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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 | ||||||||
Units of Malibu Boats Holdings, LLC | (1) | 02/05/2014 | A | 185,901 | (1) | (1) | Class A Common Stock | 185,901 | $ 0 (2) | 185,901 | D | ||||
Units of Malibu Boats Holdings, LLC | (1) | 02/05/2014 | D | 31,128 | (1) | (1) | Class A Common Stock | 31,128 | $ 13.02 | 154,773 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Anderson Ritchie L. 5075 KIMBERLY WAY LOUDON,, TN 37774 |
Chief Operating Officer |
/s/ Ritchie L. Anderson | 02/07/2014 | |
**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) | Pursuant to the terms of an exchange agreement, units of Malibu Boats Holdings, LLC are exchangeable for shares of Class A Common Stock of Malibu Boats, Inc. on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassification, or for cash (except in the event of a change in control), at the election of Malibu Boats, Inc. |
(2) | These units were received in exchanae for previously-owned membership interest of Malibu Boats Holdings, LLC (the "LLC") in connection with the recapitalization of the LLC, pursuant to the terms of the First Amended and Restated Limited Liability Company Ageement of the LLC, immediately prior to the closing of the initial public offering of Malibu Boats, Inc. pursuant to the registration statement on Form S-1 (File No. 333-192862). |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |