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.
- Peter Lynch
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March 23, 2023
CONFIDENTIAL
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Soho House & Co Inc.
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
586001 109
(CUSIP Number)
David S. Thomas, Esq.
Goldman Sachs & Co. LLC
200 West Street
New York, NY 10282
Phone: (212) 902-1000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
March 8, 2023
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ☐.
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See 240.13d-7(b) for other parties to whom copies are to be sent.
* | The remainder of this cover page shall be filled out for a reporting persons 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 on 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 (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).
SCHEDULE 13D
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Goldman Sachs Group, Inc. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
AF and OO | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
15,737,960 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
15,737,960 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,737,960 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
29.1%* | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
HC-CO |
* | All calculations of percentage ownership in this Schedule 13D (as defined below) with respect to the Reporting Persons are based upon a total of 54,039,610 shares of Class A Common Stock, par value $0.01 per share (the Common Stock), of Soho House & Co Inc. (the Issuer), outstanding as reported in the Issuers Annual Report on Form 10-K for the year ended December 31, 2022, filed with the U.S. Securities and Exchange Commission (the SEC) on March 8, 2023 pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act). |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Goldman Sachs & Co. LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
AF and OO | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
New York |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
15,737,960 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
15,737,960 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,737,960 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
29.1% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
OO |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
West Street Strategic Solutions Fund I, L.P. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
5,682,004 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
5,682,004 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,682,004 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.5% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
PN |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
West Street Strategic Solutions Fund I-(C), L.P. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
558,307 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
558,307 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
558,307 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.0% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
PN |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
WSSS Investments W, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
6,994,784 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
6,994,784 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,994,784 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.9% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
OO |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
WSSS Investments X, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
263,420 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
263,420 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
263,420 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.5% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
OO |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
WSSS Investments I, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
296,103 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
296,103 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
296,103 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.5% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
OO |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
WSSS Investments U, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
316,507 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
316,507 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
316,507 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
OO |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Broad Street Principal Investments, L.L.C. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
1,140,310 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
1,140,310 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,140,310 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.1% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
OO |
CUSIP No. 586001 109
1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
West Street CT Private Credit Partnership, L.P. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (See Instructions)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
☒ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
275,184 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
275,184 |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
275,184 | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.5% | |||||
14 | TYPE OF REPORTING PERSON (See Instructions)
PN |
This Amendment No. 1 to Schedule 13D (the Amendment) amends and supplements the Statement on Schedule 13D originally filed jointly by the Reporting Persons on December 23, 2021 (the Original Schedule 13D and, as amended and supplemented by this Amendment, the Schedule 13D). Except as specifically provided herein, this Amendment does not modify any of the information previously reported on the Original Schedule 13D. Capitalized terms not otherwise defined in this Amendment shall have the same meanings ascribed thereto in the Original Schedule 13D.
This Amendment is being filed to reflect a change in beneficial ownership as a result of a decr ease in the number of outstanding shares of Common Stock as reported in the Issuers Annual Report on Form 10-K for the year ended December 31, 2022, filed with the SEC on March 8, 2023.
Item 2. | Identity and Background |
This Amendment amends Item 2 of the Original Schedule 13D by replacing in their entirety Schedules I, II-A, II-B and III, incorporated therein by reference, with Schedules I, II-A, II-B and III hereto, respectively, which Schedules I, II-A II-B and III are incorporated herein by reference.
Item 3. | Source and Amount of Funds or Other Considerations |
This Amendment amends and restates the fourth paragraph of Item 3 of the Original Schedule 13D in its entirety as set forth below:
All transactions disclosed in Schedule IV hereto were effected by Goldman Sachs & Co. LLC in connection with basket transactions that included the Issuers Common Stock in the ordinary course of business.
Item 5. | Interest in Securities of the Issuer |
This Amendment amends Item 5 of the Original Schedule 13D by replacing in their entirety Schedules I, II-A, II-B and IV, incorporated therein by reference, with Schedules I, II-A, II-B and IV hereto, respectively, which Schedules I, II-A II-B and IV are incorporated herein by reference.
