SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
MILLS KAREN G

(Last) (First) (Middle)
C/O CLARIVATE PLC
FRIARS HOUSE, 160 BLACKFRIARS ROAD

(Street)
LONDON X0 SE1 8EZ

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/30/2020
3. Issuer Name and Ticker or Trading Symbol
CLARIVATE Plc [ CCC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares 8,856 D
Ordinary Shares 129,140 I By Mills Family I LLC(1)
Ordinary Shares 129,139 I By K and BM LP(2)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants (right to buy) (3) (4) Ordinary Shares 137,000 $11.5 I By Mills Family I LLC(5)
Warrants (right to buy) (3) (4) Ordinary Shares 137,000 $11.5 I By K and BM LP(6)
Explanation of Responses:
1. Ms. Mills is the managing member of Mills Family I LLC. In such capacity, Ms. Mills has voting and investment power over these shares.
2. Ms. Mills is the general partner of K & BM LP. In such capacity, Ms. Mills has voting and investment power over these shares.
3. Refer to Section 3.3 of the Warrant Agreement available at: https://www.sec.gov/Archives/edgar/data/1744895/000157104918000445/tv498383_ex4-4.htm
4. Refer to Section 3.2 of the Warrant Agreement available at: https://www.sec.gov/Archives/edgar/data/1744895/000157104918000445/tv498383_ex4-4.htm
5. Ms. Mills is the managing member of Mills Family I LLC. In such capacity, Ms. Mills has voting and investment power over these warrants.
6. Ms. Mills is the general partner of K & BM LP. In such capacity, Ms. Mills has voting and investment power over these warrants.
Remarks:
Clarivate Plc currently qualifies as a foreign private issuer ("FPI") and the directors, officers and shareholders of Clarivate Plc are currently exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 3a12-3(b) thereunder. As such, this is an informational and voluntary report only, which shall not be deemed an admission that the filing person is required to report beneficial ownership of and transactions in Clarivate Plc securities, or that the filing person is subject to any liabilities or duties under Section 16. Clarivate Plc anticipates that it will no longer retain FPI status after December 31, 2020.
/s/ Stephen Hartman, attorney-in-fact 12/30/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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