Filing Details

Accession Number:
0001193125-19-062609
Form Type:
13D Filing
Publication Date:
2019-03-04 17:09:33
Filed By:
Saieh Bendeck Alvaro
Company:
Itau Corpbanca (NYSE:ITCB)
Filing Date:
2019-03-04
SEC Url:
13D Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Alvaro Saieh Bendeck 169,754,098,464 0 169,754,098,464 0 169,754,098,464 33.13%
CorpGroup Banking S.A 148,835,852,909 0 148,835,852,909 0 148,835,852,909 29.05%
Compa a Inmobiliaria y de Inversiones SAGA SpA 20,918,245,555 0 20,918,245,555 0 20,918,245,555 4.08%
CorpGroup Holding Inversiones Limitada 169,754,098,464 0 169,754,098,464 0 169,754,098,464 33.13%
CorpGroup Inversiones Limitada 169,754,098,464 0 169,754,098,464 0 169,754,098,464 33.13%
CorpGroup Financial S.A 148,835,852,909 0 148,835,852,909 0 148,835,852,909 29.05%
CorpGroup Holding Inversiones Limitada Sociedad en Comandita por Acciones 148,835,852,909 0 148,835,852,909 0 148,835,852,909 29.05%
CorpGroup Interhold SpA (f k a Inversiones CorpGroup Interhold Limitada) 148,835,852,909 0 148,835,852,909 0 148,835,852,909 29.05%
Inversiones GASA Limitada 20,918,245,555 0 20,918,245,555 0 20,918,245,555 4.08%
Filing

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 6)*

 

 

Itaú CorpBanca

(Name of Issuer)

Common Shares, no par value

(Title of Class of Securities)

21987A209 (Sponsored ADR)**

(CUSIP Number)

David L. Williams

Simpson Thacher & Bartlett LLP

425 Lexington Avenue

New York, New York 10017

Tel: (212) 455-2000

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

October 12, 2018

(Date of Event Which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because § 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g) check the following box  ☐.

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7(b) for other parties to whom copies are to be sent.

 

 

 

*

The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

**

This CUSIP applies to the American Depositary Shares, evidenced by American Depositary Receipts, each representing 1,500 common shares.

The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 21987A209 (Sponsored ADRs)

 

  1       

NAMES OF REPORTING PERSONS

 

Alvaro Saieh Bendeck

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

    169,754,098,464

     8   

SHARED VOTING POWER

 

    0

     9   

SOLE DISPOSITIVE POWER

 

    169,754,098,464

   10     

SHARED DISPOSITIVE POWER

 

    0

11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    169,754,098,464

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    33.13%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    IN

    

 

2


CUSIP No. 21987A209 (Sponsored ADRs)

 

  1       

NAMES OF REPORTING PERSONS

 

CorpGroup Banking S.A.

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO, BK

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7    

SOLE VOTING POWER

 

    148,835,852,909

    
     8   

SHARED VOTING POWER

 

    0

    
     9   

SOLE DISPOSITIVE POWER

 

    148,835,852,909

    
   10     

SHARED DISPOSITIVE POWER

 

    0

    
11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    148,835,852,909

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    29.05%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

3


CUSIP No. 21987A209 (Sponsored ADRs)

 

  1       

NAMES OF REPORTING PERSONS

 

Compañía Inmobiliaria y de Inversiones SAGA SpA

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    20,918,245,555

    
     8   

SHARED VOTING POWER

 

    0

    
     9   

SOLE DISPOSITIVE POWER

 

    20,918,245,555

    
   10   

SHARED DISPOSITIVE POWER

 

    0

    
11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    20,918,245,555

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    4.08%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

4


CUSIP No. 21987A209 (Sponsored ADRs)

 

  1       

NAMES OF REPORTING PERSONS

 

CorpGroup Holding Inversiones Limitada

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    169,754,098,464

    
     8   

SHARED VOTING POWER

 

    0

    
     9   

SOLE DISPOSITIVE POWER

 

    169,754,098,464

    
   10   

SHARED DISPOSITIVE POWER

 

    0

    
11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    169,754,098,464

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    33.13%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

