Page 5 of 9 – SEC Filing Item 3. If This Statement Is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the Person Filing is a: Not Applicable. Item 4. Ownership. (a) Amount Beneficially Owned: 5,096,280* (b) Percent of Class: 5.7%* (c) Number of Shares as to which the person has: (i) sole power to vote or to direct the vote: 5,096,280* (ii) shared power to vote or to direct the vote 0 (iii) sole power to dispose or to direct the disposition of: 5,096,280* (iv) shared power to dispose or to direct the disposition of 0
* This Schedule 13G is being jointly filed by (i) PWAM, a Delaware limited liability company and the investment manager to (a) PWIMF, a Cayman Islands exempted company that is the holder of 3,746,312 shares of Common Stock of the Company and warrants to purchase up to 728,138 shares of Common Stock of the Company, as reported on this Schedule 13G, and (b) PWPI, a Cayman Islands exempted company that is the holder of 520,599 shares of Common Stock of the Company and warrants to purchase up to 101,231 shares of Common Stock of the Company, as reported on this Schedule 13G; and (ii) Mr. Park, as the sole member and manager of PWAM. The 4,266,911 shares of Common Stock of the Company and the 829,369 shares of Common Stock of the Company underlying the warrants held in the aggregate by the PW Funds, which constitute 5.7% of the shares of Common Stock of the Company deemed to be issued and outstanding as of June 22, 2016, may be deemed to be beneficially owned (x) indirectly by PWAM, as the investment adviser to PWIMF and PWPI, and (y) indirectly by Mr. Park, as the sole member and manager of PWAM. The foregoing beneficial ownership percentage is based upon 89,222,418 shares of Common Stock of the Company, issued and outstanding as of June 22, 2016, based on information reported by the Company in its Registration Statement on Form S-3 filed with the Securities and Exchange Commission on June 23, 2016. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ¨ Follow Nexeo Solutions Inc. (NASDAQ:NXEO)
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Item 3. If This Statement Is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the Person Filing is a:
Not Applicable.
Item 4. Ownership.
| (a) | Amount Beneficially Owned: | 5,096,280* | ||
| (b) | Percent of Class: | 5.7%* | ||
| (c) | Number of Shares as to which the person has: | |||
| (i) | sole power to vote or to direct the vote: | 5,096,280* | ||
| (ii) | shared power to vote or to direct the vote | 0 | ||
| (iii) | sole power to dispose or to direct the disposition of: | 5,096,280* | ||
| (iv) | shared power to dispose or to direct the disposition of | 0 | ||
* This Schedule 13G is being jointly filed by (i) PWAM, a Delaware limited liability company and the investment manager to (a) PWIMF, a Cayman Islands exempted company that is the holder of 3,746,312 shares of Common Stock of the Company and warrants to purchase up to 728,138 shares of Common Stock of the Company, as reported on this Schedule 13G, and (b) PWPI, a Cayman Islands exempted company that is the holder of 520,599 shares of Common Stock of the Company and warrants to purchase up to 101,231 shares of Common Stock of the Company, as reported on this Schedule 13G; and (ii) Mr. Park, as the sole member and manager of PWAM.
The 4,266,911 shares of Common Stock of the Company and the 829,369 shares of Common Stock of the Company underlying the warrants held in the aggregate by the PW Funds, which constitute 5.7% of the shares of Common Stock of the Company deemed to be issued and outstanding as of June 22, 2016, may be deemed to be beneficially owned (x) indirectly by PWAM, as the investment adviser to PWIMF and PWPI, and (y) indirectly by Mr. Park, as the sole member and manager of PWAM. The foregoing beneficial ownership percentage is based upon 89,222,418 shares of Common Stock of the Company, issued and outstanding as of June 22, 2016, based on information reported by the Company in its Registration Statement on Form S-3 filed with the Securities and Exchange Commission on June 23, 2016.
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ¨
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