This Amendment amends and restates the first paragraph of Items 5(a) and 5(b) of the Original Schedule 13D in their entirety as set forth below:
(a) (b)
The following table sets forth, as of March 24, 2023, the aggregate number of shares of Common Stock and percentage of Common Stock beneficially owned by each of the Reporting Persons, as well as the number of shares of Common Stock as to which each Reporting Person has the sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition of, or shared power to dispose or to direct the disposition of, as of such date. The information below is based upon a total of 54,039,610 shares Common Stock outstanding as reported in the Issuers Annual Report on Form 10-K for the year ended December 31, 2022, filed with the SEC on March 8, 2023 pursuant to Section 13 or 15(d) of the Exchange Act.
Reporting Person |
Amount beneficially owned |
Percent of Class |
Sole power to vote or to direct the vote |
Shared power to vote or to direct the vote |
Sole power to dispose or to direct the disposition |
Shared power to dispose or to direct the disposition |
||||||||||||||||||
The Goldman Sachs Group, Inc. |
15,737,960 | 29.1 | % | 0 | 15,737,960 | 0 | 15,737,960 | |||||||||||||||||
Goldman Sachs & Co. LLC |
15,737,960 | 29.1 | % | 0 | 15,737,960 | 0 | 15,737,960 | |||||||||||||||||
Broad Street Principal Investments, L.L.C. |
1,140,310 | 2.1 | % | 0 | 1,140,310 | 0 | 1,140,310 | |||||||||||||||||
West Street Strategic Solutions Fund I, L.P. |
5,682,004 | 10.5 | % | 0 | 5,682,004 | 0 | 5,682,004 | |||||||||||||||||
West Street Strategic Solutions Fund I-(C), L.P. |
558,307 | 1.0 | % | 0 | 558,307 | 0 | 558,307 | |||||||||||||||||
WSSS Investments W, LLC |
6,994,784 | 12.9 | % | 0 | 6,994,784 | 0 | 6,994,784 | |||||||||||||||||
WSSS Investments X, LLC |
263,420 | 0.5 | % | 0 | 263,420 | 0 | 263,420 | |||||||||||||||||
WSSS Investments I, LLC |
296,103 | 0.5 | % | 0 | 296,103 | 0 | 296,103 | |||||||||||||||||
WSSS Investments U, LLC |
316,507 | 0.6 | % | 0 | 316,507 | 0 | 316,507 | |||||||||||||||||
West Street CT Private Credit Partnership, L.P. |
275,184 | 0.5 | % | 0 | 275,184 | 0 | 275,184 |
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this Schedule 13D is true, complete and correct.
Dated as of March 27, 2023.
THE GOLDMAN SACHS GROUP, INC. | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
GOLDMAN SACHS & CO. LLC | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
WEST STREET STRATEGIC SOLUTIONS FUND I, L.P. | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
WEST STREET STRATEGIC SOLUTIONS FUND I-(C), L.P. | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
WSSS INVESTMENTS W, LLC | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
WSSS INVESTMENTS X, LLC | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
WSSS INVESTMENTS I, LLC | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
WSSS INVESTMENTS U, LLC | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact | ||
BROAD STREET PRINCIPAL INVESTMENTS, L.L.C. | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact |
WEST STREET CT PRIVATE CREDIT PARTNERSHIP, L.P. | ||
By: | /s/ Crystal Orgill | |
Name: Crystal Orgill | ||
Title: Attorney-in-fact |
SCHEDULE I
The name of each director and executive officer of The Goldman Sachs Group, Inc. is set forth below.
The business address of each person listed below is c/o Goldman Sachs & Co. LLC, 200 West Street, New York, New York 10282.
Each person is a citizen of the United States of America except for Lakshmi N. Mittal, who is a citizen of India, and Mark O. Winkelman, who is a citizen of the Netherlands. Philip R. Berlinski is also a citizen of Belgium and the United Kingdom, and Adebayo O. Ogunlesi is also a citizen of Nigeria. The present principal occupation or employment of each of the listed persons is set forth below.
