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Metro SPV LLC, et al. – ‘4’ for 4/10/19 re: Affinion Group Holdings, Inc.

On:  Friday, 4/12/19, at 8:34pm ET   ·   For:  4/10/19   ·   Accession #:  1567619-19-8767   ·   File #:  0-55577

Previous ‘4’:  ‘4’ on 3/4/19 for 2/28/19   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/12/19  Metro SPV LLC                     4                      1:29K  Affinion Group Holdings, Inc.     Broadridge Fin’l… Inc/FA
          ICG Strategic Secondaries II GP LP
          ICG Strategic Equity Associates II LLC
          Intermediate Capital Group, Inc.
          Icg FMC Ltd.
          Intermediate Capital Group plc

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- doc1.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  4/10/19
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1404624
Issuer Name:  Affinion Group Holdings, Inc.
Issuer Trading Symbol:  AFGR
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1704963
Owner Name:  Metro SPV LLC
Reporting Owner Address:
Owner Street 1:  C/O INTERMEDIATE CAPITAL GROUP, INC.
Owner Street 2:  600 LEXINGTON AVENUE, 24TH FLOOR
Owner City:  NEW YORK
Owner State:  NY
Owner ZIP Code:  10022
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  Yes
Is Other?  Yes
Officer Title:
Other Text:  See Remarks
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1704900
Owner Name:  ICG Strategic Secondaries II GP LP
Reporting Owner Address:
Owner Street 1:  C/O INTERMEDIATE CAPITAL GROUP, INC.
Owner Street 2:  600 LEXINGTON AVENUE, 24TH FLOOR
Owner City:  NEW YORK
Owner State:  NY
Owner ZIP Code:  10022
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Remarks
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1704887
Owner Name:  ICG Strategic Equity Associates II LLC
Reporting Owner Address:
Owner Street 1:  C/O INTERMEDIATE CAPITAL GROUP, INC.
Owner Street 2:  600 LEXINGTON AVENUE, 24TH FLOOR
Owner City:  NEW YORK
Owner State:  NY
Owner ZIP Code:  10022
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Remarks
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1705157
Owner Name:  Intermediate Capital Group, Inc.
Reporting Owner Address:
Owner Street 1:  600 LEXINGTON AVENUE, 24TH FLOOR
Owner Street 2:
Owner City:  NEW YORK
Owner State:  NY
Owner ZIP Code:  10022
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Remarks
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1705292
Owner Name:  ICG FMC Ltd
Reporting Owner Address:
Owner Street 1:  C/O INTERMEDIATE CAPITAL GROUP PLC,
Owner Street 2:  JUXON HOUSE, 100 ST. PAUL'S, CHURCHYARD
Owner City:  LONDON
Owner State:  X0
Owner ZIP Code:  EC4M 8BU
Owner State Description:  UNITED KINGDOM
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Remarks
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1705162
Owner Name:  Intermediate Capital Group plc
Reporting Owner Address:
Owner Street 1:  JUXON HOUSE, 100 ST. PAUL'S, CHURCHYARD
Owner Street 2:
Owner City:  LONDON
Owner State:  X0
Owner ZIP Code:  EC4M 8BU
Owner State Description:  UNITED KINGDOM
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Remarks
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Class M Common Stock, par value $0.01 per share
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  144,409
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  144,409
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Non-Derivative Transaction:
Security Title:
Value:  Class M Common Stock, par value $0.01 per share
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  144,409
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Non-Derivative Transaction:
Security Title:
Value:  (New) Common Stock, par value $0.000001 per share
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  144,409
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  144,409
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Non-Derivative Transaction:
Security Title:
Value:  (Old) Common Stock, par value $0.01 per share
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  2,487,391
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Warrant (right to buy)
Conversion or Exercise Price:
Value:  0.01
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  113,536
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  5/10/17
Expiration Date:
Value:  11/10/22
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  113,536
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  Warrant (right to buy)
Conversion or Exercise Price:
Value:  0.01
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  462,266
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  11/9/15
Expiration Date:
Value:  11/9/22
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  462,266
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  Warrant (right to buy)
Conversion or Exercise Price:
Value:  0.01
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  112,590
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  7/17/17
Expiration Date:
Value:  11/10/22
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  112,590
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  Class C Common Stock, $0.01 par value per share
Conversion or Exercise Price:
Value:  67.14
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  522
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F1
Footnote ID:  F2
Expiration Date:
Footnote ID:  F5
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  522
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  Class D Common Stock, $0.01 par value per share
Conversion or Exercise Price:
Value:  88.07
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  549
