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Carlyle Group Inc. — Director's Dealing 2013
Dec 19, 2013
30240_dirs_2013-12-19_a97293fe-2b79-4b45-9c9e-e22a169111a1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: YRC Worldwide Inc. (YRCW)
CIK: 0000716006
Period of Report: 2013-12-17
Reporting Person: Carlyle Group Management L.L.C. (10% Owner)
Reporting Person: Carlyle Group L.P. (10% Owner)
Reporting Person: Carlyle Holdings I GP Inc. (10% Owner)
Reporting Person: Carlyle Holdings I GP Sub L.L.C. (10% Owner)
Reporting Person: Carlyle Holdings I L.P. (10% Owner)
Reporting Person: TC Group, LLC (10% Owner)
Reporting Person: TC Group Sub L.P. (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-17 | 10% Series A Convertible Senior Secured Notes due 2015 | $34.0059 | S | Disposed | 2015-03-31 | Common Stock (385209) | Indirect |
Footnotes
F1: Includes 10% Series A Convertible Senior Secured Notes due 2015 (the "Series A Notes") received as a payment-in-kind dividend since the Reporting Persons' Form 4 filed on May 29, 2013.
F2: Prior to the transactions reported herein, Carlyle Strategic Partners II, L.P. and CSP II Coinvestment, L.P. were the record holders of $12,659,402.61 and $408,674.15, respectively, in aggregate principal amount of Series A Notes, which are convertible into 372,270 and 12,939 shares of Common Stock, respectively.
F3: Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group L.P. is the sole shareholder of Carlyle Holdings I GP Inc., which is the managing member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group CSP II, L.L.C., which is the general partner of CSP II General Partner, L.P., which is the general partner of each of Carlyle Strategic Partners II, L.P. and CSP II Coinvestment, L.P.