NAME |
PRESENT PRINCIPAL OCCUPATION | |
David M. Solomon | Chairman and Chief Executive Officer of The Goldman Sachs Group, Inc. | |
Philip R. Berlinski | Global Treasurer of The Goldman Sachs Group, Inc. | |
M. Michele Burns | Former Chairman and Chief Executive Officer, Mercer LLC; Former Chief Financial Officer of each of: Marsh & McLennan Companies, Inc., Mirant Corp. and Delta Air Lines, Inc. | |
Dennis P. Coleman III | Chief Financial Officer of The Goldman Sachs Group, Inc. | |
Drew G. Faust | Professor and Former President of Harvard University | |
Mark A. Flaherty | Former Vice Chairman, Wellington Management Company | |
Sheara J. Fredman | Chief Accounting Officer of The Goldman Sachs Group, Inc. | |
Kimberley D. Harris | Executive Vice President of Comcast Corporation; Executive Vice President and General Counsel of NBCUniversal | |
Kevin Johnson | Former President and Chief Executive Officer, Starbucks Corporation | |
Ellen J. Kullman | Executive Chair, Carbon, Inc. | |
Brian J. Lee | Chief Risk Officer of The Goldman Sachs Group, Inc. | |
Lakshmi N. Mittal | Executive Chairman of ArcelorMittal S.A. | |
Adebayo O. Ogunlesi | Chairman and Managing Partner of Global Infrastructure Partners | |
Peter Oppenheimer | Former Senior Vice President and Chief Financial Officer of Apple, Inc. | |
John F.W. Rogers | Executive Vice President of The Goldman Sachs Group, Inc. | |
Kathryn H. Ruemmler | Chief Legal Officer and General Counsel of The Goldman Sachs Group, Inc. | |
Ericka T. Leslie | Chief Administrative Officer of The Goldman Sachs Group, Inc. | |
Jan E. Tighe | Former Vice Admiral, United States Navy | |
Jessica R. Uhl | Chief Financial Officer of Shell plc | |
David A. Viniar | Former Chief Financial Officer of The Goldman Sachs Group, Inc. | |
John E. Waldron | President and Chief Operating Officer of The Goldman Sachs Group, Inc. | |
Mark O. Winkelman | Private Investor |
SCHEDULE II-A
The name and principal occupation of each member of the Goldman Sachs Asset Management Private Credit Investment Committee, which exercises the authority of Goldman Sachs & Co. LLC in managing BSPI and each of the GS Funds.
The business address for each member listed below is c/o Goldman Sachs & Co. LLC, 200 West Street, New York, New York 10282, except as follows: The business address of James Reynolds and Edward Forbes is Plumtree Court, 25 Shoe Lane, London EC4A 4AU, England. The business address of David Miller and Greg Watts is 11605 Haynes Bridge Rd. Suite 695, Alpharetta, GA 30009.
All members listed below are United States citizens, except as follows: James Reynolds is a citizen of France; Edward Forbes is a citizen of the United Kingdom; Beat Cabiallavetta is a citizen of Switzerland; and Nicole Agnew and Gregory Olafson are citizens of Canada.
NAME |
PRESENT PRINCIPAL OCCUPATION | |
Richard A. Friedman | Managing Director of Goldman Sachs & Co. LLC | |
Julian Salisbury | Managing Director of Goldman Sachs & Co. LLC | |
Nicole Agnew | Managing Director of Goldman Sachs & Co. LLC | |
Beat Cabiallavetta | Managing Director of Goldman Sachs & Co. LLC | |
Alex Chi | Managing Director of Goldman Sachs & Co. LLC | |
Hristo D. Dimitrov | Managing Director of Goldman Sachs & Co. LLC | |
Keith Braun | Managing Director of Goldman Sachs & Co. LLC | |
Tamilla Ghodsi | Managing Director of Goldman Sachs & Co. LLC | |
Stephanie Rader | Managing Director of Goldman Sachs & Co. LLC | |
Greg Watts | Managing Director of Goldman Sachs & Co. LLC | |
Edward Forbes | Vice President of Goldman Sachs International | |
Wendy J. Gorman | Managing Director of Goldman Sachs & Co. LLC | |
Michael E. Koester | Managing Director of Goldman Sachs & Co. LLC | |
David Miller | Managing Director of Goldman Sachs & Co. LLC | |
Gregory Olafson | Managing Director of Goldman Sachs & Co. LLC | |
James Reynolds | Managing Director of Goldman Sachs International | |
Jason Schuman | Vice President of Goldman Sachs & Co. LLC | |
Erica Olsen | Vice President of Goldman Sachs & Co. LLC |
SCHEDULE II-B
The name, position and present principal occupation of each executive officer of BSPI is set forth below.
