0001214659-13-007276.txt : 20131226 0001214659-13-007276.hdr.sgml : 20131225 20131226160853 ACCESSION NUMBER: 0001214659-13-007276 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131223 FILED AS OF DATE: 20131226 DATE AS OF CHANGE: 20131226 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sotherly Hotels Inc. CENTRAL INDEX KEY: 0001301236 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 410 W. FRANCIS STREET CITY: WILLIAMSBURG STATE: VA ZIP: 23185 BUSINESS PHONE: 757-229-5648 MAIL ADDRESS: STREET 1: 410 W. FRANCIS STREET CITY: WILLIAMSBURG STATE: VA ZIP: 23185 FORMER COMPANY: FORMER CONFORMED NAME: Sotherly Hotel Inc. DATE OF NAME CHANGE: 20130416 FORMER COMPANY: FORMER CONFORMED NAME: MHI Hospitality CORP DATE OF NAME CHANGE: 20040823 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Essex Illiquid, LLC CENTRAL INDEX KEY: 0001518697 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32379 FILM NUMBER: 131298803 BUSINESS ADDRESS: STREET 1: 375 HUDSON STREET CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 646 737 9290 MAIL ADDRESS: STREET 1: 375 HUDSON STREET CITY: NEW YORK STATE: NY ZIP: 10014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Richmond Hill Investments, LLC CENTRAL INDEX KEY: 0001455952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32379 FILM NUMBER: 131298804 BUSINESS ADDRESS: STREET 1: 375 HUDSON STREET STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 212-905-3540 MAIL ADDRESS: STREET 1: 375 HUDSON STREET STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 FORMER NAME: FORMER CONFORMED NAME: Essex Equity Capital Management, LLC DATE OF NAME CHANGE: 20090210 4 1 c1224130f4.xml X0306 4 2013-12-23 1 0001301236 Sotherly Hotels Inc. SOHO 0001455952 Richmond Hill Investments, LLC 375 HUDSON STREET 12TH FLOOR NEW YORK NY 10014 0 0 1 0 0001518697 Essex Illiquid, LLC 375 HUDSON STREET 12TH FLOOR NEW YORK NY 10014 0 0 1 0 Warrant 2.04 2013-12-23 4 J 0 920000 3657000 D 2013-12-23 2016-10-18 Common Stock 920000 0 I I Redemption by Issuer The amount of securities shown in this row is owned directly by Essex Illiquid, LLC (the "Fund"). As the investment adviser to the Fund, Richmond Hill Investments, LLC (the "Investment Adviser") may be deemed to be a beneficial owner of the Issuer's securities held by the Fund. The Investment Adviser disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act, except to the extent of its pecuniary interest, if any. The Reporting Persons listed in this Form 4 may be deemed members of a group with Richmond Hill Capital Partners, LP and certain of its affiliates (collectively, the "Richmond Hill Entities"), which are separately filing a Form 4 with respect to equity securities of the Issuer on the date hereof. The filing of this Form 4 shall not be deemed to be an admission that the Reporting Persons are members of such group with any of the Richmond Hill Entities and the Reporting Persons disclaim any beneficial ownership of any securities beneficially owned by the Richmond Hill Entities. /s/ John Liu as Managing Partner of Richmond Hill Investments, LLC 2013-12-23 /s/ John Liu as Managing Partner of Essex Illiquid, LLC 2013-12-23