Sec Form 13G Filing - M. Klein Associates Inc. filing for GCM Grosvenor Inc. (GCMG) - 2020-11-27

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G

(Amendment No. )*

Under the Securities Exchange Act of 1934

 

GCM Grosvenor Inc.
(Name of Issuer)
 
Class A Common Stock, par value $0.0001 per share
(Titles of Class of Securities)
 
36831E108
(CUSIP Number)
 
November 17, 2020

(Date of Event Which Requires Filing of this Statement)

 

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)
x Rule 13d-1(c)
¨ Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out of a reporting person’s 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.

 

The information required in 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, as amended (the “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. 36831E108 SCHEDULE 13G Page 2 of 8

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

M. Klein Associates, Inc.

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY OWNED

BY EACH REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

3,351,534

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

3,351,534

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,351,534

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

8.40%

 
12

TYPE OF REPORTING PERSON

OO

 
         

 

 

CUSIP No. 36831E108 SCHEDULE 13G Page 3 of 8

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Michael Klein

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

 

NUMBER OF

SHARES

BENEFICIALLY OWNED

BY EACH REPORTING

PERSON

WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

3,351,534

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

3,351,534

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,351,534

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

8.40%

 
12

TYPE OF REPORTING PERSON

IN

 
         

 

 

 

CUSIP No. 36831E108 SCHEDULE 13G Page 4 of 8

 

Item 1(a). Name of Issuer:
   
  GCM Grosvenor Inc.
   
Item 1(b). Address of Issuer’s Principal Executive Offices:
   
 

900 North Michigan Avenue

Suite 1100

  Chicago, IL 60611
   
Item 2(a). Name of Person Filing:
   
  This statement is filed on behalf of each of the following persons (collectively, the “Reporting Persons”):
  1. M. Klein Associates, Inc. (“M. Klein Associates”)
  2. Michael Klein
   
Item 2(b). Address of Principal Business Office or, if none, Residence:
   
  The principal business address of each of the Reporting Persons is as follows:
   
  640 Fifth Avenue, 12th Floor
  New York, NY 10019
   
Item 2(c). Citizenship:
   
  See responses to Item 4 on each cover page.
   
Item 2(d). Titles of Classes of Securities:
   
  Class A Common Stock, par value $0.0001 per share.
   
Item 2(e). CUSIP Number:
   
  36831E108

 

Item 3.

If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c),

Check Whether the Person Filing is a(n):

 

  (a) ¨ Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78o).
  (b) ¨ Bank as defined in Section 3(a)(6) of the Exchange Act (15 U.S.C. 78c).
  (c) ¨ Insurance company as defined in Section 3(a)(19) of the Exchange Act (15 U.S.C. 78c).
  (d) ¨ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e) ¨ Investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
  (f) ¨ Employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
  (g) ¨ Parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
  (h) ¨ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
  (i) ¨ Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
  (j) ¨ Non-U.S. institution, in accordance with § 240.13d-1(b)(1)(ii)(J).
  (k) ¨ Group in accordance with §240.13d-1(b)(1)(ii)(K).
       
  If filing as a non-U.S. institution in accordance with §240. 13d-1(b)(1)(ii)(J), please specify the type of institution: __________

 

 

 

 

CUSIP No. 36831E108 SCHEDULE 13G Page 5 of 8

 

Item 4. Ownership
   
  As of November 27, 2020, M. Klein Associates directly owns 3,351,534 shares of Class A Common Stock, par value $0.0001 per share (“Common Stock”) of GCM Grosvenor Inc. (the “Issuer”), which constitutes approximately 8.40% of the Issuer’s outstanding Common Stock.  Such shares of Common Stock may be deemed to be indirectly owned by Michael Klein, who is the sole stockholder of M. Klein Associates. As a result of this relationship, Mr. Klein may be deemed to have or share beneficial ownership of the securities held directly by M. Klein Associates. Percentage ownership is based on 39,914,862 shares of Common Stock outstanding as of November 27, 2020, based on information obtained from the Issuer.
   
  (a) Amount beneficially owned:
     
    See responses to Item 9 on each cover page.
     
  (b) Percent of class:
     
    See responses to Item 11 on each cover page.
     
  (c) Number of shares as to which such person has:

 

    (i) Sole power to vote or to direct the vote:
       
      See responses to Item 5 on each cover page.
       
    (ii) Shared power to vote or to direct the vote:
       
      See responses to Item 6 on each cover page.
       
    (iii) Sole power to dispose or to direct the disposition of:
       
      See responses to Item 7 on each cover page.
       
    (iv) Shared power to dispose or to direct the disposition of:
       
      See responses to Item 8 on each cover page.

 

 

 

 

CUSIP No. 36831E108 SCHEDULE 13G Page 6 of 8

 

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 .
   
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
   
  Not Applicable.
   
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
   
  Not Applicable.
   
Item 8. Identification and Classification of Members of the Group.
   
  Not Applicable.
   
Item 9. Notice of Dissolution of Group.
   
  Not Applicable.
   
Item 10. Certification.
   
  By signing below the undersigned certifies that, to the best of his or its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

 

 

 

 

CUSIP No. 36831E108 SCHEDULE 13G Page 7 of 8

 

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: November 27, 2020

       
  M. Klein Associates, Inc.  
       
  By: /s/ Jay Taragin  
  Name: Jay Taragin  
  Title: Chief Financial Officer  
       
  Michael Klein  
     
  By: /s/ Michael Klein  
  Name: Michael Klein  

 

 

 

 

CUSIP No. 36831E108 SCHEDULE 13G Page 8 of 8

 

Exhibit Index

 

Exhibit No.   Description
Exhibit 1   Joint Filing Agreement, dated as of November 27, 2020, by and among M. Klein Associates, Inc. and Michael Klein