The business address for all the executive officers listed below is c/o Goldman Sachs & Co. LLC, 200 West Street, New York, New York 10282, except as follows: The business address of each of Joseph P. DiSabato, Jason Kreuziger and David Campbell is 555 California Street, San Francisco, CA 94104. The business address of each of Oksana Beard, David Bell, Justin Betzen, Katherine Bloom, Michael Dalton, Michael Watts, Christopher (Chance) Monroe, James Huckaby, Christopher Nelson, Clayton Wilmer and Daniel Farrar is 2001 Ross Avenue, Suite 2800, Dallas, TX 75201. The business address of Johanna Volpi is 30 Hudson Street, Jersey City, NJ 07302. The business address of each of David Miller, Taylor Mefford and Gregory Watts is 11605 Haynes Bridge Rd. Suite 695, Alpharetta, GA 30009. The business address of Ryan Flanagan is 8105 Irvine Center Dr #560, Irvine, CA 92618.
All executive officers listed below are United States citizens, except as follows: Cedric Lucas is a citizen of France; Adrian M. Jones is a citizen of Ireland; Anthony Arnold is a citizen of the United Kingdom; Beat Cabiallavetta is a citizen of Switzerland; Harsh Nanda is a citizen of India; David Campbell is a citizen of Australia; Nicole Agnew, Gregory Olafson, Chris Kojima and Sebastien Gagnon are citizens of Canada.
NAME |
POSITION |
PRESENT PRINCIPAL OCCUPATION | ||
Richard A. Friedman | President | Managing Director of Goldman Sachs & Co. LLC | ||
Nicole Agnew | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Anthony Arnold | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Alex Chi | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Darren Cohen | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Joseph P. DiSabato | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jeffrey M. Fine | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Bradley J. Gross | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Adrian M. Jones | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Michael E. Koester | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Scott Lebovitz | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
David Miller | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Hillel Moerman | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jo Natauri | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Gregory Olafson | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Kenneth Pontarelli | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Laurie E. Schmidt | Vice President & Treasurer | Managing Director of Goldman Sachs & Co. LLC | ||
Leonard Seevers | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Michael Ungari | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Vikas Agrawal | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Daniel Alger | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Patrick Armstrong | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Oksana Beard | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Lee Becker | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
David Bell | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Allison Beller | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jeffrey Bernstein | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Justin Betzen | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Katherine Bloom | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jeff Boyd | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Steven Budig | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Beat Cabiallavetta | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
David Campbell | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Omar Chaudhary | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Alexander Cheek | Vice President | Managing Director of Goldman Sachs & Co. LLC |
William Chen | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Michael Dalton | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Dirk Degenaars | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Johanna Diaz | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Terence Doherty | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Ryan Flanagan | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Sebastien Gagnon | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Philip Grovit | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Ashwin Gupta | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
