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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Janszen Timothy 21 WATERWAY AVENUE, SUITE 150 THE WOODLANDS, TX 77380 |
X | X |
/s/ Timothy T. Janszen | 09/30/2015 | |
**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) | Distribution of shares of J. Alexander's Holdings, Inc. ("JAX") common stock pursuant to the spin-off transaction separating JAX from its parent, Fidelity National Financial, Inc. ("FNF"), pursuant to which FNF distributed one hundred percent (100%) of its shares of JAX common stock, on a pro rata basis, to the holders of FNFV Group common stock, the tracking stock of FNF, listed on The New York Stock Exchange as of the record date of September 22, 2015. |
(2) | Reflects 1,627,991 shares of JAX common stock held by Newport Global Opportunities Fund AIV-A LP. Newport Global Advisors is the investment manager to Newport Global Opportunities Fund AIV-A LP. Mr. Janszen is the Chief Executive Officer of Newport Global Advisors and, as a result, may be deemed to have sole voting and investment power over the shares beneficially owned by Newport Global Opportunities Fund AIV-A LP. Mr. Janszen disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |