Carlyle Group Inc. - 31 Mar 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
Issuer symbol: COMM
Transactions as of: 31 Mar 2020
Net transactions value: $0
Form type: 4
Filing time: 27 Jul 2022, 16:30:25 UTC
Next filing: 10 Aug 2021
SEC: View on sec.gov

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		+13,750	+1.4%		1,013,750	31 Mar 2020	Common Stock	500,000		See Footnotes	F1, F2, F3, F4
transaction	COMM	Series A Convertible Preferred Stock	Other		+13,939	+1.4%		1,027,689	30 Jun 2020	Common Stock	506,872		See Footnotes	F1, F2, F3, F4
transaction	COMM	Series A Convertible Preferred Stock	Other		+14,130	+1.4%		1,041,819	30 Sep 2020	Common Stock	513,818		See Footnotes	F1, F2, F3, F4
transaction	COMM	Series A Convertible Preferred Stock	Other		+14,325	+1.4%		1,056,144	31 Dec 2021	Common Stock	520,909		See Footnotes	F1, F2, F3, F4
transaction	COMM	Series A Convertible Preferred Stock	Other		+14,521	+1.4%		1,070,665	31 Mar 2022	Common Stock	528,036		See Footnotes	F1, F2, F3, F4
transaction	COMM	Series A Convertible Preferred Stock	Other		+14,721	+1.4%		1,085,386	30 Jun 2022	Common Stock	535,309		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.