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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Lumos Networks Corp. (MM) | NASDAQ:LMOS | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 17.98 | 17.86 | 20.50 | 0 | 01:00:00 |
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Pamplona Capital Partners IV LP |
2. Issuer Name
and
Ticker or Trading Symbol
Lumos Networks Corp. [ LMOS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __ X __ Other (specify below) See Remarks |
C/O MOURANT OZANNES, 94 SOLARIS AVENUE, CAMANA BAY, P.O. BOX 1348 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
GRAND CAYMAN, E9 KY1-1108 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/17/2017 | X (1) (2) | 5500000 | A | $13.99 | 5500000 | D (1) (2) | |||
Common Stock | 11/17/2017 | S | 1225278 | D | $18.00 | 0 (1) (2) | D (1) (2) | |||
Common Stock | 11/17/2017 | F | 4274722 | D | $18.00 | 0 (1) (2) | D (1) (2) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $13.99 | 11/17/2017 | X | 5500000 (1) (2) | 8/6/2015 | 8/6/2022 | Common Stock | 5500000 (1) (2) | $0.00 | 0 | I | See footnote (3) |
Remarks:
On August 6, 2015, Mr. William M. Pruellage, a partner at Pamplona Capital Management, LLC, and Mr. Peter D. Aquino, the founder of Broad Valley Capital LLC, each became a director of the Company. On the basis of the relationships among and between the reporting persons and Mr. Pruellage, each of the reporting persons may be considered a director of the Company on the basis of having deputized Mr. Pruellage to serve as a director of the Company. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Pamplona Capital Partners IV LP
C/O MOURANT OZANNES, 94 SOLARIS AVENUE CAMANA BAY, P.O. BOX 1348 GRAND CAYMAN, E9 KY1-1108 |
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|
See Remarks | |
Pamplona Capital Management, LLP
25 PARK LANE LONDON, X0 W1K 1RA |
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See Remarks | |
Pamplona PE Investments Malta Ltd
5TH FLOOR MARINA BUSINESS CENTRE TRIQ L-ABATE RIGORD TA'XBIEX, O1 XBX 1127 |
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|
See Remarks | |
Lumos Investment Holdings, Ltd.
C/O MOURANT OZANNES, 94 SOLARIS AVENUE CAMANA BAY, P.O. BOX 1348 GRAND CAYMAN, E9 KY1-1108 |
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|
See Remarks | |
Pamplona Capital Management, LLC
375 PARK AVENUE 23RD FLOOR NEW YORK, NY 10152 |
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See Remarks |
Signatures
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||
/s/ Ana Bela Vieira Armstrong, Authorised Signatory | 11/17/2017 | |
** Signature of Reporting Person |
Date
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/s/ Ana Bela Vieira Armstrong, Authorised Signatory | 11/17/2017 | |
** Signature of Reporting Person |
Date
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/s/ Raymond Busuttil, Director | 11/17/2017 | |
** Signature of Reporting Person |
Date
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/s/ Ana Bela Vieira Armstrong, Authorised Signatory | 11/17/2017 | |
** Signature of Reporting Person |
Date
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/s/ Steve Gauci, Director of Pamplona PE Investments US Limited as Managing Member of Pamplona Capital Management LLC | 11/17/2017 | |
** 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 4(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. |
1 Year Lumos Networks Corp. (MM) Chart |
1 Month Lumos Networks Corp. (MM) Chart |
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