0001164691-15-000031.txt : 20150213 0001164691-15-000031.hdr.sgml : 20150213 20150213170605 ACCESSION NUMBER: 0001164691-15-000031 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20150213 DATE AS OF CHANGE: 20150213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RLJ ENTERTAINMENT, INC. CENTRAL INDEX KEY: 0001546381 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MOTION PICTURE & VIDEO TAPE DISTRIBUTION [7822] IRS NUMBER: 454950432 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87011 FILM NUMBER: 15616081 BUSINESS ADDRESS: STREET 1: 8515 GEORGIA AVENUE STREET 2: SUITE 650 CITY: SILVER SPRING STATE: MD ZIP: 20910 BUSINESS PHONE: 301-608-2115 MAIL ADDRESS: STREET 1: 8515 GEORGIA AVENUE STREET 2: SUITE 650 CITY: SILVER SPRING STATE: MD ZIP: 20910 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JH Evergreen Management, LLC CENTRAL INDEX KEY: 0001492071 IRS NUMBER: 263599323 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 451 JACKSON ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 364-0300 MAIL ADDRESS: STREET 1: 451 JACKSON ST. CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G/A 1 RJLE13GAMEND1.txt RJLE13GAMEND1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) RLJ ENTERTAINMENT, INC. (Name of Issuer) Class A Common Stock, par value $0.001 (Title of Class of Securities) 74965F104 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 1 Name of Reporting Person JH Evergreen Management, LLC IRS Identification No. of Above Person 26-3599323 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 Sole Voting Power 2,168,390 (1) 6 Shared Voting Power 0 7 Sole Dispositive Power 2,168,390 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 2,168,390 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 16.2% (2) 12 Type of Reporting Person OO (1) Includes shares issuable upon the exercise of warrants to purchase an aggregate of 134,114 shares of Issuer common stock that are exercisable within 60 days of the date of this Schedule 13G. (2) Based on 13,359,086 shares of common stock issued and outstanding as of October 27, 2014, as reported in the Company Form 10Q filed with the Securities and Exchange Commission on November 7, 2014. 1 Name of Reporting Person JH Partners Evergreen Fund, L.P. IRS Identification No. of Above Person 26-3599381 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 Sole Voting Power 1,628,839 (1) 6 Shared Voting Power 0 7 Sole Dispositive Power 1,628,839 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 1,628,839 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 12.2% (2) 12 Type of Reporting Person PN (1) Includes shares issuable upon the exercise of warrants to purchase an aggregate of 100,742 shares of Issuer common stock that are exercisable within 60 days of the date of this Schedule 13G. (2) Based on 13,359,086 shares of common stock issued and outstanding as of October 27, 2014, as reported in the Company Form 10Q filed with the Securities and Exchange Commission on November 7, 2014. 1 Name of Reporting Person JH Investment Partners III, LP IRS Identification No. of Above Person 26-4149693 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 Sole Voting Power 220,289 shares (1) 6 Shared Voting Power 0 7 Sole Dispositive Power 220,289 shares 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 220,289 shares 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 1.6% (2) 12 Type of Reporting Person PN (1) Includes shares issuable upon the exercise of warrants to purchase an aggregate of 13,625 shares of Issuer common stock that are exercisable within 60 days of the date of this Schedule 13G. (2) Based on 13,359,086 shares of common stock issued and outstanding as of October 27, 2014, as reported in the Company Form 10Q filed with the Securities and Exchange Commission on November 7, 2014. 1 Name of Reporting Person JH Investment Partners GP Fund III, LLC IRS Identification No. of Above Person 26-4419021 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 Sole Voting Power 101,210 shares (1) 6 Shared Voting Power 0 7 Sole Dispositive Power 101,210 shares 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 101,210 shares 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 0.8% (1) 12 Type of Reporting Person OO (1) Includes shares issuable upon the exercise of warrants to purchase an aggregate of 6,261 shares of Issuer common stock that are exercisable within 60 days of the date of this Schedule 13G. (2) Based on 13,359,086 shares of common stock issued and outstanding as of October 27, 2014, as reported in the Company Form 10Q filed with the Securities and Exchange Commission on November 7, 2014. 1 Name of Reporting Person Forrestal, LLC IRS Identification No. of Above Person 46-4991582 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 3 SEC USE ONLY 4 Citizenship or Place of Organization Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 Sole Voting Power 218,052 shares (1) 6 Shared Voting Power 0 7 Sole Dispositive Power 218,052 shares 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 218,052 shares 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 1.6% (2) 12 Type of Reporting Person OO (1) Includes shares issuable upon the exercise of warrants to purchase an aggregate of 13,486 shares of Issuer common stock that are exercisable within 60 days of the date of this Schedule 13G. (2) Based on 13,359,086 shares of common stock issued and outstanding as of October 27, 2014, as reported in the Company Form 10Q filed with the Securities and Exchange Commission on November 7, 2014. 1 Name of Reporting Person John C. Hansen IRS Identification No. of Above Person 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |_| 3 SEC USE ONLY 4 Citizenship or Place of Organization USA NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 Sole Voting Power 2,168,390 shares 6 Shared Voting Power 0 7 Sole Dispositive Power 2,168,390 shares (1) 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 2,168,390 shares 10 Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares |_| 11 Percent of Class Represented by Amount in Row 9 16.2% (2) IN (1) Includes shares issuable upon the exercise of warrants to purchase an aggregate of 134,1144 shares of Issuer common stock that are exercisable within 60 days of the date of this Schedule 13G. Mr. Hansen disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Sections 13(d) or 13(g) or any other purpose. (2) Based on 13,359,086 shares of common stock issued and outstanding as of October 27, 2014, as reported in the Company Form 10Q filed with the Securities and Exchange Commission on November 7, 2014. Item 1(a). Name of Issuer: RLJ Entertainment, Inc. Item 1(b). Address of Issuer Principal Executive Offices: 3 Bethesda Metro Center, Suite 1000, Bethesda, Maryland 20814 Item 2(a). Name of Person Filing: This Schedule is being filed by JH Evergreen Management, LLC, a Delaware limited liability company (JH Evergreen Management), JH Partners Evergreen Fund, L.P., a Delaware limited partnership (JH Evergreen), JH Investment Partners III, LP, a Delaware limited partnership (JHIP III), JH Investment Partners GP Fund III, LLC, a Delaware limited liability company (JHIP GP III), Forrestal, LLC (Forestall), and Mr. John C. Hansen, a United States citizen (Mr. Hansen). JH Evergreen Management, JH Evergreen, JHIP III, JHIP GP III, Forrestal and Mr. Hansen (collectively, the Reporting Persons) are filing this statement jointly, pursuant to the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, and not as separate persons. Mr. Hansen is the Managing Member of JH Evergreen Management. JH Evergreen Management is the sole general partner of JH Evergreen and JHIP III and is the sole manager of JHIP GP III. Item 2(b). Address of Principal Business Office or, if none, Residence: 451 Jackson Street, San Francisco, CA 94111 Item 2(c). Citizenship: JH Evergreen Management is a Delaware limited liability company; JH Evergreen is a Delaware limited partnership; JHIP III is a Delaware limited partnership; JHIP GP III is a Delaware limited liability company; Forrestal is a Delaware limited liability company, and Mr. Hansen is a United States citizen. Item 2(d). Title of Class of Securities: Common Stock, par value $0.001 per share. Item 2(e). CUSIP Number: 74965F104 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) Broker or dealer registered under Section 15 of the Exchange Act. (b) Bank as defined in Section 3(a)(6) of the Exchange Act. (c) Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) Investment company registered under Section 8 of the Investment Company Act. (e) An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) Group, in accordance with Rule 13d-1(b)(1)(ii)(K). Item 4. Ownership: The information contained in Items 5 through 11 on the cover pages hereto (including the related footnotes) is incorporated herein by reference. (a) Amount beneficially owned: 2,168,390 shares (b) Percent of class: 16.2% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 2,168,390 shares (ii) Shared power to vote or to direct the vote: 0 shares (iii) Sole power to dispose or to direct the disposition of: 2,168,390 shares (iv) Shared power to dispose or to direct the disposition of: 0 shares Item 5. Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following Item 6. Ownership of More than Five Percent on Behalf of Another Person: Not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: Not applicable Item 8. Identification and Classification of Members of the Group: Not applicable Item 9. Notice of Dissolution of Group: Not applicable CUSIP No. 74965F104 Item 10. Certifications: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under 240.14a-11. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 13, 2015 JH EVERGREEN MANAGEMENT, LLC By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JH EVERGREEN FUND, L.P. By: JH Evergreen Management, LLC Its: General Partner By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JH INVESTMENT PARTNERS III, L.P. By: JH Evergreen Management, LLC Its: General Partner By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JH INVESTMENT PARTNERS GP FUND III, LLC By: JH Evergreen Management, LLC Its: Manager By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JOHN C. HANSEN /s/ JOHN C. HANSEN John C. Hansen ________________________________________ CUSIP No. 74965F104 EXHIBIT INDEX Exhibit 1: Joint Filing Agreement. EX-1 2 EX-1.txt EX-1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) of the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the common stock of RLJ Entertainment, Inc., and further agree that this Agreement shall be included as an exhibit to such joint filings.This Agreement may be executed in one or more counterparts, each of which shall be deemed to be an original instrument, but all of such counterparts together shall constitute but one agreement. In evidence thereof the undersigned, being duly authorized, hereby execute this Agreement as of this February 13, 2015. JH EVERGREEN MANAGEMENT, LLC By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JH EVERGREEN FUND, L.P. By: JH Evergreen Management, LLC Its: General Partner By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JH INVESTMENT PARTNERS III, L.P. By: JH Evergreen Management, LLC Its: General Partner By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JH INVESTMENT PARTNERS GP FUND III, LLC By: JH Evergreen Management, LLC Its: Manager By: /s/ TODD FORREST Name: Todd Forrest Title: Chief Financial Officer JOHN C. HANSEN /s/ JOHN C. HANSEN John C. Hansen