5


CUSIP No. 21987A209 (Sponsored ADRs)

 

  1       

NAMES OF REPORTING PERSONS

 

CorpGroup Inversiones Limitada

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    169,754,098,464

    
     8   

SHARED VOTING POWER

 

    0

    
     9   

SOLE DISPOSITIVE POWER

 

    169,754,098,464

    
   10   

SHARED DISPOSITIVE POWER

 

    0

    
11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    169,754,098,464

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    33.13%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

6


CUSIP No. 21987A209 (Sponsored ADRs)  

 

  1       

NAMES OF REPORTING PERSONS

 

CorpGroup Financial S.A.

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    148,835,852,909

     8   

SHARED VOTING POWER

 

    0

     9   

SOLE DISPOSITIVE POWER

 

    148,835,852,909

   10   

SHARED DISPOSITIVE POWER

 

    0

11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    148,835,852,909

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    29.05%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

7


CUSIP No. 21987A209 (Sponsored ADRs)  

 

  1       

NAMES OF REPORTING PERSONS

 

CorpGroup Holding Inversiones Limitada Sociedad en Comandita por Acciones

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    148,835,852,909

     8   

SHARED VOTING POWER

 

    0

     9   

SOLE DISPOSITIVE POWER

 

    148,835,852,909

   10   

SHARED DISPOSITIVE POWER

 

    0

11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    148,835,852,909

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    29.05%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

8


CUSIP No. 21987A209 (Sponsored ADRs)  

 

  1       

NAMES OF REPORTING PERSONS

 

CorpGroup Interhold SpA (f/k/a Inversiones CorpGroup Interhold Limitada)

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    148,835,852,909

     8   

SHARED VOTING POWER

 

    0

     9   

SOLE DISPOSITIVE POWER

 

    148,835,852,909

   10   

SHARED DISPOSITIVE POWER

 

    0

11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    148,835,852,909

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    29.05%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

9


CUSIP No. 21987A209 (Sponsored ADRs)  

 

  1       

NAMES OF REPORTING PERSONS

 

Inversiones GASA Limitada

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

 

    
  3  

SEC USE ONLY

 

    
  4  

SOURCE OF FUNDS (See Instructions)

 

    OO

    
  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)    ☐

 

    
  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Chile

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

     7      

SOLE VOTING POWER

 

    20,918,245,555

     8   

SHARED VOTING POWER

 

    0

     9   

SOLE DISPOSITIVE POWER

 

    20,918,245,555

   10   

SHARED DISPOSITIVE POWER

 

    0

11      

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    20,918,245,555

    
12  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☒

 

    
13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

    4.08%

    
14  

TYPE OF REPORTING PERSON (See Instructions)

 

    CO

    

 

10


This Amendment No. 6 supplements and amends the Schedule 13D filed on May 29, 2014 by the Reporting Persons (as defined below), as amended on June 24, 2014, as amended on August 25, 2014, as amended on June 26, 2015, as amended on April 19, 2016, as amended on January 27, 2017 (as so amended, the Schedule 13D), relating to the Common Shares, no par value per share (the Common Stock), of Itaú CorpBanca, a company formed under the laws of the Republic of Chile (the Issuer). Each Item below amends and supplements the information disclosed under the corresponding Item of the Schedule 13D. Unless otherwise indicated herein, capitalized terms used but not defined in this Amendment No. 6 shall have the same meanings herein as are ascribed to such terms in the Schedule 13D.

This statement is being filed by (collectively, the Reporting Persons):

(i) Alvaro Saieh Bendeck, a citizen of the Republic of Chile;

(ii) CorpGroup Banking S.A., a company formed under the laws of the Republic of Chile (CGB);

(iii) Compañía Inmobiliaria y de Inversiones SAGA SpA, a company formed under the laws of the Republic of Chile (Saga);

(iv) CorpGroup Holding Inversiones Limitada, a company formed under the laws of the Republic of Chile;

(v) CorpGroup Inversiones Limitada, a company formed under the laws of the Republic of Chile;

(vi) CorpGroup Financial S.A., a company formed under the laws of the Republic of Chile;

(vii) CorpGroup Holding Inversiones Limitada Sociedad en Comandita por Acciones, a company formed under the laws of the Republic of Chile;

(viii) Corpgroup Interhold SpA (f/k/a Inversiones CorpGroup Interhold Limitada), a company formed under the laws of the Republic of Chile; and

(ix) Inversiones GASA Limitada, a company formed under the laws of the Republic of Chile.

