0001062993-24-008402.txt : 20240415 0001062993-24-008402.hdr.sgml : 20240415 20240415135104 ACCESSION NUMBER: 0001062993-24-008402 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240405 FILED AS OF DATE: 20240415 DATE AS OF CHANGE: 20240415 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Parallel49 Equity, ULC CENTRAL INDEX KEY: 0001655148 ORGANIZATION NAME: STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37584 FILM NUMBER: 24844142 BUSINESS ADDRESS: STREET 1: 225 EAST DEERPATH ROAD, SUITE 200 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 847-651-2252 MAIL ADDRESS: STREET 1: 225 EAST DEERPATH ROAD, SUITE 200 CITY: LAKE FOREST STATE: IL ZIP: 60045 FORMER NAME: FORMER CONFORMED NAME: Tricor Pacific Capital Partners (Fund IV), ULC DATE OF NAME CHANGE: 20151007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tricor Pacific Capital Partners (Fund IV), LP CENTRAL INDEX KEY: 0001655155 ORGANIZATION NAME: STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37584 FILM NUMBER: 24844140 BUSINESS ADDRESS: STREET 1: C/O PARALLEL49 EQUITY STREET 2: 225 EAST DEERPATH ROAD, SUITE 200 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 847-295-4239 MAIL ADDRESS: STREET 1: C/O PARALLEL49 EQUITY STREET 2: 225 EAST DEERPATH ROAD, SUITE 200 CITY: LAKE FOREST STATE: IL ZIP: 60045 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tricor Pacific Capital Partners (Fund IV) U.S., LP CENTRAL INDEX KEY: 0001655154 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37584 FILM NUMBER: 24844141 BUSINESS ADDRESS: STREET 1: C/O PARALLEL49 EQUITY STREET 2: 225 EAST DEERPATH ROAD, SUITE 200 CITY: LAKE FOREST STATE: CO ZIP: 60045 BUSINESS PHONE: 847-295-4239 MAIL ADDRESS: STREET 1: C/O PARALLEL49 EQUITY STREET 2: 225 EAST DEERPATH ROAD, SUITE 200 CITY: LAKE FOREST STATE: CO ZIP: 60045 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CPI Card Group Inc. CENTRAL INDEX KEY: 0001641614 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL PRINTING [2750] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 260344657 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10368 WEST CENTENNIAL RD CITY: LITTLETON STATE: CO ZIP: 80127 BUSINESS PHONE: 720-681-6304 MAIL ADDRESS: STREET 1: 10368 WEST CENTENNIAL RD CITY: LITTLETON STATE: CO ZIP: 80127 FORMER COMPANY: FORMER CONFORMED NAME: CPI Holdings I, Inc. DATE OF NAME CHANGE: 20150506 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2024-04-05 0001641614 CPI Card Group Inc. PMTS 0001655148 Parallel49 Equity, ULC 225 EAST DEERPATH ROAD, SUITE 200 LAKE FOREST IL 60045 0 0 1 0 0001655154 Tricor Pacific Capital Partners (Fund IV) U.S., LP 225 EAST DEERPATH ROAD, SUITE 200 LAKE FOREST IL 60045 0 0 1 0 0001655155 Tricor Pacific Capital Partners (Fund IV), LP 225 EAST DEERPATH ROAD, SUITE 200 LAKE FOREST IL 60045 0 0 1 0 0 Common Stock 2024-04-05 4 S 0 244314 18.026 D 6314511 I See footnote The shares were repurchased pursuant to that certain Stock Repurchase Agreement between Reporting Person and Issuer dated December 6, 2023. On December 18, 2017, Issuer filed with the Secretary of State of the State of Delaware a Certificate of Amendment to the Company's Third Amended and Restated Certificate of Incorporation to effect a one-for-five (1-for-5) reverse stock split as of December 20, 2017. The most recent Form 4 filed by Reporting Person dated October 15, 2015 reflected 32,794,131 pre-split shares, allocated to Tricor Pacific Capital Partners (Fund IV), LP and Tricor Pacific Capital Partners (Fund IV) US, LP in the amounts of 20,621,843 and 12,172,288, respectively, which equated to 4,124,368 and 2,434,457 post-split shares, respectively, or 6,558,825 post-split shares in the aggregate. 153,631 shares reported on this line were sold by Tricor Pacific Capital Partners (Fund IV), LP, following which sale, Tricor Pacific Capital Partners (Fund IV), LP holds 3,970,737 shares of common stock of the Company. 90,683 shares reported on this line were sold by Tricor Pacific Capital Partners (Fund IV) US, LP, following which sale, Tricor Pacific Capital Partners (Fund IV) US, LP holds 2,343,774 shares of common stock of the Company. Each of Tricor Pacific Capital Partners (Fund IV), LP and Tricor Pacific Capital Partners (Fund IV) US, LP (together, the "Tricor Funds") is managed by Parallel49 Equity, ULC (formerly Tricor Pacific Capital Partners (Fund IV), ULC), as the general partner. Bradley Seaman, David Rowntree, J. Trevor Johnstone and Roderick Senft are the sole members of an investment committee of the Tricor Funds that has the power to vote or dispose of the shares held by the Tricor Funds. Each member of the investment committee expressly disclaims any beneficial ownership of any shares of common stock held by the Tricor Funds. /s/ Parallel49 Equity, ULC By: John Westerman, Managing Director 2024-04-15 /s/ Tricor Pacific Capital Partners (Fund IV), LP By: Parallel49 Equity, ULC, its General Partner By: John Westerman, Managing Director 2024-04-15 /s/ Tricor Pacific Capital Partners (Fund IV) US, LP By: Parallel49 Equity, ULC, its General Partner By: John Westerman, Managing Director 2024-04-15