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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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 3) *
GCM Grosvenor Inc.
(Name of Issuer)
Class A Common Stock, par value $0.0001 per share
(Title of Class of Securities)
36831E108
(CUSIP Number)
December 31, 2023
(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)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
(Page 1 of 7 Pages)
_________________________________________________________
* The remainder of this cover page shall be filled out for 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 the 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 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 | 13G | Page 2 of 7 Pages |
1. |
NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Schonfeld Strategic Advisors LLC | ||
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
38,834 |
|
6. |
SHARED VOTING POWER
3,159 |
||
7.
|
SOLE DISPOSITIVE POWER
38,834 |
||
8.
|
SHARED DISPOSITIVE POWER
3,159 |
||
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
41,993 | ||
10. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
☐ | |
11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.10% | ||
12. |
TYPE OF REPORTING PERSON*
IA |
CUSIP No. | 36831E108 | 13G | Page 3 of 7 Pages |
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: | |
Schonfeld Strategic Advisors LLC (“Schonfeld”) is an investment adviser to several private funds. Schonfeld also engages third party sub-advisers to manage assets of its private funds as separately managed accounts (the “Schonfeld SMAs”). Accordingly, Schonfeld may be deemed to indirectly beneficially own securities owned by the Schonfeld SMAs. Each Schonfeld SMA is the record and direct beneficial owner of a portion of the securities covered by this statement. Schonfeld declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934 or any other purpose, the beneficial owner of any securities covered by this statement.
| ||
Item 2(b). | Address of Principal Business Office, or if None, Residence: | |
590 Madison Avenue, 23rd Floor, New York, New York 10022 |
||
Item 2(c). | Citizenship: | |
Delaware limited liability company |
||
Item 2(d). | Title of Class 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: | |
(a) | ☐ | Broker or dealer registered under Section 15 of the Exchange Act. |
(b) | ☐ | Bank as defined in Section 3(a)(6) of the Exchange Act. |
(c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Exchange Act. |
CUSIP No. | 36831E108 | 13G | Page 4 of 7 Pages |
(d) | ☐ | Investment company registered under Section 8 of the Investment Company Act. |
(e) | ☒ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
(f) | ☐ | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
(g) | ☐ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
(h) |
☐ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; |
(i) | ☐ | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; |
(j) | ☐ | A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
(k) | ☐ | Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
If filing as a non-U.S. inst itution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: __________________________________________
Item 4. Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) | Amount beneficially owned: 41,993 shares |
(b) | Percent of class: 0.10% |
(c) | Number of shares as to which such person has**: |
(i) | Sole power to vote or to direct the vote |
38,834 shares
(ii) | Shared power to vote or to direct the vote |
3,159 shares
(iii) | Sole power to dispose or to direct the disposition of |
38,834 shares
(iv) | Shared power to dispose or to direct the disposition of |
3,159 shares
CUSIP No. | 36831E108 | 13G | Page 5 of 7 Pages |
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. |
If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
| |
The securities held by each of the Schonfeld SMAs as to which this statement is filed are owned of record by clients of Schonfeld. Those clients have the right to receive, or the power to direct the receipt of, dividends from, or the proceeds from the sale of, such securities.
| |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
If a parent holding company or Control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
| |
N/A | |
Item 8. | Identification and Classification of Members of the Group. |
If a group has filed this schedule pursuant to ss.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to ss.240.13d-1(c) or ss.240.13d-1(d), attach an exhibit stating the identity of each member of the group.
| |
N/A | |
Item 9. | Notice of Dissolution of Group. |
Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
| |
N/A |
CUSIP No. | 36831E108 | 13G | Page 6 of 7 Pages |
Item 10. | Certifications. |
"By signing below I certify that, to the best of my 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 | 13G | Page 7 of 7 Pages |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
SCHONFELD STRATEGIC ADVISORS LLC
By: /s/ Mark H. Peckman
Name: Mark H. Peckman
Title: General Counsel and Chief Compliance Officer
Date: February 14, 2024