Carlyle Group Inc. - Mar 31, 2020 Form 4 Insider Report for CommScope Holding Company, Inc. (COMM)

Role
10%+ Owner
Signature
The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
Stock symbol
COMM
Transactions as of
Mar 31, 2020
Transactions value $
$0
Form type
4
Date filed
7/27/2022, 04:30 PM
Next filing
Aug 10, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction COMM Series A Convertible Preferred Stock Other +13.8K +1.38% 1.01M Mar 31, 2020 Common Stock 500K See Footnotes F1, F2, F3, F4
transaction COMM Series A Convertible Preferred Stock Other +13.9K +1.37% 1.03M Jun 30, 2020 Common Stock 507K See Footnotes F1, F2, F3, F4
transaction COMM Series A Convertible Preferred Stock Other +14.1K +1.37% 1.04M Sep 30, 2020 Common Stock 514K See Footnotes F1, F2, F3, F4
transaction COMM Series A Convertible Preferred Stock Other +14.3K +1.37% 1.06M Dec 31, 2021 Common Stock 521K See Footnotes F1, F2, F3, F4
transaction COMM Series A Convertible Preferred Stock Other +14.5K +1.37% 1.07M Mar 31, 2022 Common Stock 528K See Footnotes F1, F2, F3, F4
transaction COMM Series A Convertible Preferred Stock Other +14.7K +1.37% 1.09M Jun 30, 2022 Common Stock 535K See Footnotes F1, F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The number of shares of Common Stock of the Issuer deliverable upon conversion of each share of Series A Convertible Preferred Stock, par value $0.01 per share (the "Preferred Stock"), is initially equal to 36.3636 shares, subject to customary anti-dilution adjustments. The Preferred Stock is convertible at any time and has no stated maturity. The Preferred Stock will remain outstanding indefinitely unless converted, repurchased or redeemed by the Issuer. The Issuer may mandatorily convert the Preferred Stock into Common Stock at any time after the three-year anniversary of the issuance, if certain conditions are met.
F2 The reporting person received these shares of Series A Convertible Preferred Stock as a payment-in-kind dividend on the shares of Series A Convertible Preferred Stock owned on the dividend record date. Holders of the Series A Convertible Preferred Stock are entitled to a cumulative dividend at the rate of 5.5% per year, payable quarterly in arrears.
F3 Carlyle Partners VII S1 Holdings, L.P. is the record holder of the securities reported herein.
F4 The Carlyle Group Inc., which is a publicly traded entity listed on the Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the general partner of TC Group Sub L.P., which is the managing member of TC Group VII S1, L.L.C., which is the general partner of TC Group VII S1, L.P., which is the general partner of Carlyle Partners VII S1 Holdings, L.P.