Filing Details

Accession Number:
0001104659-15-071443
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-10-19 20:27:17
Reporting Period:
2015-10-15
Filing Date:
2015-10-19
Accepted Time:
2015-10-19 20:27:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1641614 Cpi Card Group Inc. PMTS Short-Term Business Credit Institutions (6153) 260344657
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1655148 Tricor Pacific Capital Partners (Fund Iv), Ulc C/O Tricor Pacific Capital
One Westminster Place, Suite 100
Lake Forest IL 60045
No No Yes No
1655154 Tricor Pacific Capital Partners (Fund Iv) U.s., Lp C/O Tricor Pacific Capital
One Westminster Place, Suite 100
Lake Forest IL 60045
No No Yes No
1655155 Tricor Pacific Capital Partners (Fund Iv), Lp C/O Tricor Pacific Capital
One Westminster Place, Suite 100
Lake Forest IL 60045
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2015-10-15 1,899,605 $9.50 32,794,131 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
Footnotes
  1. 1,194,523 shares reported on this line were sold by Tricor Pacific Capital Partners (Fund IV), LP to the underwriters in the initial public offering of CPI Card Group Inc. (the "Company"). Following such sale, Tricor Pacific Capital Partners (Fund IV), LP holds 20,621,843 shares of common stock of the Company. 705,082 shares reported on this line were sold by Tricor Pacific Capital Partners (Fund IV) US, LP to the underwriters in the initial public offering of the Company. Following such sale, Tricor Pacific Capital Partners (Fund IV) US, LP holds 12,172,288 shares of common stock of the Company. Each of Tricor Pacific Capital Partners (Fund IV), LP and Tricor Pacific Capital Partners (Fund IV) US, LP (together, the "Tricor Funds") is managed by Tricor Pacific Capital Partners (Fund IV), ULC, as the general partner.
  2. Bradley Seaman, David Rowntree, J. Trevor Johnstone and Roderick Senft are the sole members of an investment committee of the Tricor Funds that has the power to vote or dispose of the shares held by the Tricor Funds. Each member of the investment committee expressly disclaims any beneficial ownership of any shares of common stock held by the Tricor Funds.