Mill Road Capital III, L.P. - 19 Oct 2021 Form 3 Insider Report for SUPERIOR INDUSTRIES INTERNATIONAL INC (SUP)

Role
10%+ Owner
Signature
/s/ Justin C. Jacobs, Management Committee Director of sole general partner on behalf of Mill Road Capital III, L.P.
Issuer symbol
SUP
Transactions as of
19 Oct 2021
Net transactions value
$0
Form type
3
Filing time
29 Oct 2021, 18:46:52 UTC
Next filing
29 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SUP Common Stock, $0.01 par value 2,611,666 19 Oct 2021 Direct F1

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
holding SUP Put options (obligation to buy) 19 Oct 2021 Common Stock 111,800 $12.50 Direct F1, F2
holding SUP Put options (obligation to buy) 19 Oct 2021 Common Stock 36,000 $10.00 Direct F1, F3
holding SUP Put options (obligation to buy) 19 Oct 2021 Common Stock 45,500 $7.50 Direct F1, F4
holding SUP Put options (obligation to buy) 19 Oct 2021 Common Stock 48,600 $7.50 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.
F2 Each put option became exercisable on the date purchased, which dates range from 6/8/2021 to 7/6/2021.
F3 Each put option became exercisable on the date purchased, which dates range from 8/25/2021 to 8/26/2021.
F4 Each put option became exercisable on the date purchased, which dates range from 9/20/2021 to 9/30/2021.