0001209191-17-061435.txt : 20171117 0001209191-17-061435.hdr.sgml : 20171117 20171117160336 ACCESSION NUMBER: 0001209191-17-061435 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171117 FILED AS OF DATE: 20171117 DATE AS OF CHANGE: 20171117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pamplona Capital Management, LLC CENTRAL INDEX KEY: 0001554913 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35180 FILM NUMBER: 171210958 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE, 17TH FLOOR STREET 2: NEW YORK CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-207-6820 MAIL ADDRESS: STREET 1: 375 PARK AVENUE, 17TH FLOOR STREET 2: NEW YORK CITY: NEW YORK STATE: NY ZIP: 10152 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lumos Investment Holdings, Ltd. CENTRAL INDEX KEY: 0001650738 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35180 FILM NUMBER: 171210959 BUSINESS ADDRESS: STREET 1: C/O MOURANT OZANNES, 94 SOLARIS AVENUE STREET 2: CAMANA BAY, P.O. BOX 1348 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 BUSINESS PHONE: (345) 949-4123 MAIL ADDRESS: STREET 1: C/O MOURANT OZANNES, 94 SOLARIS AVENUE STREET 2: CAMANA BAY, P.O. BOX 1348 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pamplona Capital Partners IV LP CENTRAL INDEX KEY: 0001650912 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35180 FILM NUMBER: 171210962 BUSINESS ADDRESS: STREET 1: C/O MOURANT OZANNES, 94 SOLARIS AVENUE STREET 2: CAMANA BAY, P.O. BOX 1348 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 BUSINESS PHONE: (345) 949-4123 MAIL ADDRESS: STREET 1: C/O MOURANT OZANNES, 94 SOLARIS AVENUE STREET 2: CAMANA BAY, P.O. BOX 1348 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pamplona PE Investments Malta Ltd CENTRAL INDEX KEY: 0001650903 STATE OF INCORPORATION: O1 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35180 FILM NUMBER: 171210960 BUSINESS ADDRESS: STREET 1: 5TH FLOOR MARINA BUSINESS CENTRE STREET 2: TRIQ L-ABATE RIGORD CITY: TA'XBIEX STATE: O1 ZIP: XBX 1127 BUSINESS PHONE: 356 2090 9004 MAIL ADDRESS: STREET 1: 5TH FLOOR MARINA BUSINESS CENTRE STREET 2: TRIQ L-ABATE RIGORD CITY: TA'XBIEX STATE: O1 ZIP: XBX 1127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pamplona Capital Management, LLP CENTRAL INDEX KEY: 0001554942 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35180 FILM NUMBER: 171210961 BUSINESS ADDRESS: STREET 1: 25 PARK LANE CITY: LONDON STATE: X0 ZIP: W1K 1RA BUSINESS PHONE: 212-207-6820 MAIL ADDRESS: STREET 1: 25 PARK LANE CITY: LONDON STATE: X0 ZIP: W1K 1RA ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Lumos Networks Corp. CENTRAL INDEX KEY: 0001520744 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 800697274 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE LUMOS PLAZA STREET 2: P.O. BOX 1068 CITY: WAYNESBORO STATE: VA ZIP: 22980 BUSINESS PHONE: 540-946-2000 MAIL ADDRESS: STREET 1: ONE LUMOS PLAZA STREET 2: P.O. BOX 1068 CITY: WAYNESBORO STATE: VA ZIP: 22980 FORMER COMPANY: FORMER CONFORMED NAME: NTELOS Wireline One Inc. DATE OF NAME CHANGE: 20110513 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-17 1 0001520744 Lumos Networks Corp. LMOS 0001650912 Pamplona Capital Partners IV LP C/O MOURANT OZANNES, 94 SOLARIS AVENUE CAMANA BAY, P.O. BOX 1348 GRAND CAYMAN E9 KY1-1108 CAYMAN ISLANDS 0 0 0 1 See Remarks 0001554942 Pamplona Capital Management, LLP 25 PARK LANE LONDON X0 W1K 1RA UNITED KINGDOM 0 0 0 1 See Remarks 0001650903 Pamplona PE