|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COULTER JAMES G C/O TPG CAPITAL, L.P. 301 COMMERCE STREET, SUITE 3300 FORTH WORTH, TX 76102 |
X | |||
TPG Advisors V, Inc. C/O TPG CAPITAL, L.P. 301 COMMERCE STREET, SUITE 3300 FORT WORTH, TX 76102 |
X | |||
TPG Advisors VI, Inc. C/O TPG CAPITAL, L.P. 301 COMMERCE STREET, SUITE 3300 FORT WORTH, TX 76102 |
X |
/s/ Clive D. Bode, Vice President and Secretary, TPG Advisors V, Inc. (5) | 10/05/2009 | |
**Signature of Reporting Person | Date | |
/s/ Clive D. Bode, Vice President and Secretary, TPG Advisors VI, Inc. | 10/05/2009 | |
**Signature of Reporting Person | Date | |
/s/ Clive D. Bode, on behalf of James G. Coulter (5) (6) | 10/05/2009 | |
**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) | James Coulter is an officer, director and shareholder of each of TPG Advisors V, Inc., a Delaware corporation ("Advisors V") and TPG Advisors VI, Inc., a Delaware corporation ("Advisors VI" and, together with Mr. Coulter and Advisors V, the "Reporting Persons"). Advisors V is the general partner of TPG GenPar V, L.P., a Delaware limited partnership, which is the sole general partner of TPG Partners V, L.P., a Delaware limited partnership ("Partners V"), which in turn is the managing member of Armor TPG Holdings LLC, a Delaware limited liabilty company ("Armor"), which directly holds the 7,001,892 shares of common stock of Armstrong World Indsturies, Inc. ("AWI") reported herein. |
(2) | Prior to the closing of the Purchase and Sale Agreement dated as of August 10, 2009 (the "PSA") by and among Partners V and TPG Partners VI, L.P. (collectively, the "TPG Partners") and Armstrong World Industries, Inc. Asbestos Personal Injury Settlement Trust, the TPG Partners assigned their rights and obligations under the PSA to Armor. |
(3) | 1,892 shares were validly tendered and accepted for payment through a tender offer (the "Tender Offer") to purchase 4,435,935 shares of common stock of AWI. The Tender Offer was made to fulfill obligations that arose under AWI's Amended and Restated Articles of Incorporation following Armor's purchase of AWI common stock and entry into a prepaid share forward transaction pursuant to the PSA. |
(4) | Because of the Reporting Persons' respective relationships to Armor, for reporting purposes under Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the Reporting Persons may be deemed to beneficially own the AWI common stock held by Armor to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of Armor. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any shares of AWI common stock in excess of such amounts. |
Remarks: (5) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (6) Clive D. Bode is signing on behalf of Mr. Coulter pursuant to the authorization and designation letter dated September 1, 2009, which was previously filed with the Securities and Exchange Commission. |