 

Item 4.

Purpose of Transaction.

Item 4 of the Schedule 13D is hereby amended by adding the following at the end thereof:

On September 15, 2017, CGB sold to ITB Holding Brasil Participações Ltda. (ITB), a subsidiary of Itaú Unibanco Holding S.A., all of the issued and outstanding shares of CGB III SpA, a sociedad por acciones organized under the laws of Chile (CBG III), which holds, as its sole assets, 1,800,000,000 shares of Common Stock. The sale described herein was for an aggregate sales price of CL$11,161,341,882.00, pursuant to the terms of a Share Purchase Agreement between the parties dated as of September 13, 2017 (the 2017 Share Purchase Agreement). CGB sold the shares of CGB III in accordance with the terms of the Itaú Shareholders Agreement, pursuant to which CGB had validly exercised a put option to sell such shares to ITB. In accordance with the terms of the 2017 Share Purchase Agreement and the Itaú Shareholders Agreement, CGB will be entitled to repurchase such shares from ITB at any time and from time to time until August 4, 2022 at an agreed upon formula price (the 2017 Repurchase Right).

On October 12, 2018, Saga sold to ITB all of the issued and outstanding shares of each of SAGA II SpA, a sociedad por acciones organized under the laws of Chile (Saga II), and SAGA III SpA, a sociedad por acciones organized under the laws of Chile (Saga III), each a wholly-owned subsidiary of Saga. Saga II holds as its sole assets 7,000,000,000 shares of Common Stock and Saga III holds as its sole assets 3,651,555,020 shares of Common Stock. The sales described herein were for an aggregate sales price of CL$65,685,716,525.82, pursuant to the terms

 

11


of a Share Purchase Agreement between the parties dated as of October 12, 2018 (the 2018 Share Purchase Agreement). Saga sold the shares of Saga II and the shares of Saga III in accordance with the terms of the Itaú Shareholders Agreement, pursuant to which Saga had validly exercised a put option to sell such shares to ITB. In accordance with the terms of the 2018 Share Purchase Agreement and the Itaú Shareholders Agreement, Saga will be entitled to repurchase such shares from ITB at any time and from time to time until April 26, 2023 at an agreed upon formula price (the 2018 Repurchase Right).

The foregoing descriptions of the 2017 Share Purchase Agreement, 2018 Share Purchase Agreement and the Itaú Shareholders Agreement are not intended to be complete and are qualified in their entirety by reference to the 2017 Share Purchase Agreement, 2018 Share Purchase Agreement and the Itaú Shareholders Agreement, copies of which are filed as Exhibits to the Schedule 13D and incorporated herein by reference.

 

Item 5

Interest in Securities of the Issuer.

Item 5(a) (b) of the Schedule 13D is hereby amended by amending and restating the first three paragraphs thereof as follows:

(a) (b) Collectively, the Reporting Persons beneficially own an aggregate of 169,754,098,464 shares of Common Stock representing approximately 33.13% of the shares issued and outstanding. The 169,754,098,464 shares of Common Stock reported herein includes: (i) the right by CGB to reacquire all of the outstanding shares of CGB II, which holds as its sole assets 10,908,002,836 shares of Common Stock, pursuant to the Repurchase Right, (ii) the right by CGB to reacquire all of the outstanding shares of CGB III, which holds as its sole assets 1,800,000,000 shares of Common Stock pursuant to the 2017 Repurchase Right, (iii) the right by Saga to reacquire all of the outstanding shares of Saga II, which holds as its sole assets 7,000,000,000 shares of Common Stock, pursuant to the 2018 Repurchase Right, and (iv) the right by Saga to reacquire all of the outstanding shares of Saga III, which holds as its sole assets 3,651,555,020 shares of Common Stock, pursuant to the 2018 Repurchase Right.

