New User? Sign Up | Sign In

Sec Form 4 Filing - Alyeska Investment Group L.P. @ CC Neuberger Principal Holdings I - 2020-12-11

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

Enter Stock Symbol or Cik: Cik Lookup...

Search By Company or Insider Name:
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>

Email a friend >>...

SPAC List: List of Special Purpose Acquisition Companies


The following is an SEC EDGAR document rendered as filed.
Here is the list of insider trading transaction codes.

FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person *
Alyeska Investment Group, L.P.
2. Issuer Name and Ticker or Trading Symbol
CC Neuberger Principal Holdings I [ PCPL]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
77 WEST WACKER DRIVE, 7TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
12/11/2020
(Street)
CHICAGO, IL60601
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 49,423 A $ 10.29 4,596,772 D
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 49,423 A $ 10.29 4,596,772 D
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 49,423 A $ 10.29 4,596,772 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 49,423 A $ 10.29 4,596,772 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 49,423 A $ 10.29 4,596,772 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 49,423 A $ 10.29 4,596,772 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 37,067 A $ 10.3 4,633,839 D
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 37,067 A $ 10.3 4,633,839 D
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 37,067 A $ 10.3 4,633,839 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 37,067 A $ 10.3 4,633,839 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 37,067 A $ 10.3 4,633,839 I Footnotes ( 2 ) ( 3 )
Class A Ordinary Shares ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) 12/11/2020 P 37,067 A $ 10.3 4,633,839 I Footnotes ( 2 ) ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Alyeska Investment Group, L.P.
77 WEST WACKER DRIVE, 7TH FLOOR
CHICAGO, IL60601
X
Alyeska Master Fund, L.P.
77 WEST WACKER DRIVE, 7TH FLOOR
CHICAGO, IL60601
X
ALYESKA FUND GP, LLC
77 WEST WACKER DRIVE, 7TH FLOOR
CHICAGO, IL60601
X
ALYESKA INVESTMENT GROUP, LLC
77 WEST WACKER DRIVE, 7TH FLOOR
CHICAGO, IL60601
X
ALYESKA INVESTMENTS, LLC
77 WEST WACKER DRIVE, 7TH FLOOR
CHICAGO, IL60601
X
PAREKH ANAND
77 WEST WACKER DRIVE, 7TH FLOOR
CHICAGO, IL60601
X
Signatures
Alyeska Investment Group, L.P., By: /s/ Jason Bragg, Chief Financial Officer 12/15/2020
** Signature of Reporting Person Date
Alyeska Master Fund, L.P., By: Alyeska Fund GP, LLC, By: /s/ Jason Bragg, Chief Financial Officer 12/15/2020
** Signature of Reporting Person Date
Alyeska Fund GP, LLC, By: /s/ Jason Bragg, Chief Financial Officer 12/15/2020
** Signature of Reporting Person Date
Alyeska Investment Group, LLC, By: /s/ Jason Bragg, Chief Financial Officer 12/15/2020
** Signature of Reporting Person Date
Alyeska Investments, LLC, By: /s/ Anand Parekh, Managing Member 12/15/2020
** Signature of Reporting Person Date
/s/ Anand Parekh 12/15/2020
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Alyeska Investment Group, L.P. (the "Investment Manager") is the investment manager of Alyeska Master Fund, L.P. (the "Fund"). In that capacity, the Investment Manager directs the voting and disposition of securities held by the Fund. The Fund is the direct owner of 4,633,839 shares of Class A Ordinary Shares, par value $0.0001 per share ("Shares"), of CC Neuberger Principal Holdings I. The Investment Manager receives an asset-based fee relating to the Shares directly held by the Fund, and does not hold a pecuniary interest in such Shares.
( 2 )(i) Alyeska Fund GP, LLC is the general partner of the Fund and has an indirect profits interest in the Shares directly held by the Fund; (ii) Alyeska Investment Group, LLC is the sole owner of Alyeska Fund GP, LLC, and has an indirect profits interest in the Shares directly held by the Fund; (iii) Alyeska Investments, LLC (together with Alyeska Fund GP, LLC and Alyeska Investment Group, LLC, the "Upper Tier Entities") is the managing member of Alyeska Investment Group, LLC and has an indirect profits interest in the Shares directly held by the Fund; and (iv) Anand Parekh is the managing member of Alyeska Investments, LLC and has an indirect profits interest in the Shares directly held by the Fund.
( 3 )The filing of this Form 4 shall not be construed as an admission that Mr. Parekh or any Upper Tier Entity is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise the beneficial owner of any Shares. Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of Mr. Parekh and the Upper Tier Entities disclaims such beneficial ownership, except to the extent of his or its pecuniary interest.
( 4 )On December 11, 2020, the Fund purchased 49,423 and 37,067 Shares for $10.29 and $10.30 per Share, respectively.
( 5 )The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16(a)-3(j) under the Exchange Act.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.