $ 7.30 – $7.55  

5/3/17

     CommScope NC      Sale      11,082      $ 7.2253      $ 7.05 – $7.65  

5/4/17

     CommScope NC      Sale      7,383      $ 6.7876      $ 6.60 – $7.10  

5/5/17

     CommScope NC      Sale      8,476      $ 6.7587      $ 6.70 – $6.85  

5/8/17

     CommScope NC      Sale      2,420      $ 6.7603      $ 6.70 – $6.90  

5/9/17

     CommScope NC      Sale      6,852      $ 6.7150      $ 6.65 – $6.90  

5/10/17

     CommScope NC      Sale      4,096      $ 6.6421      $ 6.55 – $6.70  

5/11/17

     CommScope NC      Sale      5,800      $ 6.5198      $ 6.45 – $6.575  

5/12/17

     CommScope NC      Sale      12,012      $ 6.9394      $ 6.50 – $7.25  

5/15/17

     CommScope NC      Sale      8,645      $ 7.2534      $ 7.15 – $7.45  

5/16/17

     CommScope NC      Sale      8,697      $ 7.4977      $ 7.25 – $7.70  

5/17/17

     CommScope NC      Sale      5,850      $ 7.4194      $ 7.25 – $7.65  

5/18/17

     CommScope NC      Sale      5,200      $ 7.0529      $ 6.85 – $7.35  

5/19/17

     CommScope NC      Sale      3,058      $ 7.2496      $ 7.05 – $7.35  

5/22/17

     CommScope NC      Sale      400      $ 7.1625      $ 7.1625  

5/23/17

     CommScope NC      Sale      2,900      $ 7.0877      $ 7.00 – $7.20  

5/24/17

     CommScope NC      Sale      2,531      $ 7.1197      $ 7.05 – $7.30  

5/25/17

     CommScope NC      Sale      1,700      $ 7.0647      $ 7.00 – $7.10  

5/26/17

     CommScope NC      Sale      1,699      $ 7.0705      $ 7.05 – $7.15  

5/30/17

     CommScope NC      Sale      6,121      $ 6.9935      $ 6.90 – $7.15  

5/31/17

     CommScope NC      Sale      3,200      $ 6.9469      $ 6.90 – $7.15  

6/1/17

     CommScope NC      Sale      1,720      $ 7.1102      $ 6.95 – $7.25  

6/2/17

     CommScope NC      Sale      8,215      $ 7.4827      $ 7.25 – $7.55  

6/5/17

     CommScope NC      Sale      24,464      $ 7.8332      $ 7.40 – $8.05  

6/6/17

     CommScope NC      Sale      5,700      $ 7.8035      $ 7.70 – $7.90  

6/7/17

     CommScope NC      Sale      9,075      $ 7.4512      $ 7.00 – $7.75  

6/8/17

     CommScope NC      Sale      76,769      $ 8.6449      $ 8.00 – $9.20  

6/9/17

     CommScope NC      Sale      44,631      $ 9.2234      $ 8.70 – $9.575