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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Director Stock Option (right to buy) | $ 48.29 | 05/16/2013 | A | 2,070 | 05/16/2013 | 05/15/2020 | Common Stock, par value $.001 | 2,070 | $ 0 | 2,070 | I | See footnote 1 (1) | |||
| Director Stock Option (right to buy) | $ 28.92 | 05/16/2012 | 05/15/2019 | Common Stock, par value $.001 | 3,458 | 3,458 | I | See footnote 1 (1) | |||||||
| Series A Perpetual Convertible Preferred Stock | $ 27.93 | (2) | (2) | Common Stock | 12,173,291 | 12,173,291 | I | See Remarks below | |||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| BDT CAPITAL PARTNERS, LLC 401 NORTH MICHIGAN AVENUE SUITE 3100 CHICAGO, IL 60611 |
X | X | ||
| BDTCP GP I, LLC 401 NORTH MICHIGAN AVENUE SUITE 3100 CHICAGO, IL 60611 |
X | X | ||
| BDT CF ACQUISITION VEHICLE, LLC 401 NORTH MICHIGAN AVENUE SUITE 3100 CHICAGO, IL 60611 |
X | X | ||
| BDTP GP, LLC 401 NORTH MICHIGAN AVENUE SUITE 3100 CHICAGO, IL 60611 |
X | X | ||
| Trott Byron D 401 NORTH MICHIGAN AVENUE SUITE 3100 CHICAGO, IL 60611 |
X | X | ||
| /s/ Byron D. Trott (on behalf of himself and each other reporting person hereunder) | 05/20/2013 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | The transactions reported on this Form 4 were the grant of restricted stock units and stock options to San W. Orr, III in connection with his service on the Board of Directors of Colfax Corp. (the "Issuer"). Prior grants of restricted stock units and stock options to Mr. Orr in connection with his service on the Issuer's Board of Directors are also reflected on this Form 4. Mr. Orr is a Partner and the Chief Operating Officer of BDT CP. Mr. Orr was designated for election to the Issuer's Board of Directors pursuant to the Issuer's Amended and Restated Certificate of Incorporation, which provides the Investor the right, among other things, to exclusively nominate for election to the Board of Directors 1 of 11 directors based on the current beneficial ownership of the Investor, the BDT Investment Funds and the BDT Investment Vehicle. As a result, each of the Reporting Persons are (or may be deemed to be) directors by deputization. |
| (2) | The shares of Series A Perpetual Convertible Preferred Stock are convertible into shares of Common Stock at any time and do not expire. |
| Remarks: This Form 4 is jointly filed by (i) BDT Capital Partners, LLC ("BDT CP"), (ii) BDTCP GP I, LLC ("BDTCP GP I"), (iii) BDT CF Acquisition Vehicle, LLC (the "Investor"), (iv) Byron D. Trott, and (v) BDTP GP, LLC ("BDTP"). Mr. Trott is the sole member of BDTP, which is the managing member of BDT CP. BDT CP is the manager of BDTCP GP I, which is the general partner of the Investor. The Investor beneficially owns 12,173,291 shares of Common Stock into which the shares of the Company's Series A Perpetual Convertible Preferred Stock owned by the Investor may currently be converted and 1,383 shares of Common Stock previously held in the name of Mr. Orr and, as of May 20, 2013, now held in the name of the Investor. Certain investment funds (the "BDT Investment Funds") controlled by BDTCP GP I beneficially own, in the aggregate, 4,078,902 shares of Common Stock. Each of Mr. Trott, BDTP, BDT CP and BDTCP GP I, by virtue of his or its direct or indirect control of the Investor and the BDT Investment Funds, may be deemed to beneficially own the securities held by the Investor and the BDT Investment Funds. An employee investment vehicle (the "BDT Investment Vehicle") controlled by BDTP own 167,626 shares of Common Stock. Each of Mr. Trott and BDTP, by virtue of his or its indirect control of the BDT Investment Vehicle, may be deemed to beneficially own the securities held by the BDT Investment Vehicle. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interests therein. This Form 4 shall not be deemed to be an admission that any Reporting Person hereunder is the beneficial owner of any of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. | |