Filing Details
- Accession Number:
- 0001209191-17-061435
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-17 16:03:36
- Reporting Period:
- 2017-11-17
- Accepted Time:
- 2017-11-17 16:03:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1520744 | Lumos Networks Corp. | LMOS | Telephone Communications (No Radiotelephone) (4813) | 800697274 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1554913 | Pamplona Capital Management, Llc | 375 Park Avenue 23Rd Floor New York NY 10152 | No | No | No | Yes | |
| 1554942 | Pamplona Capital Management, Llp | 25 Park Lane London X0 W1K 1RA | No | No | No | Yes | |
| 1650738 | Lumos Investment Holdings, Ltd. | C/O Mourant Ozannes, 94 Solaris Avenue Camana Bay, P.o. Box 1348 Grand Cayman E9 KY1-1108 | No | No | No | Yes | |
| 1650903 | Ltd Malta Investments Pe Pamplona | 5Th Floor Marina Business Centre Triq L-Abate Rigord Ta'Xbiex O1 XBX 1127 | No | No | No | Yes | |
| 1650912 | Pamplona Capital Partners Iv Lp | C/O Mourant Ozannes, 94 Solaris Avenue Camana Bay, P.o. Box 1348 Grand Cayman E9 KY1-1108 | No | No | No | Yes |
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 | Acquisiton | 2017-11-17 | 5,500,000 | $13.99 | 5,500,000 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2017-11-17 | 1,225,278 | $18.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-11-17 | 4,274,722 | $18.00 | 0 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Disposition | 2017-11-17 | 5,500,000 | $0.00 | 5,500,000 | $13.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-08-06 | 2022-08-06 | No | 4 | X | Indirect |
Footnotes
- Lumos Investment Holdings, Ltd. (the "Warrants Holder") was the direct beneficial owner of warrants (the "Warrants") to purchase up to 5,500,000 shares (subject to adjustment) of the common stock (the "Common Stock") of Lumos Networks Corp. (the "Company"). The Warrants, which may be net-share settled only, had an initial exercise price of $13.99 per share of Common Stock, which was subject to adjustment for certain anti-dilution events as set forth in the Warrants. The Warrants Holder and Pamplona Capital Partners IV LP directed the issuer to issue the shares of common stock issuable upon exercise of the Warrants to Pamplona Capital Partners IV LP. On the basis of relationships among Pamplona Capital Management, LLP, Pamplona Capital Partners IV LP, Pamplona PE Investments Malta Limited and Pamplona Capital Management, LLC (each a "Pamplona Entity", and, collectively, the "Pamplona Entities"), (continued in footnote 2)
- the Pamplona Entities may be deemed indirect beneficial owners of the Warrants, but each such Pamplona Entity disclaims beneficial ownership of the Warrants except to the extent of its pecuniary interest therein, if any. On the basis of relationships among the Pamplona Entities, each of Pamplona Capital Management, LLP, Pamplona PE Investments Malta Limited and Pamplona Capital Management, LLC may be deemed indirect beneficial owners of the common stock issued in connection with the exercise of the Warrants, but each such Pamplona Entity disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any.
- The Warrants Holder is the direct beneficial owner of the Warrants. On the basis of relationships among the reporting persons, the other reporting personsmay be deemed indirect beneficial owners of the Warrants, but each such other reporting person disclaims beneficial ownership of the Warrants except to theextent of its pecuniary interest therein, if any. Pursuant to the instructions of the Warrants Holder, the shares were issued to Pamplona Capital Partners IV LP.
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