0001140361-15-045835.txt : 20151229 0001140361-15-045835.hdr.sgml : 20151229 20151229170829 ACCESSION NUMBER: 0001140361-15-045835 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151224 FILED AS OF DATE: 20151229 DATE AS OF CHANGE: 20151229 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HC2 Holdings, Inc. CENTRAL INDEX KEY: 0001006837 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 541708481 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 505 HUNTMAR PARK DRIVE STREET 2: #325 CITY: HERNDON STATE: VA ZIP: 20170 BUSINESS PHONE: 703-456-4100 MAIL ADDRESS: STREET 1: 505 HUNTMAR PARK DRIVE STREET 2: #325 CITY: HERNDON STATE: VA ZIP: 20170 FORMER COMPANY: FORMER CONFORMED NAME: PTGi HOLDING, INC. DATE OF NAME CHANGE: 20131108 FORMER COMPANY: FORMER CONFORMED NAME: PRIMUS TELECOMMUNICATIONS GROUP INC DATE OF NAME CHANGE: 19960814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALCONE PHILIP CENTRAL INDEX KEY: 0001233569 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35210 FILM NUMBER: 151311796 MAIL ADDRESS: STREET 1: 450 PARK AVENUE, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc1.xml FORM 4 X0306 4 2015-12-24 0 0001006837 HC2 Holdings, Inc. HCHC 0001233569 FALCONE PHILIP C/O HC2 HOLDINGS, INC. 505 HUNTMAR PARK DRIVE, SUITE 325 HERNDON VA 20170 1 1 0 0 CEO, Chairman & President Stock Option (right to buy) 5.90 2015-12-24 4 A 0 100742 0 A 2024-05-21 Common Stock 100742 100742 D Stock Option (right to buy) 7.08 2015-12-24 4 A 0 200000 0 A 2024-05-21 Common Stock 200000 200000 D Reflects shares underlying an additional option (the "Option") to purchase shares of the common stock of HC2 Holdings, Inc. (the "Company") issued pursuant to an option agreement, originally dated as of May 21, 2014 and as reformed and clarified on October 26, 2014, between the Company and Philip Falcone (the "Option Agreement"). The Option vests in three equal annual installments beginning on the date of issuance, subject to Mr. Falcone's continued employment with the Company on each vesting date, and will become immediately exercisable in the event of a Fundamental Change Transaction (as defined in the Option Agreement). Reflects shares underlying an additional option (the "Contingent Option") to purchase shares of the common stock of the Company issued pursuant to the Option Agreement. The Contingent Option vests in three equal annual installments beginning on the date of issuance, subject to Mr. Falcone's continued employment with the Company on each vesting date, and will become immediately exercisable in the event of a Fundamental Change Transaction (as defined in the Option Agreement). The Contingent Option is exercisable as and to the extent that the related warrants are converted into common stock. /s/ Philip A. Falcone 2015-12-29