As of the date hereof, CGB is the direct holder of 136,127,850,073 shares of Common Stock representing approximately 26.57% of the shares issued and outstanding. CGB also has the right to reacquire ownership of an aggregate of the 12,708,002,836 shares of Common Stock sold to ITB, pursuant to the terms of the Repurchase Right and 2017 Repurchase Right, as applicable, which represents approximately 2.48% of the shares issued and outstanding.

As of the date hereof, Saga is the direct holder of 10,266,690,535 shares of Common Stock representing approximately 2.00% of the shares issued and outstanding. Saga also has the right to reacquire ownership of the 10,651,555,020 shares of Common Stock sold to ITB, pursuant to the terms of the 2018 Repurchase Right, which represents approximately 2.08% of the shares issued and outstanding.

By virtue of the Itaú Shareholders Agreement, the Reporting Persons, Itaú Unibanco Holding S.A. and ITB may each be deemed to be a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act). However, the filing of this Schedule 13D shall not be deemed an admission that the Reporting Persons and Itaú Unibanco Holding S.A. are members of any such group. Itaú Unibanco Holding S.A. has separately made a Schedule 13D filing reporting its beneficial ownership of the shares of Common Stock held by it. Collectively, the Reporting Persons and Itaú Unibanco Holding S.A. beneficially own an aggregate of 341,802,584,081 shares of Common Stock, representing approximately 66.71% of the outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the shares of Common Stock held by Itaú Unibanco Holding S.A. and ITB (other than the shares subject to the Repurchase Rights).

Item 5(c) of the Schedule 13D is hereby amended and restated as follows:

Except as disclosed in this Amendment No. 6, none of the Reporting Persons has effected any transaction in Common Stock since August 13, 2018 (60 days prior to October 12, 2018).

 

Item 7.

Materials to be Filed as Exhibits.

Item 7 of this Schedule 13D is hereby amended and restated as follows:

 

Schedule 1    Transaction History (previously filed).
Annex A    Instruction C Information (previously filed).
Exhibit A    Joint Filing Agreement, dated May 29, 2014, among the Reporting Persons (previously filed).
Exhibit B    IFC Policy Agreement (previously filed).

 

12


Exhibit C    IFC Shareholders Agreement (previously filed).
Exhibit D    Transaction Agreement (incorporated by reference from Exhibit 10.C.1 to the Form 20-F filed by the Issuer with the SEC on May 15, 2014). It is publicly available on EDGAR at www.sec.gov, and is incorporated herein by reference.
Exhibit E    Itaú Shareholders Agreement (previously filed).
Exhibit F    Itaú SHA Pledge Agreements (English translation) (incorporated by reference from Exhibit 5 to the Transaction Agreement attached as Exhibit 10C.1 to Form 20-F filed by the Issuer with the SEC on May 15, 2014). It is publicly available on EDGAR at www.sec.gov, and is incorporated herein by reference.
Exhibit G    Itaú Credit Facility Agreement (English translation) (previously filed).
Exhibit H    Itaú Credit Pledge Agreements (English translations) (incorporated by reference from Exhibit A to the Itaú Credit Facility Agreement attached as Exhibit G to this Schedule 13D).
Exhibit I    Loan Agreement with Santander España (English translation) (previously filed).
Exhibit J    Promissory Notes to Inversiones Tauro S.A., Inversiones Seal S.A., SIF Inversiones S.A. and Inversiones Y Valores Limitada(English Translations) (previously filed).
Exhibit K    Indenture Relating to 6.750% Notes due 2023 of CorpGroup Banking S.A. (previously filed).
Exhibit L    February 2015 Policy Agreement (previously filed).
Exhibit M    Amendment to Transaction Agreement (previously filed).
Exhibit N    Share Purchase Agreement (previously filed).
Exhibit O    Amended and Restated Transaction Agreement (previously filed).
Exhibit P    2017 Share Purchase Agreement.
Exhibit Q    2018 Share Purchase Agreement.

