0000899243-21-028658.txt : 20210716 0000899243-21-028658.hdr.sgml : 20210716 20210716170015 ACCESSION NUMBER: 0000899243-21-028658 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210714 FILED AS OF DATE: 20210716 DATE AS OF CHANGE: 20210716 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASHKEN IAN G H CENTRAL INDEX KEY: 0001093725 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39275 FILM NUMBER: 211096025 MAIL ADDRESS: STREET 1: C/O MARIPOSA CAPITAL, LLC STREET 2: 5200 BLUE LAGOON DRIVE, SUITE 855 CITY: MIAMI STATE: FL ZIP: 33126 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APi Group Corp CENTRAL INDEX KEY: 0001796209 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700] IRS NUMBER: 981510303 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O API GROUP, INC. STREET 2: 1100 OLD HIGHWAY 8 NW CITY: NEW BRIGHTON STATE: MN ZIP: 55112 BUSINESS PHONE: 651-636-4320 MAIL ADDRESS: STREET 1: C/O API GROUP, INC. STREET 2: 1100 OLD HIGHWAY 8 NW CITY: NEW BRIGHTON STATE: MN ZIP: 55112 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-07-14 0 0001796209 APi Group Corp APG 0001093725 ASHKEN IAN G H C/O API GROUP CORPORATION 1100 OLD HIGHWAY NW 8 NEW BRIGHTON MN 55112 1 0 0 0 Common Stock 2021-07-14 4 M 0 6920 A 6920 D Common Stock 4245999 I By IGHA Holdings, LLLP Common Stock 10000 I By Ian G. H. Ashken Living Trust Series A Preferred Stock Common Stock 768000 768000 I By Mariposa Acquisition IV, LLC Restricted Stock Units 2021-07-14 4 M 0 6920 D Common Stock 6920 0 D Restricted Stock Units 2021-07-14 4 A 0 4876 0.00 A Common Stock 4876 4876 D On July 14, 2021, 6,920 of the Reporting Person's restricted stock units were settled for an equal number of shares of the Issuer's Common Stock. The shares of Common Stock reported herein are held directly by IGHA Holdings, LLLP, the general partner of which is wholly-owned by the Ashken Trust, of which Mr. Ashken is the trustee and beneficiary. Mr. Ashken disclaims beneficial ownership of any shares except to the extent of his pecuniary interest therein. The shares of Common Stock are held by the Ashken Trust, of which Mr. Ashken is the trustee and beneficiary. The Series A Preferred Stock is convertible at any time at the election of the holder, on a one-for-one basis, into shares of Common Stock for no additional consideration. The Series A Preferred Stock shall automatically convert into Common Stock on the last day of the seventh full financial year of the Issuer following October 1, 2019 (or if such date is not a trading day, the first trading day immediately following such date). The Series A Preferred Stock is held directly by Mariposa Acquisition IV, LLC. IGHA Holdings, LLLP, the general partner of which is wholly-owned by the The Ian G.H. Ashken Trust (the "Ashken Trust"), of which Mr. Ashken is the trustee and beneficiary, holds a limited liability company interest in Mariposa Acquisition IV, LLC and, as a result, may be deemed to have a pecuniary interest in 768,000 shares of Series A Preferred Stock held by Mariposa Acquisition IV, LLC. Mr. Ashken disclaims beneficial ownership of any shares except to the extent of his pecuniary interest therein. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. These restricted stock units vest on the earlier of (i) August 13, 2021, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2021 annual meeting of stockholders. These restricted stock units vest on the earlier of (i) July 14, 2022, which is the one-year anniversary of the grant date and (ii) the date of the Issuer's 2022 annual meeting of stockholders. /s/ Andrea Fike, as Attorney-in-Fact 2021-07-16