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CACG Legg Mason ETF Investment Trust ClearBridge All Cap Growth ESG

53.3898
0.00 (0.00%)
Last Updated: 01:00:00
Delayed by 15 minutes
Name Symbol Market Type
Legg Mason ETF Investment Trust ClearBridge All Cap Growth ESG NASDAQ:CACG NASDAQ Exchange Traded Fund
  Price Change % Change Price Bid Price Offer Price High Price Low Price Open Price Traded Last Trade
  0.00 0.00% 53.3898 46.05 61.25 0 01:00:00

Initial Statement of Beneficial Ownership (3)

25/07/2014 8:16pm

Edgar (US Regulatory)


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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Tempus Intermediate Holdings, LLC

2. Date of Event Requiring Statement (MM/DD/YYYY)
7/15/2014 

3. Issuer Name and Ticker or Trading Symbol

Chart Acquisition Corp. [CACG]

(Last)        (First)        (Middle)

133 WALLER MILL ROAD, SUITE 400

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

WILLIAMSBURG, VA 23185       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ 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)
No securities beneficially owned   (1) (2) 0   I   See Footnote   (1) (2)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: 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

Explanation of Responses:
( 1)  Tempus Intermediate Holdings, LLC, John G. Gulbin III and Benjamin Scott Terry are filing this Form 3 solely because they may be deemed beneficial owners pursuant to Section 13(d) of the Securities and Exchange Act of 1934, as amended, of 1,766,250 shares of common stock, par value $0.0001 per share of Chart Acquisition Corp. (the "Shares"). The 1,766,250 shares of common stock of Chart Acquisition Corp. are subject to a Supporting Stockholder Agreement dated as of July 15, 2014 between Tempus Intermediate Holdings, LLC, John G. Gulbin III and Benjamin Scott Terry and the stockholders of Chart Acquisition Corp. named therein. The Supporting Stockholder Agreement was entered into in connection with the Equity Transfer and Acquisition Agreement dated as of July 15, 2014, between Tempus Intermediate Holdings, LLC, John G. Gulbin III, Benjamin Scott Terry and Chart Acquisition Corp. and the other persons named therein.
( 2)  For additional information regarding the Supporting Stockholder Agreement and the Equity Transfer and Acquisition Agreement, see the Schedule 13D filed by Tempus Intermediate Holdings, LLC, John G. Gulbin III and Benjamin Scott Terry with the Securities and Exchange Commission on July 25, 2014. Tempus Intermediate Holdings, LLC, John G. Gulbin III and Benjamin Scott Terry each disclaim beneficial ownership of the 1,766,250 shares of common stock, par value $0.0001 per share of Chart Acquisition Corp. referenced herein and this filing shall not be deemed an admission that Tempus Intermediate Holdings, LLC, John G. Gulbin III and Benjamin Scott Terry are the beneficial owners of such Shares for purposes of Section 16 or Section 13(d) of the Securities and Exchange Act of 1934, as amended or for any other purposes. Neither Tempus Intermediate Holdings, LLC, nor Messrs. Gulbin or Terry has a pecuniary interest in the Shares.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Tempus Intermediate Holdings, LLC
133 WALLER MILL ROAD, SUITE 400
WILLIAMSBURG, VA 23185

X

Gulbin John George III
133 WALLER MILL ROAD, SUITE 400
WILLIAMSBURG, VA 23185

X

Terry Benjamin Scott
133 WALLER MILL ROAD, SUITE 400
WILLIAMSBURG, VA 23185

X


Signatures
/s/ John G. Gulbin, III, Manager 7/25/2014
** Signature of Reporting Person Date

/s/ John G. Gulbin III 7/25/2014
** Signature of Reporting Person Date

/s/ Benjamin Scott Terry 7/25/2014
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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