| 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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| 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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Francesca's Holdings CORP [ FRAN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/16/2019 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 05/16/2019 | P | 20,000 | A | $0.55(3) | 3,653,800 | D(1) | |||
| Common Stock | 05/16/2019 | P | 0 | A | $0 | 3,653,800 | I | See Footnote(2) | ||
| Common Stock | 05/20/2019 | P | 78,000 | A | $0.56(4) | 3,731,800 | D(1) | |||
| Common Stock | 05/20/2019 | P | 0 | A | $0 | 3,731,800 | I | See Footnote(2) | ||
| Common Stock | 05/21/2019 | P | 78,200 | A | $0.57(5) | 3,810,000 | D(1) | |||
| Common Stock | 05/21/2019 | P | 0 | A | $0 | 3,810,000 | I | See Footnote(2) | ||
| Common Stock | 05/22/2019 | P | 175,000 | A | $0.54(6) | 3,985,000 | D(1) | |||
| Common Stock | 05/22/2019 | P | 0 | A | $0 | 3,985,000 | I | See Footnote(2) | ||
| Common Stock | 05/23/2019 | P | 80,000 | A | $0.51(7) | 4,065,000 | D(1) | |||
| Common Stock | 05/23/2019 | P | 0 | A | $0 | 4,065,000 | I | See Footnote(2) | ||
| Common Stock | 05/24/2019 | P | 25,000 | A | $0.52(8) | 4,090,000 | D(1) | |||
| Common Stock | 05/24/2019 | P | 0 | A | $0 | 4,090,000 | I | See Footnote(2) | ||
| Common Stock | 05/29/2019 | P | 20,000 | A | $0.5(9) | 4,110,000 | D(1) | |||
| Common Stock | 05/29/2019 | P | 0 | A | $0 | 4,110,000 | I | See Footnote(2) | ||
| Common Stock | 06/03/2019 | P | 15,000 | A | $0.49(10) | 4,125,000 | D(1) | |||
| Common Stock | 06/03/2019 | P | 0 | A | $0 | 4,125,000 | I | See Footnote(2) | ||
| Common Stock | 06/04/2019 | P | 10,000 | A | $0.51(11) | 4,135,000 | D(1) | |||
| Common Stock | 06/04/2019 | P | 0 | A | $0 | 4,135,000 | I | See Footnote(2) | ||
| Common Stock | 06/05/2019 | P | 5,000 | A | $0.5(12) | 4,140,000 | D(1) | |||
| Common Stock | 06/05/2019 | P | 0 | A | $0 | 4,140,000 | I | See Footnote(2) | ||
| Common Stock | 06/06/2019 | P | 70,000 | A | $0.46(13) | 4,210,000 | D(1) | |||
| Common Stock | 06/06/2019 | P | 0 | A | $0 | 4,210,000 | I | See Footnote(2) | ||
| Common Stock | 06/10/2019 | P | 15,000 | A | $0.5(14) | 4,225,000 | D(1) | |||
| Common Stock | 06/10/2019 | P | 0 | A | $0 | 4,225,000 | I | See Footnote(2) | ||
| Common Stock | 06/11/2019 | P | 45,000 | A | $0.48(15) | 4,270,000 | D(1) | |||
| Common Stock | 06/11/2019 | P | 0 | A | $0 | 4,270,000 | I | See Footnote(2) | ||
| Common Stock | 06/12/2019 | P | 15,000 | A | $0.49(16) | 4,285,000 | D(1) | |||
| Common Stock | 06/12/2019 | P | 0 | A | $0 | 4,285,000 | I | See Footnote(2) | ||
| Common Stock | 06/18/2019 | P | 5,000 | A | $0.42(17) | 4,290,000 | D(1) | |||
| Common Stock | 06/18/2019 | P | 0 | A | $0 | 4,290,000 | I | See Footnote(2) | ||
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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) | 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. The reported securities are directly owned by Cross River Partners LP. |
| 2. The reported securities are directly owned by Cross River Partners LP (the "Partnership"), and may be deemed to be indirectly beneficially owned by: (i) Cross River Capital Management LLC, as the general partner of the Partnership (the "General Partner"); (ii) Cross River Management LLC, as the investment manager of the Partnership (the "Investment Manager"); and (iii) Richard Murphy, as the managing member of both the General Partner and the Investment Manager. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| 3. This constitutes the weighted average purchase price. The prices range from $0.54 to $0.55. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 4. This constitutes the weighted average purchase price. The prices range from $0.56 to $0.57. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 5. This constitutes the weighted average purchase price. The prices range from $0.55 to $0.58. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 6. This constitutes the weighted average purchase price. The prices range from $0.53 to $0.55. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 7. This constitutes the weighted average purchase price. The prices range from $0.50 to $0.53. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 8. This constitutes the weighted average purchase price. The prices range from $0.50 to $0.53. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 9. This constitutes the weighted average purchase price. The prices range from $0.49 to $0.50. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 10. This constitutes the weighted average purchase price. The prices range from $0.48 to $0.53. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 11. This constitutes the weighted average purchase price. The prices range from $0.51 to $0.52. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 12. This constitutes the weighted average purchase price. The prices range from $0.50 to $0.50. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 13. This constitutes the weighted average purchase price. The prices range from $0.45 to $0.48. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 14. This constitutes the weighted average purchase price. The prices range from $0.49 to $0.50. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 15. This constitutes the weighted average purchase price. The prices range from $0.47 to $0.49. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 16. This constitutes the weighted average purchase price. The prices range from $0.49 to $0.50. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 17. This constitutes the weighted average purchase price. The prices range from $0.42 to $0.42. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| Remarks: |
| This is the first part of a Form 4 filing for the Reporting Persons. There are two parts to this Form 4 filing because of the constraint of a 30 transaction line maximum for tables in a Form 4. |
| Cross River Capital Management LLC By: /s/ Richard Murphy, Managing Member | 07/11/2019 | |
| Cross River Management LLC By: /s/ Richard Murphy, Managing Member | 07/11/2019 | |
| Cross River Partners LP By: /s/ Richard Murphy, Managing Member of Cross River Capital Management LLC, its General Partner | 07/11/2019 | |
| /s/ Richard Murphy | 07/11/2019 | |
| ** 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. | ||