SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 02/10/2010
|
3. Issuer Name and Ticker or Trading Symbol
GENERAC HOLDINGS INC.
[ GNRC ]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
X |
10% Owner |
|
Officer (give title below) |
|
Other (specify below) |
|
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
|
Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Common Stock, par value $0.01 per share |
39,907,438 |
D
|
|
Common Stock, par value $0.01 per share |
24,195,367 |
D
|
|
Common Stock, par value $0.01 per share |
3,225,209 |
D
|
|
Common Stock, par value $0.01 per share |
12,477,487 |
D
|
|
Common Stock, par value $0.01 per share |
9,375 |
I |
See footnote
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
Explanation of Responses: |
Remarks: |
|
CCMP Capital, LLC /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
CCMP Capital Investors II, L.P. By: CCMP Capital Associates, L.P., its general partner By: CCMP Capital Associates GP, LLC /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
CCMP Capital Investors (Cayman) II, L.P. By: CCMP Capital Associates, L.P., its general partner By: CCMP Capital Associates GP, LLC, its general partner /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
CCMP Capital Associates, L.P., By: CCMP Capital Associates GP, LLC, its general partner /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
CCMP Capital Associates GP, LLC /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
CCMP Generac Co-Invest, L.P. By: CCMP Generac Co-Invest GP, LLC, its general partner /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
CCMP Generac Co-Invest GP, LLC /s/ Timothy Walsh, Managing Director |
02/10/2010 |
|
/s/ Greg D. Brenneman |
02/10/2010 |
|
** 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
5
(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. |
Exhibit 99
This
Form 3 is being filed by (i) CCMP Capital Investors II, L.P. (CCMP
Capital Investors), (ii) CCMP Capital Investors (Cayman) II, L.P. (CCMP
Cayman and together with CCMP Capital Investors, the CCMP Capital Funds), (iii) CCMP
Capital Associates, L.P. (CCMP Capital Associates), the general partner of
the CCMP Capital Funds, (iv) CCMP Capital Associates GP, LLC (CCMP
Capital Associates GP), the general partner of CCMP Capital Associates, (v) CCMP
Generac Co-Invest, L.P. (Generac Co-Invest), (vi) CCMP Generac Co-Invest
GP, LLC (Generac Co-Invest GP), the general partner of Generac Co-Invest, (vii) CCMP
Capital, LLC (CCMP Capital), the owner of CCMP Capital Associates GP and
Generac Co-Invest GP and (viii) Greg Brenneman (together with the CCMP
Capital Funds, CCMP Capital Associates, CCMP Capital Associates GP, Generac
Co-Invest and Generac Co-Invest GP, the Reporting Persons), in his capacity
as a member of a CCMP Capital investment committee that makes voting and
disposition decisions with respect to the Issuers common stock beneficially
owned by CCMP Capital. Each of CCMP
Capital Associates, CCMP Capital Associates GP and CCMP Capital may be deemed,
pursuant to Rule 13d-3 under the Securities Exchange Act of 1934, as
amended (the Exchange Act), to beneficially own the Issuers common stock
reported herein held by the CCMP Capital Funds.
The actual pro rata portion of beneficial ownership of any such shares held
by the CCMP Capital Funds that may be deemed attributable to CCMP Capital
Associates, CCMP Capital Associates GP and CCMP Capital is not readily
determinable because it is subject to several variables, including the internal
rate of return and vesting of interests within CCMP Capital Associates and the
CCMP Capital Funds. Each of Generac
Co-Invest GP and CCMP Capital may be deemed, pursuant to Rule 13d-3 under
the Exchange Act, to beneficially own the Issuers common stock reported herein
held by Generac Co-Invest, but, except for a de minimis pecuniary interest attributable
to Generac Co-Invest GP, such entities have no pecuniary interest in the shares
held by Generac Co-Invest. CCMP Capital
may be deemed to beneficially own the Issuers common stock reported herein
held by Stephen Murray, Timothy Walsh and Stephen McKenna because CCMP Capital
may be deemed to have voting and dispositive power over such shares as a result
of the contractual arrangements among the CCMP Capital Funds, CCMP Capital
Associates and CCMP Capital, which provide that such shares are to be held for
the benefit of the CCMP Funds and are to be voted or disposed of at the
direction of CCMP Capital. The actual pro rata portion of beneficial ownership
of any such shares held by Messrs. Murray, Walsh and McKenna that may be
deemed attributable to the CCMP Capital Funds is not readily determinable
because it is subject to several economic and other variables in the contractual
agreements among CCMP Capital and the CCMP Capital Funds. As a consequence of
his being a member of a CCMP Capital investment committee, Mr. Brenneman
may be deemed, pursuant to Ruled 13d-3 under the Exchange Act, to beneficially
own all of the listed shares. The actual pro-rata portion of beneficial
ownership of any shares that may be deemed attributable to Mr. Brenneman is not
readily determinable because it is subject to several variables, including the
internal rate of return and vesting of interests within CCMP Capital Associates
and the CCMP Capital Funds. The Reporting Persons disclaim beneficial ownership
of the securities to the extent it exceeds their pecuniary interest therein and
the inclusion of the shares in this report shall not be deemed to be an
admission of beneficial ownership of the reported shares for the purposes of Section 16
or otherwise. The amount shown represents
the beneficial ownership of the Issuers common stock held by the Reporting
Persons as a group.