AI assistant
Wendy's Co — Director's Dealing 2007
Dec 27, 2007
31695_dirs_2007-12-26_cc374ecc-54bc-465d-a51a-2bcc69952f92.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Deerfield Capital Corp. (DFR)
CIK: 0001313918
Period of Report: 2007-12-21
Reporting Person: TRIARC COMPANIES INC (Director, See footnote 1.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-12-21 | Preferred Stock | A | 9629368 | — | Acquired | 9629368 | Indirect |
| 2007-12-21 | Common Stock | J | 123987 | — | Disposed | 205642 | Indirect |
Footnotes
F1: Mr. Peter W. May, the Vice Chairman of the board of directors, a director and a significant stockholder of Triarc Companies,
Inc. ("Triarc"), is a member of the board of directors of the Issuer. Triarc may be deemed to be a director of the Issuer
by deputization.
F2: On December 21, 2007, 9,629,368 shares of the Issuer's Series A Cumulative Convertible Preferred Stock were issued to Triarc
Deerfield Holdings, LLC ("TD Holdings"), a subsidiary of Triarc, as merger consideration payable by the Issuer to TD
Holdings in respect of TD Holdings' interests in Deerfield & Company LLC, pursuant to the Agreement and Plan of Merger dated
as of December 17, 2007, among the Issuer, DFR Merger Company, LLC, Deerfield & Company, LLC and Triarc.
F3: On December 21, 2007, Deerfield & Company LLC made a pro rata distribution for no consideration to its members (including TD
Holdings) of the 329,629 shares of the Issuer's common stock it had previously held. The 205,642 shares represent the
amount of shares distributed to TD Holdings in respect of its interests in Deerfield & Company LLC.