Accession Number: | 0001140361-20-023082 |
Date: | 2020-10-13 |
Issuer: | GRAFTECH INTERNATIONAL LTD (EAF) |
Original Submission Date: |
BCP GP LTD
C/O BROOKFIELD ASSET MANAGEMENT INC.
181 BAY ST, STE. 300
TORONTO, A6 M5J2T3
BROOKFIELD PRIVATE FUNDS HOLDINGS INC.
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO, A6 M5J2T3
BROOKFIELD BBP CANADIAN GP L.P.
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO, A6 M5J2T3
BROOKFIELD BUSINESS L.P.
73 FRONT STREET, 5TH FLOOR
HAMILTON, D0 HM 12
BROOKFIELD BUSINESS PARTNERS LTD
73 FRONT STREET, 5TH FLOOR
HAMILTON, D0 HM 12
BCP IV (US PLAN) LP
BROOKFIELD PLACE
200 VESEY STREET
NEW YORK, NY 10281-1023
BCP IV (UK PLAN) LP
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO, A6 M5J2T3
BCP IV (CDN PLAN) LP
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO, A6 M5J2T3
BCP IV BERMUDA INVESTOR LP
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO, A6 M5J2T3
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2020-10-13 | S | 34,393 | d | $7.26 | 171,944,427 | indirect | ||
COMMON STOCK | 2020-10-13 | S | 36,223 | d | $7.26 | 171,908,204 | indirect | ||
COMMON STOCK | 2020-10-13 | S | 64,384 | d | $7.26 | 171,843,820 | indirect | ||
COMMON STOCK | 2020-10-14 | S | 35,438 | d | $7.40 | 171,808,382 | indirect | ||
COMMON STOCK | 2020-10-14 | S | 37,324 | d | $7.40 | 171,771,058 | indirect | ||
COMMON STOCK | 2020-10-14 | S | 66,341 | d | $7.40 | 171,704,717 | indirect | ||
COMMON STOCK | 2020-10-15 | S | 34,902 | d | $7.24 | 171,669,815 | indirect | ||
COMMON STOCK | 2020-10-15 | S | 36,760 | d | $7.24 | 171,633,055 | indirect | ||
COMMON STOCK | 2020-10-15 | S | 65,338 | d | $7.24 | 171,567,717 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | the sales reported in this form 4 (the "sales") were effected pursuant to a rule 10b5-1 trading plan adopted by bpe iv (non-cdn) gp lp, brookfield bbp (canada) l.p. and brookfield bbp canada holdings inc. |
f2 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of bpe iv (non-cdn) gp lp in multiple transactions at prices ranging from $7.18 to $7.38 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f3 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of brookfield bbp (canada) l.p. in multiple transactions at prices ranging from $7.18 to $7.38 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f4 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of brookfield bbp canada holdings inc. in multiple transactions at prices ranging from $7.18 to $7.38 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f5 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of bpe iv (non-cdn) gp lp in multiple transactions at prices ranging from $7.11 to $7.50 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f6 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of brookfield bbp (canada) l.p. in multiple transactions at prices ranging from $7.11 to $7.50 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f7 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of brookfield bbp canada holdings inc. in multiple transactions at prices ranging from $7.11 to $7.50 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f8 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of bpe iv (non-cdn) gp lp in multiple transactions at prices ranging from $7.00 to $7.41 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f9 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of brookfield bbp (canada) l.p. in multiple transactions at prices ranging from $7.00 to $7.41 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f10 | the price reported in column 4 is a weighted average price. these shares were sold on behalf of brookfield bbp canada holdings inc. in multiple transactions at prices ranging from $7.00 to $7.41 inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f11 | following the sales, consists of (i) 149,216,541 shares of common stock held directly by bcp iv; (ii) 5,694,065 shares of common stock held directly by bpe iv (non-cdn) gp lp, for itself and as nominee for bcp iv (us plan) lp, bcp iv (uk plan) lp, bcp iv (cdn plan) lp and bcp iv bermuda investor lp; (iii) 5,997,150 shares of common stock held directly by brookfield bbp (canada) l.p.; (iv) 10,659,434 shares of common stock held directly by brookfield bbp canada holdings inc.; and (v) 527 shares of common stock held directly by brookfield private funds holdings inc. |
f12 | bam, by virtue of its relationships with these entities, may be deemed to share beneficial ownership of all of these shares. |
f13 | bpe iv (non-cdn) gp lp, brookfield capital partners ltd., bcp gp limited, brookfield private equity group holdings lp, brookfield private equity inc. and bam, by virtue of their relationships with bcp iv, may be deemed to share beneficial ownership in the shares held directly by bcp iv. brookfield capital partners ltd., bcp gp limited, brookfield private equity group holdings lp, brookfield private equity inc. and bam, by virtue of their relationships with bpe iv (non-cdn) gp lp, bcp iv (uk plan) lp, bcp iv (cdn plan) lp and bcp iv bermuda investor lp, may be deemed to share beneficial ownership in the shares held directly by bpe iv (non-cdn) gp lp for itself and as nominee for bcp iv (uk plan) lp, bcp iv (cdn plan) lp and bcp iv bermuda investor lp. |
f14 | brookfield private equity holdings llc, brookfield us inc. and bam, by virtue of their relationships with bcp iv (us plan) lp, may be deemed to share beneficial ownership in the shares held directly by bpe iv (non-cdn) gp lp as nominee for bcp iv (us plan) lp. brookfield bbp canadian gp l.p., brookfield cangp limited, brookfield private equity inc. and bam, by virtue of their relationships with brookfield bbp (canada) l.p., may be deemed to share beneficial ownership in the shares held directly by brookfield bbp (canada) l.p. |
f15 | brookfield business l.p., brookfield business partners l.p., brookfield business partners limited and bam, by virtue of their relationships with brookfield bbp canada holdings inc., may be deemed to share beneficial ownership in the shares held directly by brookfield bbp canada holdings inc. bam, by virtue of its relationship with brookfield private funds holdings inc., may be deemed to share beneficial ownership in the shares held directly by brookfield private funds holdings inc. |
f16 | each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of section 16 of the exchange act, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of section 16 of the exchange act, or for any other purpose. |