James Huckaby | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jonathan Hunt | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Christopher Kojima | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jason Kreuziger | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Lee Levy | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Christina Sun Li | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Cedric Lucas | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Taylor Mefford | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Christopher Monroe | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Antoine Munfa | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Harsh Nanda | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Christopher Nelson | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Jeff Possick | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Andrew Rhee | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Brady Schuck | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Cleaver Sower | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Gabriella Skirnick | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Sherry Wang | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Gregory Watts | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Letitia Webster | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Mark Wetzel | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Andrew White | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
William Y. Eng | Vice President | Vice President of Goldman Sachs & Co. LLC | ||
Scott Kilpatrick | Vice President | Vice President of Goldman Sachs & Co. LLC | ||
Michael Watts | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Clayton Wilmer | Vice President | Managing Director of Goldman Sachs & Co. LLC | ||
Carey Ziegler | Vice President & Secretary | Managing Director of Goldman Sachs & Co. LLC | ||
David Thomas | Vice President, Assistant Secretary & Assistant General Counsel | Managing Director of Goldman Sachs & Co. LLC | ||
Getty Chin | Vice President & Assistant Treasurer | Managing Director of Goldman Sachs & Co. LLC | ||
Daniel Farrar | Vice Preside nt & Assistant Treasurer | Vice President of Goldman Sachs & Co. LLC | ||
Kirsten Frivold Imohiosen | Vice President & Assistant Treasurer | Managing Director of Goldman Sachs & Co. LLC | ||
Larry Kleinman | Vice President & Assistant Treasurer | Managing Director of Goldman Sachs & Co. LLC | ||
Harvey Shapiro | Vice President & Assistant Treasurer | Managing Director of Goldman Sachs & Co. LLC | ||
Johanna Volpi | Vice President & Assistant Treasurer | Vice President of Goldman Sachs & Co. LLC |
SCHEDULE III
On October 22, 2020, The Goldman Sachs Group, Inc. (GS Group) entered into an order instituting cease and desist proceedings with the SEC, which alleged GS Group failed to reasonably maintain a sufficient system of internal accounting controls between 2012 and 2015 with respect to the process by which it reviewed and approved the commitment of firm capital in large, significant and complex transitions, such as the three bond offerings for 1Malaysia Development Berhad (1MDB), and that documentation prepared in connection with the 1MDB transactions did not accurately reflect certain aspects of the bond offerings, including the involvement of a third party intermediary in the offerings. GS Group has paid a civil money penalty in the amount of $400,000,000 and disgorgement of $606,300,000.
On September 27, 2022, the SEC entered an order in which it settled charges against Goldman Sachs & Co. LLC (GS & Co.) for violating certain recordkeeping and supervisory provisions of the Securities Exchange Act of 1934 by failing to maintain or preserve certain written business communications that were conducted on unapproved communication methods and failing to implement its policies and procedures that prohibit such communications. GS & Co. has paid a civil monetary penalty in the amount of $125,000,000 to the SEC in connection with these charges. Also on September 27, 2022, the Commodity Futures Trading Commission (the CFTC) issued an order filing and settling charges with GS & Co. for failing to maintain, preserve or produce records that were required to be kept under CFTC recordkeeping requirements and failing to diligently supervise matters related to its business as a CFTC registrant. GS & Co. has paid a civil monetary penalty of $75,000,000 to the CFTC.
SCHEDULE IV
All transactions disclosed in this Schedule IV were effected by Goldman Sachs & Co. LLC as part of basket transactions that included the Issuers Common Stock in the ordinary course of business. The transactions were for cash and effected in open market transactions on the NYSE.