 

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SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: March 4, 2019

 

CORPGROUP BANKING S.A.
By:  

/s/ María Pilar Dañobeitía Estades

  Name:   María Pilar Dañobeitía Estades
  Title:   Chief Executive Officer
COMPAÑÍA INMOBILIARIA Y DE INVERSIONES SAGA SpA
By:  

/s/ María Pilar Dañobeitía Estades

  Name:  

María Pilar Dañobeitía Estades

  Title:  

Chief Executive Officer

CORPGROUP HOLDING INVERSIONES LIMITADA
By:  

/s/ María Pilar Dañobeitía Estades

  Name:  

María Pilar Dañobeitía Estades

  Title:  

Chief Executive Officer

CORPGROUP INVERSIONES LIMITADA
By:  

/s/ María Pilar Dañobeitía Estades

  Name:  

María Pilar Dañobeitía Estades

  Title:  

Chief Executive Officer

CORPGROUP FINANCIAL S.A.
By:  

/s/ María Pilar Dañobeitía Estades

  Name:  

María Pilar Dañobeitía Estades

  Title:  

Chief Executive Officer

CORPGROUP HOLDING INVERSIONES LIMITADA SOCIEDAD EN COMANDITA POR ACCIONES
By:  

/s/ María Pilar Dañobeitía Estades

  Name:  

María Pilar Dañobeitía Estades

  Title:  

Chief Executive Officer

 

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CORPGROUP INTERHOLD SpA
By:  

/s/ María Pilar Dañobeitía Estades

  Name:   María Pilar Dañobeitía Estades
  Title:   Chief Executive Officer
INVERSIONES GASA LIMITADA
By:  

/s/ María Pilar Dañobeitía Estades

  Name:   María Pilar Dañobeitía Estades
  Title:   Chief Executive Officer

/s/ Alvaro Saieh Bendeck

Alvaro Saieh Bendeck

 

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EXHIBIT INDEX

The Exhibit Index to this Schedule 13D is hereby amended and restated as follows:

 

Exhibit No.

  

Description

Schedule 1    Transaction History (previously filed).
Annex A    Instruction C Information (previously filed).
Exhibit A    Joint Filing Agreement, dated May 29, 2014, among the Reporting Persons (previously filed).
Exhibit B    IFC Policy Agreement (previously filed).
Exhibit C    IFC Shareholders Agreement (previously filed).
Exhibit D    Transaction Agreement (incorporated by reference from Exhibit 10.C.1 to the Form 20-F filed by the Issuer with the SEC on May 15, 2014). It is publicly available on EDGAR at www.sec.gov, and is incorporated herein by reference.
Exhibit E    Itaú Shareholders Agreement (previously filed).
Exhibit F    Itaú SHA Pledge Agreements (English translation) (incorporated by reference from Exhibit 5 to the Transaction Agreement attached as Exhibit 10C.1 to Form 20-F filed by the Issuer with the SEC on May 15, 2014). It is publicly available on EDGAR at www.sec.gov, and is incorporated herein by reference.
Exhibit G    Itaú Credit Facility Agreement (English translation) (previously filed).
Exhibit H    Itaú Credit Pledge Agreements (English translations) (incorporated by reference from Exhibit A to the Itaú Credit Facility Agreement attached as Exhibit G to this Schedule 13D).
Exhibit I    Loan Agreement with Santander España (English translation) (previously filed).
Exhibit J    Promissory Notes to Inversiones Tauro S.A., Inversiones Seal S.A., SIF Inversiones S.A. and Inversiones Y Valores Limitada(English Translations) (previously filed).
Exhibit K    Indenture Relating to 6.750% Notes due 2023 of CorpGroup Banking S.A. (previously filed).
Exhibit L    February 2015 Policy Agreement (previously filed).
Exhibit M    Amendment to Transaction Agreement (previously filed).
Exhibit N    Share Purchase Agreement (previously filed)
Exhibit O    Amended and Restated Transaction Agreement (previously filed).
Exhibit P    2017 Share Purchase Agreement.
Exhibit Q    2018 Share Purchase Agreement.

 

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