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AMERICAN APPAREL, INC 4

Accession 0001140361-12-016033

CIK 0001336545operating
View on SEC.govCompany Profile

Filed

Mar 14, 8:00 PM ET

Accepted

Mar 15, 5:53 PM ET

Size

58.4 KB

Accession

0001140361-12-016033

Insider Transaction Report

Form 4
Period: 2012-03-13
AMERICAN APPAREL, INCAPP
Lion/Hollywood L.L.C.
10% Owner
Transactions
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+16,000,000→ 16,000,000 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+759,809→ 759,809 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+3,063,101→ 3,063,101 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+1,445,382→ 1,445,382 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−337,733→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+337,733→ 337,733 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−759,809→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−3,063,101→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−1,445,382→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−16,000,000→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (16,000,000 underlying)
Lion Capital LLP
10% Owner
Transactions
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−337,733→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+16,000,000→ 16,000,000 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−3,063,101→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+3,063,101→ 3,063,101 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+1,445,382→ 1,445,382 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+337,733→ 337,733 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−16,000,000→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−759,809→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+759,809→ 759,809 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−1,445,382→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (1,445,382 underlying)
Lion Capital General Partner II LLP
10% Owner
Transactions
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−16,000,000→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+759,809→ 759,809 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−3,063,101→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+3,063,101→ 3,063,101 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−1,445,382→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+1,445,382→ 1,445,382 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−337,733→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+337,733→ 337,733 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+16,000,000→ 16,000,000 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−759,809→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (759,809 underlying)
LION CAPITAL FUND II L P
10% Owner
Transactions
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−16,000,000→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−759,809→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−3,063,101→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+3,063,101→ 3,063,101 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+1,445,382→ 1,445,382 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+16,000,000→ 16,000,000 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+759,809→ 759,809 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−1,445,382→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−337,733→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+337,733→ 337,733 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (337,733 underlying)
LION CAPITAL FUND II B L P
10% Owner
Transactions
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−16,000,000→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+16,000,000→ 16,000,000 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (16,000,000 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−759,809→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+759,809→ 759,809 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (759,809 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−3,063,101→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+3,063,101→ 3,063,101 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (3,063,101 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−1,445,382→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+1,445,382→ 1,445,382 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (1,445,382 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13−337,733→ 0 total
    Exercise: $1.00Exp: 2018-02-18→ Common Stock (337,733 underlying)
  • Other

    Warrant to purchase shares of Common Stock (right to buy)

    2012-03-13+337,733→ 337,733 total
    Exercise: $1.00Exp: 2022-02-18→ Common Stock (337,733 underlying)
Footnotes (10)
  • [F1]This Form 4 is filed on behalf of Lion/Hollywood L.L.C. ("Lion/Hollywood"), Lion Capital Fund II, L.P. ("LCFII"), Lion Capital Fund II B, L.P. ("LCFIIB"), Lion Capital Fund II SBS, L.P. ("LCFIISBS"), Lion Capital General Partner II LLP ("Lion Capital GPII"), Lion Capital LLP ("Lion Capital"), Mr. Lyndon Lea, Mr. Neil Richardson and Mr. Robert Darwent. LCFII, LCFIIB and LCFIISBS are the sole members of Lion/Hollywood. Lion Capital GPII is the sole general partner of LCFII, LCFIIB and LCFIISBS. Lion Capital is the manager of each of Lion Capital GPII, LCFII, LCFIIB and LCFIISBS. Messrs. Lea, Richardson and Darwent are founding and designated members of Lion Capital.
  • [F10]This Form 4 shall not be deemed an admission that any Reporting Person or any other person referred to herein is a beneficial owner of any shares of Common Stock for purposes of Section 16 of the Exchange Act or for any other purpose or that any Reporting Person or other person (other than Lion/Hollywood) has an obligation to file this Form 4.
  • [F2]As the sole members of Lion/Hollywood, LCFII, LCFIIB and LCFIISBS may be deemed to be the indirect beneficial owners of any securities beneficially owned or deemed to be beneficially owned by Lion/Hollywood. However, pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of LCFII, LCFIIB and LCFIISBS disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein.
  • [F3]As the sole general partner of each of LCFII, LCFIIB and LCFIISBS, Lion Capital GPII may be deemed to be the indirect beneficial owner of any securities deemed to be beneficially owned by LCFII, LCFIIB and LCFIISBS. However, pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, Lion Capital GPII disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein.
  • [F4]As the manager of each of Lion Capital GPII, LCFII, LCFIIB and LCFIISBS, Lion Capital may be deemed to be the indirect beneficial owner of any securities deemed to be beneficially owned by Lion Capital GPII, LCFII, LCFIIB and LCFIISBS. However, pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, Lion Capital disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein.
  • [F5]As the founding and designated members of Lion Capital, Messrs. Lea, Richardson and Darwent, may be deemed to beneficially own any securities deemed to be beneficially owned by Lion Capital. However, pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, each of Messrs. Lea, Richardson and Darwent disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
  • [F6]On March 13, 2012, the Issuer amended five warrants previously issued to Lion/Hollywood: (i) a warrant to purchase at an initial exercise price of $1.00, 16,000,000 shares of Common Stock, par value $.0001 per share of the Issuer ("Common Stock"); (ii) a warrant to purchase at an initial exercise price of $1.00, 759,809 shares of Common Stock; (iii) a warrant to purchase at an initial exercise price of $1.00, 3,063,101 shares of Common Stock; (iv) a warrant to purchase at an initial exercise price of $1.00, 1,445,382 shares of Common Stock; and (v) a warrant to purchase at an initial exercise price of $1.00, 337,733 shares of Common Stock (collectively, the "Lion Warrants"). The March 13, 2012 amendments to the Lion Warrants (collectively, the "Lion Warrant Amendments") are subject to anti-dilution adjustment pursuant to the terms of the Lion Warrants and the Lion Warrant Amendments and certain other adjustments as described therein. The Lion Warrant Amendments extend the expiration d
  • [F7]Immediately exercisable.
  • [F8]Number of shares of Common Stock issuable upon exercise of the applicable Lion Warrant as of the date of this filing. The number of shares of Common Stock issuable upon exercise of the applicable Lion Warrant is subject to anti-dilution adjustment pursuant to the terms of the Lion Warrants and certain other adjustments as described therein.
  • [F9]The Warrants are directly owned by Lion/Hollywood. LCFII, LCFIIB and LCFIISBS are the sole members of Lion/Hollywood. Lion Capital GPII is the sole general partner of LCFII, LCFIIB and LCFIISBS. Lion Capital is the manager of each of Lion Capital GPII, LCFII, LCFIIB and LCFIISBS. Messrs. Lea, Richardson and Darwent are founding and designated members of Lion Capital. As noted in footnotes (1) through (5), LCFII, LCFIIB, LCFIISBS, Lion Capital GPII, Lion Capital and Messrs. Lea, Richardson and Darwent may each be deemed to have indirect beneficial ownership of any securities beneficially owned or deemed to be beneficially owned by Lion/Hollywood.

Documents

2 files

Issuer

AMERICAN APPAREL, INC

CIK 0001336545

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001336545

Filing Metadata

Form type
4
Filed
Mar 14, 8:00 PM ET
Accepted
Mar 15, 5:53 PM ET
Size
58.4 KB
View on SEC.gov