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F1
Footnote ID:  F2
Expiration Date:
Footnote ID:  F5
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  549
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  New Penny Warrants
Conversion or Exercise Price:
Value:  0.01
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  1,453,149
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F1
Footnote ID:  F2
Expiration Date:
Footnote ID:  F1
Footnote ID:  F2
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  1,453,149
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,453,149
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  New Investor Warrants
Conversion or Exercise Price:
Value:  67.12
Transaction Date:
Value:  4/10/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  J
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Amounts:
Transaction Shares:
Value:  284,494
Footnote ID:  F1
Footnote ID:  F2
Transaction Price Per Share:
Footnote ID:  F1
Footnote ID:  F2
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F1
Footnote ID:  F2
Expiration Date:
Value:  4/10/24
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  284,494
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  284,494
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnote ID:  F3
Footnote ID:  F4
Footnotes:
Footnote - F1:  On April 10, 2019, Metro SPV LLC completed the transactions described in the Issuer's Current Report on Form 8-K filed March 4, 2019 (the "Restructuring"). In connection with the Restructuring: ? Metro SPV LLC received 144,409 shares of the Issuer's Class M Common Stock, par value $0.01 per share (the "Class M Common Stock") and warrants (the "New Penny Warrants") to purchase 1,453,149 shares of common stock, par value $0.000001 per share (the "New Common Stock") in exchange for debt obligations of the Issuer owing to in the aggregate amount of $94,837,764 and as consideration for agreeing to purchase certain new debt obligations of the Issuer; ? the 144,409 shares of Class M Common Stock were immediately converted into 144,409 shares of New Common Stock; and ? all existing warrants held by Metro SPV LLC were exercised according to their terms for shares of common stock, par value $0.01 per share (the "Old Common Stock").
Footnote - F2:  On April 10, 2019, in connection with the Restructuring: ? all shares of Old Common Stock (including shares acquired as a result of the warrant exercises described above) held by Metro SPV LLC were exchanged for warrants to purchase 284,494 shares of New Common Stock (the "New Investor Warrants"); and ? Metro SPV LLC surrendered all shares of Class C Common Stock, $0.01 par value per share (the "Class C Common Stock") and Class D Common Stock, $0.01 par value per share (the "Class D Common Stock") in exchange for $0.01 in cash per share. The New Penny Warrants have no expiration date. The New Penny Warrants and New Investor Warrants cannot be exercised until such time as any required consent has been obtained from the U.K. Financial Conduct Authority. Such consent has not been obtained.
Footnote - F3:  This Form 4 is being filed jointly pursuant to Rule 16a-1(a)(3) and Rule 16a-3(j) under the Securities Exchange Act of 1934, as amended (the "Exchange Act") to report the beneficial ownership of Metro SPV LLC (the "SPV"), ICG Strategic Secondaries II GP LP (the "Secondaries Fund GP"), ICG Strategic Equity Associates II LLC ("Equity Associates"), Intermediate Capital Group, Inc. ("ICG, Inc."), ICG FMC Limited ("ICG FMC") and Intermediate Capital Group plc ("ICG plc") (together, the "Reporting Persons").
Footnote - F4:  The reported securities may be deemed to be owned directly by the SPV and indirectly by (a) the Equity Fund GP as the managing member of the SPV, (b) Equity Associates as the general partner of the Equity Fund GP, (c) ICG, Inc. as the sole managing member of Equity Associates, (d) ICG FMC as ICG, Inc. is its wholly-owned subsidiary and (e) ICG plc as ICG FMC is its wholly-owned subsidiary.
Footnote - F5:  The Class C/D Common Stock has no expiration date.
Remarks:  For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the Reporting Persons are deemed to be directors by deputization due to Christophe Browne's service as a member of the board of directors of the Issuer.
Owner Signature:
Signature Name:  /s/ Metro SPV LLC, By: ICG Strategic Secondaries II GP LP, its managing member, By: ICG Strategic Equity Associates II LLC, its general partner, By: /s/ Andrew Hawkins, Name: Andrew Hawkins, Title: Authorized Signatory
Signature Date:  4/12/19
Owner Signature:
Signature Name:  /s/ ICG Strategic Secondaries II GP LP, By: ICG Strategic Equity Associates II LLC, its general partner, By: /s/ Andrew Hawkins, Name: Andrew Hawkins, Title: Authorized Signatory
Signature Date:  4/12/19
Owner Signature:
Signature Name:  /s/ ICG Strategic Equity Associates II LLC, By: /s/ Andrew Hawkins, Name: Andrew Hawkins, Title: Authorized Signatory
Signature Date:  4/12/19
Owner Signature:
Signature Name:  /s/ Intermediate Capital Group, Inc., By: /s/ Peter Lin, Name: Peter Lin, Title: Chief Compliance Officer
Signature Date:  4/12/19
Owner Signature:
Signature Name:  /s/ ICG FMC Limited, By: /s/ Peter Lin, Name: Peter Lin, Title: Authorized Signatory
Signature Date:  4/12/19
Owner Signature:
Signature Name:  /s/ Intermediate Capital Group plc, By: /s/ Peter Lin, Name: Peter Lin, Title: Authorized Signatory
Signature Date:  4/12/19


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Filing Submission 0001567619-19-008767   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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