SEC FORM
4/A
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE, NW SUITE 220 S |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
YRC Worldwide Inc.
[ YRCW ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 12/05/2011
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4. If Amendment, Date of Original Filed
(Month/Day/Year) 12/07/2011
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
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429,843
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I |
See Footnotes
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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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 |
10% Series B Convertible Senior Secured Notes due 2015 |
$18.5334
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12/05/2011 |
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P |
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1,767,213 |
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09/16/2011 |
03/31/2015 |
Common Stock |
134,171
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$1,952,770
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12,085,003 |
I |
See Footnotes
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10% Series B Convertible Senior Secured Notes due 2015 |
$18.5334
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12/06/2011 |
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P |
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1,169,467 |
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09/16/2011 |
03/31/2015 |
Common Stock |
88,789
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$1,286,414
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13,254,470 |
I |
See Footnotes
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10% Series B Convertible Senior Secured Notes due 2015 |
$18.5334
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12/06/2011 |
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P |
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3,356,638 |
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09/16/2011 |
03/31/2015 |
Common Stock |
254,844
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$3,683,910
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16,611,108 |
I |
See Footnotes
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE, NW SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE., NW, SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE., NW, SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE., NW, SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE, NW SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE, NW SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE, NW SUITE 220 S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE, NW SUITE 220 S |
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ John Beczak, attorney-in-fact for David M. Rubenstein |
12/09/2011 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
rrd293515_331216.html
Exhibit 99.1
Joint Filer Information
Date of Event
Requiring Statement: December 5, 2011
Issuer Name and Ticker
or Trading Symbol: YRC Worldwide Inc. [ YRCW ]
Designated Filer: DBD Cayman Holdings, Ltd.
Other Joint Filers: DBD Cayman, Ltd.
TCG Holdings Cayman II, L.P.
TC Group Cayman Investment Holdings, L.P.
TC Group CSP II, L.L.C.
CSP II General Partner, L.P.
Carlyle Strategic Partners II, L.P.
CSP II Coinvestment, L.P.
Addresses: The principal business address of each of DBD Cayman,
Ltd., TCG Holdings Cayman II, L.P. and TC Group
Cayman Investment Holdings, L.P. is c/o Walkers
Corporate Services Limited, Walker House, 87 Mary
Street, George Town, Grand Cayman KY1-9001, Cayman
Islands.
The principal business address of each of TC Group
CSP II, L.L.C., CSP II General Partner, L.P., Carlyle
Strategic Partners II, L.P. and CSP II Coinvestment,
L.P. is c/o The Carlyle Group, 1001 Pennsylvania Ave.,
N.W., Suite 220 South, Washington, DC 20004-2505.
Signatures:
Dated: December 9, 2011
DBD Cayman Holdings, Ltd.
by: /s/ John Beczak,
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attorney in fact for David M. Rubenstein
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Name: David M. Rubenstein
Title: Ordinary Member
DBD Cayman, Ltd.
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
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attorney in fact for David M. Rubenstein
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Name: David M. Rubenstein
Title: Ordinary Member
TCG Holdings Cayman II, L.P.
by: DBD Cayman, Ltd., its general partner
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
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attorney in fact for David M. Rubenstein
----------------------------------------------------
Name: David M. Rubenstein
Title: Ordinary Member
TC Group Cayman Investment Holdings, L.P.
by: TCG Holdings Cayman II, L.P., its general partner
by: DBD Cayman, Ltd., its general partner
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
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attorney in fact for David M. Rubenstein
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Name: David M. Rubenstein
Title: Ordinary Member
TC Group CSP II, L.L.C.
by: TC Group Cayman Investment Holdings, L.P.,
its managing member
by: TCG Holdings Cayman II, L.P., its general partner
by: DBD Cayman, Ltd., its general partner
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
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attorney in fact for David M. Rubenstein
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Name: David M. Rubenstein
Title: Ordinary Member
CSP II General Partner, L.P.
by: TC Group CSP II, L.L.C., its general partner
by: TC Group Cayman Investment Holdings, L.P.,
its managing member
by: TCG Holdings Cayman II, L.P., its general partner
by: DBD Cayman, Ltd., its general partner
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
------------------
attorney in fact for David M. Rubenstein
--------------------------------------------
Name: David M. Rubenstein
Title: Ordinary Member
Carlyle Strategic Partners II, L.P.
by: CSP II General Partner, L.P., its general partner
by: TC Group CSP II, L.L.C., its general partner
by: TC Group Cayman Investment Holdings, L.P.,
its sole shareholder
by: TCG Holdings Cayman II, L.P., its general partner
by: DBD Cayman, Ltd., its general partner
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
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attorney in fact for David M. Rubenstein
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Name: David M. Rubenstein
Title: Ordinary Member
CSP II Coinvestment, L.P.
by: CSP II General Partner, L.P., its general partner
by: TC Group CSP II, L.L.C., its general partner
by: TC Group Cayman Investment Holdings, L.P.,
its sole shareholder
by: TCG Holdings Cayman II, L.P., its general partner
by: DBD Cayman, Ltd., its general partner
by: DBD Cayman Holdings, Ltd., its sole shareholder
by: /s/ John Beczak,
------------------
attorney in fact for David M. Rubenstein
--------------------------------------------
Name: David M. Rubenstein
Title: Ordinary Member