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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Argand Partners, LP C/O CONCRETE PUMPING HOLDINGS, INC. 6461 DOWNING STREET DENVER, CO 80229 |
X | X | See below |
/s/ Joel Rubinstein, Attorney-in-Fact | 05/16/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | CFLL Holdings, LLC ("CFLL Holdings") purchased shares from the underwriters in connection with the Issuer's follow-on public offering of common stock at the public offering price pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended. |
(2) | CFLL Holdings is the beneficial owner of the shares reported herein. Howard D. Morgan, Heather L. Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of CFLL Holdings and each has individual voting and investment discretion with respect to the common stock held by CFLL Holdings. CFLL Holdings is 100% owned by funds managed by the Reporting Person, and as such the Reporting Person has voting and dispositive control over all of the securities held directly by CFLL Holdings. Investment decisions made by the Reporting Person require the unanimous approval of its investment committee, which is comprised of Messrs. Morgan and Osman and Ms. Faust. |
Remarks: The Reporting Person may be deemed director by deputization as a result of Heather Faust, Tariq Osman and Howard Morgan, each of whom is a Managing Director of the Reporting Person, serving on the board of directors of the Issuer. |