UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stevens Brent M C/O CONCRETE PUMPING HOLDINGS, INC. 6461 DOWNING STREET DENVER, CO 80229 |
X | X | ||
BBCP INVESTORS, LLC C/O PENINSULA PACIFIC 10250 CONSTELLATION BLVD, SUITE 2230 LOS ANGELES, CA 90067 |
X | |||
PGP Investors, LLC 10250 CONSTELLATION BLVD. SUITE 2230 LOS ANGELES, CA 90067 |
X |
/s/ M. Brent Stevens | 12/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ M. Brent Stevens, Manager of PGP Advisors, LLC, manager of PGP Manager, LLC, manager of PGP Investors, LLC, sole member of BBCP Investors, LLC | 12/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ M. Brent Stevens, Manager of PGP Advisors, LLC, manager of PGP Manager, LLC, manager of PGP Investors, LLC | 12/17/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The securities are held directly by BBCP Investors, LLC ("BBCP"), which is wholly owned by PGP Investors, LLC. M. Brent Stevens is the Manager of PGP Advisors, LLC, which is the manager of PGP Manager, LLC, which is the manager of PGP Investors, LLC. Mr. Stevens has the power to vote and dispose the securities, and thus may be deemed to beneficially own the securities held by BBCP. Mr. Stevens and the other entities disclaim beneficial ownership of such securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that Mr. Stevens or any entity is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |
Remarks: See Exhibit 24.1 - Power of Attorney |