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.
"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
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.)
GUESS? INC
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(NAME OF ISSUER)
Class A Ordinary Shares (Par Value $0.01)
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(TITLE OF CLASS OF SECURITIES)
401617105
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(CUSIP NUMBER)
December 29, 2023
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|x| Rule 13d-1(b)
|_| Rule 13d-1(c)
|_| Rule 13d-1(d)
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1. Names of Reporting Persons.
Deutsche Bank AG*
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2. Check the Appropriate Box If a Member of a Group
(See Instructions)
(a) |_|
(b) |_|
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3. SEC Use Only
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4. Citizenship or Place of Organization
Federal Republic of Germany
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5. SOLE VOTING POWER
4,232,712
-------------------------------------------------------------
6. SHARED VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 4,232,712
-------------------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
4,232,712 including 1,688,577 common shares, 522,135 common shares
if convertible bonds are converted, and 2,022,000 common shares if
call options are exercised
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) |_|
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11. Percent of Class Represented by Amount in Row (9)
7.8%
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12. Type of Reporting Person
FI
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* In accordance with Securities Exchange Act Release No. 39538 (January 12,
1998), this filing reflects the securities beneficially owned by
Investment Bank ("IB") of Deutsche Bank AG and its subsidiaries and
affiliates (collectively, "DBAG"). This filing does not reflect securities,
if any, beneficially owned by any other business group of DBAG. Consistent
with Rule 13d-4 under the Securities Exchange Act of 1934 ("Act"),
this filing shall not be construed as an admission that IB is, for purposes
of Section 13(d) under the Act, the beneficial owner of any securities
covered by the filing. Furthermore, IB disclaims beneficial ownership of
the securities beneficially owned by (i) any client accounts with respect
to which IB or its employees have voting or investment discretion, or both,
and (ii) certain investment entities, of which IB is the general partner,
managing general partner, or other manager, to the extent interests in such
entities are held by persons other than IB.
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1. Names of Reporting Persons.
Deutsche Bank Securities Inc.
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2. Check the Appropriate Box If a Member of a Group
(See Instructions)
(a) |_|
(b) |_|
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3. SEC Use Only d
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4. Citizenship or Place of Organization
Delaware
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5. SOLE VOTING POWER
522,135
-------------------------------------------------------------
6. SHARED VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 522,135
-------------------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
522,135
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) |_|
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11. Percent of Class Represented by Amount in Row (9)
0.9%
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12. Type of Reporting Person
CO, BD
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1. Names of Reporting Persons.
Deutsche Bank Trust Company Americas
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2. Check the Appropriate Box If a Member of a Group
(See Instructions)
(a) |_|
(b) |_|
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3. SEC Use Only
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4. Citizenship or Place of Organization
New York
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5. SOLE VOTING POWER
9,712
-------------------------------------------------------------
6. SHARED VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 9,712
-------------------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
9,712
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) |_|
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11. Percent of Class Represented by Amount in Row (9)
0.0%
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12. Type of Reporting Person
BK
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Item 1.
(a) Name of Issuer:
GUESS? INC
(b) Address of Issuer's Principal Executive Offices:
1444 South Alameda Street
Los Angeles, California 90021
United States
Item 2.
(a) Name of Person Filing:
This statement is filed on behalf of Deutsche Bank AG ("Reporting
Person").
(b) Address of the Principal Office or, if none, residence:
Taunusanlage 12
60325 Frankfurt am Main
Federal Republic of Germany
(c) Citizenship:
The citizenship of the Reporting Person is set forth on the cover page.
(d) Title of Class of Securities:
Class A Ordinary Shares, par value $0.01 ("Shares").
Convertible Bond
Call Options
(e) CUSIP Number:
The CUSIP number of the Ordinary Shares is set forth on the cover page.
Item 3. If this statement is filed pursuant to SS.240.13d-1(b) or 240.13d-2(b)
or (c), check whether the person filing is a:
(a) |X| Broker or dealer registered under section 15 of the Act
(15 U.S.C. 78o).
Deutsche Bank Securities Inc.
(b) |X| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
Deutsche Bank Trust Company Americas
(c) |_| Insurance company as defined in section 3(a)(19) of the 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) |_| An investment adviser in accordance with S.240.13d-1(b)(1)(ii)(E);
(f) |_| An employee benefit plan or endowment fund in accordance with
S.240.13d-1(b)(1)(ii)(F);
(g) |_| A parent holding company or control person in accordance with
S. 240.13d-1(b)(1)(ii)(G);
(h) |_| A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) |_| A 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) |X| A non-U.S. institution in accordance with Group, in accordance with
Rule 13d-1 (b)(1)(ii)(J).
Deutsche Bank AG
(k) |_| Group, in accordance with S.240.13d-1(b)(1)(ii)(J).
Item 4. Ownership.
(a) Amount beneficially owned:
The Reporting Person owns the amount of the Ordinary Shares as set
forth on the cover page.
(b) Percent of class:
The Reporting Person owns the percentage of the Ordinary Shares as set
forth on the cover page.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote
The Reporting Person has the sole power to vote or direct
the vote of the Ordinary Shares as set forth on the cover page.
(ii) Shared power to vote or to direct the vote
The Reporting Person has the shared power to vote or direct
the vote of the Ordinary Shares as set forth on the cover page.
(iii) Sole power to dispose or to direct the disposition of
The Reporting Person has the sole power to dispose or direct
the disposition of the Ordinary Shares as set forth on the
cover page.
(iv) Shared power to dispose or to direct the disposition of
The Reporting Person has the shared power to dispose or direct
the disposition of the Ordinary Shares as set forth on the
cover page.
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 or Control Person.
Subsidiary Item 3 Classification
Deutsche Bank Securities Inc. BD
Deutsche Bank Trust Company Americas BK
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 I certify that, to the best of my knowledge and
belief, the foreign regulatory scheme applicable to a bank organized
under the laws of the Federal Republic of Germany is substantially
comparable to the regulatory scheme applicable to the functionally
equivalent U.S. institution. I also undertake to furnish to the
Commission staff, upon request, information that would otherwise be
disclosed in a Schedule 13D.
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.
Dated: February 13, 2024
Deutsche Bank AG
By: /s/ Michael Caro
Name: Michael Caro
Title: Vice President