Investments Malta Ltd 5TH FLOOR MARINA BUSINESS CENTRE TRIQ L-ABATE RIGORD TA'XBIEX O1 XBX 1127 MALTA 0 0 0 1 See Remarks 0001650738 Lumos Investment Holdings, Ltd. C/O MOURANT OZANNES, 94 SOLARIS AVENUE CAMANA BAY, P.O. BOX 1348 GRAND CAYMAN E9 KY1-1108 CAYMAN ISLANDS 0 0 0 1 See Remarks 0001554913 Pamplona Capital Management, LLC 375 PARK AVENUE 23RD FLOOR NEW YORK NY 10152 0 0 0 1 See Remarks Common Stock 2017-11-17 4 X 0 5500000 13.99 A 5500000 D Common Stock 2017-11-17 4 S 0 1225278 18.00 D 0 D Common Stock 2017-11-17 4 F 0 4274722 18.00 D 0 D Warrants 13.99 2017-11-17 4 X 0 5500000 0.00 D 2015-08-06 2022-08-06 Common Stock 5500000 0 I See footnote Lumos Investment Holdings, Ltd. (the "Warrants Holder") was the direct beneficial owner of warrants (the "Warrants") to purchase up to 5,500,000 shares (subject to adjustment) of the common stock (the "Common Stock") of Lumos Networks Corp. (the "Company"). The Warrants, which may be net-share settled only, had an initial exercise price of $13.99 per share of Common Stock, which was subject to adjustment for certain anti-dilution events as set forth in the Warrants. The Warrants Holder and Pamplona Capital Partners IV LP directed the issuer to issue the shares of common stock issuable upon exercise of the Warrants to Pamplona Capital Partners IV LP. On the basis of relationships among Pamplona Capital Management, LLP, Pamplona Capital Partners IV LP, Pamplona PE Investments Malta Limited and Pamplona Capital Management, LLC (each a "Pamplona Entity", and, collectively, the "Pamplona Entities"), (continued in footnote 2) the Pamplona Entities may be deemed indirect beneficial owners of the Warrants, but each such Pamplona Entity disclaims beneficial ownership of the Warrants except to the extent of its pecuniary interest therein, if any. On the basis of relationships among the Pamplona Entities, each of Pamplona Capital Management, LLP, Pamplona PE Investments Malta Limited and Pamplona Capital Management, LLC may be deemed indirect beneficial owners of the common stock issued in connection with the exercise of the Warrants, but each such Pamplona Entity disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any. The Warrants Holder is the direct beneficial owner of the Warrants. On the basis of relationships among the reporting persons, the other reporting persons may be deemed indirect beneficial owners of the Warrants, but each such other reporting person disclaims beneficial ownership of the Warrants except to the extent of its pecuniary interest therein, if any. Pursuant to the instructions of the Warrants Holder, the shares were issued to Pamplona Capital Partners IV LP. On August 6, 2015, Mr. William M. Pruellage, a partner at Pamplona Capital Management, LLC, and Mr. Peter D. Aquino, the founder of Broad Valley Capital LLC, each became a director of the Company. On the basis of the relationships among and between the reporting persons and Mr. Pruellage, each of the reporting persons may be considered a director of the Company on the basis of having deputized Mr. Pruellage to serve as a director of the Company. /s/ Ana Bela Vieira Armstrong, Authorised Signatory 2017-11-17 /s/ Ana Bela Vieira Armstrong, Authorised Signatory 2017-11-17 /s/ Raymond Busuttil, Director 2017-11-17 /s/ Ana Bela Vieira Armstrong, Authorised Signatory 2017-11-17 /s/ Steve Gauci, Director of Pamplona PE Investments US Limited as Managing Member of Pamplona Capital Management LLC 2017-11-17