Trade Date |
Buy/Sell | Quantity | Price | |||||||
1/31/2023 |
B | 85 | $ | 5.3010 | ||||||
1/31/2023 |
S | 748 | $ | 5.3000 | ||||||
1/31/2023 |
B | 663 | $ | 5.3010 | ||||||
2/1/2023 |
B | 100 | $ | 5.4200 | ||||||
2/1/2023 |
B | 167 | $ | 5.3000 | ||||||
2/1/2023 |
B | 404 | $ | 5.4114 | ||||||
2/10/2023 |
B | 1 | $ | 6.1300 | ||||||
2/27/2023 |
B | 91 | $ | 6.3600 | ||||||
2/28/2023 |
B | 915 | $ | 6.6905 | ||||||
2/28/2023 |
B | 310 | $ | 6.6900 | ||||||
2/28/2023 |
S | 1577 | $ | 6.6900 | ||||||
2/28/2023 |
B | 2 | $ | 6.2700 | ||||||
2/28/2023 |
B | 662 | $ | 6.6919 | ||||||
3/7/2023 |
S | 7 | $ | 6.2400 | ||||||
3/7/2023 |
S | 3 | $ | 6.2800 | ||||||
3/7/2023 |
S | 7 | $ | 6.4400 | ||||||
3/7/2023 |
S | 7 | $ | 6.2400 | ||||||
3/7/2023 |
S | 12 | $ | 6.2500 | ||||||
3/7/2023 |
S | 7 | $ | 6.2400 | ||||||
3/7/2023 |
S | 7 | $ | 6.1800 | ||||||
3/7/2023 |
S | 7 | $ | 6.2900 | ||||||
3/7/2023 |
S | 7 | $ | 6.2200 | ||||||
3/7/2023 |
S | 3 | $ | 6.3100 | ||||||
3/7/2023 |
S | 1 | $ | 6.2900 | ||||||
3/7/2023 |
S | 10 | $ | 6.1700 | ||||||
3/7/2023 |
S | 1 | $ | 6.2200 | ||||||
3/7/2023 |
S | 1 | $ | 6.1800 | ||||||
3/7/2023 |
S | 4 | $ | 6.4300 | ||||||
3/7/2023 |
S | 7 | $ | 6.2700 | ||||||
3/7/2023 |
S | 2 | $ | 6.2500 | ||||||
3/7/2023 |
S | 2 | $ | 6.2900 | ||||||
3/7/2023 |
S | 11 | $ | 6.3000 | ||||||
3/7/2023 |
S | 9 | $ | 6.1500 | ||||||
3/7/2023 |
S | 3 | $ | 6.1800 | ||||||
3/13/2023 |
B | 21 | $ | 6.4200 | ||||||
3/15/2023 |
S | 50 | $ | 5.9900 | ||||||
3/15/2023 |
S | 2 | $ | 5.8200 | ||||||
3/15/2023 |
S | 8 | $ | 5.8150 | ||||||
3/15/2023 |
S | 25 | $ | 5.9800 | ||||||
3/15/2023 |
S | 5 | $ | 5.8200 | ||||||
3/15/2023 |
S | 50 | $ | 5.9300 | ||||||
3/15/2023 |
S | 25 | $ | 5.9000 | ||||||
3/15/2023 |
S | 25 | $ | 5.8900 | ||||||
3/15/2023 |
S | 42 | $ | 6.0300 | ||||||
3/15/2023 |
S | 25 | $ | 6.0700 | ||||||
3/15/2023 |
S | 25 | $ | 5.9700 | ||||||
3/15/2023 |
S | 75 | $ | 5.9467 | ||||||
3/15/2023 |
S | 109 | $ | 6.0260 | ||||||
3/15/2023 |
S | 50 | $ | 5.8900 | ||||||
3/15/2023 |
S | 2 | $ | 5.8400 | ||||||
3/15/2023 |
S | 16 | $ | 5.8050 | ||||||
3/15/2023 |
S | 28 | $ | 6.0300 | ||||||
3/15/2023 |
S | 50 | $ | 5.9150 | ||||||
3/15/2023 |
S | 100 | $ | 5.8450 |
Trade Date |
Buy/Sell | Quantity | Price | |||||||
3/15/2023 |
S | 112 | $ | 5.8457 | ||||||
3/15/2023 |
S | 28 | $ | 6.0600 | ||||||
3/15/2023 |
S | 50 | $ | 5.9900 | ||||||
