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