3/16/2023 |
S | 181 | $ | 6.1387 | ||||||
3/16/2023 |
S | 51 | $ | 6.6019 | ||||||
3/16/2023 |
S | 203 | $ | 6.6167 | ||||||
3/16/2023 |
S | 100 | $ | 6.5000 | ||||||
3/16/2023 |
S | 28 | $ | 6.6400 | ||||||
3/16/2023 |
S | 50 | $ | 6.5950 | ||||||
3/16/2023 |
S | 104 | $ | 6.6168 | ||||||
3/16/2023 |
S | 129 | $ | 6.6227 | ||||||
3/16/2023 |
S | 6 | $ | 6.6650 | ||||||
3/16/2023 |
S | 31 | $ | 6.1926 | ||||||
3/16/2023 |
S | 127 | $ | 6.5955 | ||||||
3/16/2023 |
S | 27 | $ | 6.6300 | ||||||
3/16/2023 |
S | 15 | $ | 6.1200 | ||||||
3/16/2023 |
S | 28 | $ | 6.2000 | ||||||
3/16/2023 |
S | 2 | $ | 6.5800 | ||||||
3/16/2023 |
S | 28 | $ | 6.6700 | ||||||
3/16/2023 |
S | 115 | $ | 6.6257 | ||||||
3/16/2023 |
S | 22 | $ | 6.4600 | ||||||
3/16/2023 |
S | 70 | $ | 6.6229 | ||||||
3/16/2023 |
S | 44 | $ | 6.5609 | ||||||
3/16/2023 |
S | 84 | $ | 6.6361 | ||||||
3/16/2023 |
S | 102 | $ | 6.5860 | ||||||
3/16/2023 |
S | 59 | $ | 6.1795 | ||||||
3/16/2023 |
S | 50 | $ | 6.4400 | ||||||
3/17/2023 |
S | 44 | $ | 6.6900 | ||||||
3/17/2023 |
S | 38 | $ | 6.4600 | ||||||
3/17/2023 |
S | 250 | $ | 6.5179 | ||||||
3/17/2023 |
S | 5 | $ | 6.5000 | ||||||
3/17/2023 |
S | 169 | $ | 6.4704 | ||||||
3/17/2023 |
S | 51 | $ | 6.4900 | ||||||
3/17/2023 |
S | 207 | $ | 6.4942 | ||||||
3/17/2023 |
S | 102 | $ | 6.5084 | ||||||
3/17/2023 |
S | 95 | $ | 6.6211 | ||||||
3/17/2023 |
S | 42 | $ | 6.5000 | ||||||
3/17/2023 |
S | 100 | $ | 6.5250 | ||||||
3/17/2023 |
S | 48 | $ | 6.3200 | ||||||
3/17/2023 |
S | 80 | $ | 6.4300 | ||||||
3/17/2023 |
S | 238 | $ | 6.5037 | ||||||
3/17/2023 |
S | 22 | $ | 6.5800 | ||||||
3/17/2023 |
S | 211 | $ | 6.4638 | ||||||
3/17/2023 |
S | 17 | $ | 6.4700 | ||||||
3/17/2023 |
S | 109 | $ | 6.4622 | ||||||
3/17/2023 |
S | 131 | $ | 6.4854 | ||||||
3/17/2023 |
S | 4 | $ | 6.4900 | ||||||
3/17/2023 |
S | 200 | $ | 6.5281 | ||||||
3/17/2023 |
S | 168 | $ | 6.5743 | ||||||
3/17/2023 |
S | 100 | $ | 6.5500 | ||||||
3/17/2023 |
S | 325 | $ | 6.5690 | ||||||
3/17/2023 |
S | 175 | $ | 6.4266 | ||||||
3/17/2023 |
xA0; | S | 48 | $ | 6.3600 | |||||
3/17/2023 |
S | 159 | $ | 6.4730 | ||||||
3/17/2023 |
S | 267 | $ | 6.4633 | ||||||
3/17/2023 |
S | 146 | $ | 6.4993 | ||||||
3/17/2023 |
S | 71 | $ | 6.3700 | ||||||
3/17/2023 |
S | 133 | $ | 6.4905 | ||||||
3/17/2023 |
S | 46 | $ | 6.5230 | ||||||
3/17/2023 |
B | 6461 | $ | 6.5800 | ||||||
3/20/2023 |
S | 2 | $ | 6.3900 |