*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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CUSIP No. 44052W104
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Page 2 of 9 Pages
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1
|
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NAME OF REPORTING PERSON
Atlas Capital Resources II LP
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||||||||||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
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||||||||||||
3
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SEC USE ONLY
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||||||||||||
4
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SOURCE OF FUNDS
WC
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||||||||||||
5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
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||||||||||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||||||||||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
SOLE VOTING POWER
0
|
||||||||||
|
8
|
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SHARED VOTING POWER
2,741,776(1)
|
|||||||||||
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9
|
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SOLE DISPOSITIVE POWER
0
|
|||||||||||
|
10
|
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SHARED DISPOSITIVE POWER
2,741,776(1)
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|||||||||||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,741,776(1)
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||||||||||||
12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
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||||||||||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.92%(2)
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||||||||||||
14
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TYPE OF REPORTING PERSON
PN
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CUSIP No. 44052W104
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Page 3 of 9 Pages
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1
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NAME OF REPORTING PERSON
Lapetus Capital II LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
|
||||||||||||
3
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SEC USE ONLY
|
||||||||||||
4
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SOURCE OF FUNDS
AF
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||||||||||||
5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
||||||||||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||||||||||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
SOLE VOTING POWER
0
|
||||||||||
|
8
|
|
SHARED VOTING POWER
2,741,776(1)
|
|||||||||||
|
9
|
|
SOLE DISPOSITIVE POWER
0
|
|||||||||||
|
10
|
|
SHARED DISPOSITIVE POWER
2,741,776(1)
|
|||||||||||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,741,776(1)
|
||||||||||||
12
|
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
|
||||||||||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.92%(2)
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||||||||||||
14
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TYPE OF REPORTING PERSON
OO
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CUSIP No. 44052W104
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Page 4 of 9 Pages
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1
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NAME OF REPORTING PERSON
Atlas Capital GP II LP
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||||||||||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
|
||||||||||||
3
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SEC USE ONLY
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||||||||||||
4
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SOURCE OF FUNDS
N/A
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||||||||||||
5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
||||||||||||
6
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||||||||||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
SOLE VOTING POWER
0
|
||||||||||
|
8
|
|
SHARED VOTING POWER
2,741,776(1)
|
|||||||||||
|
9
|
|
SOLE DISPOSITIVE POWER
0
|
|||||||||||
|
10
|
|
SHARED DISPOSITIVE POWER
2,741,776(1)
|
|||||||||||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,741,776(1)
|
||||||||||||
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
|
||||||||||||
13
|
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.92%(2)
|
||||||||||||
14
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TYPE OF REPORTING PERSON
PN
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CUSIP No. 44052W104
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Page 5 of 9 Pages
|
1
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NAME OF REPORTING PERSON
Atlas Capital Resources GP II LLC
|
||||||||||||
2
|
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
|
||||||||||||
3
|
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SEC USE ONLY
|
||||||||||||
4
|
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SOURCE OF FUNDS
N/A
|
||||||||||||
5
|
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
||||||||||||
6
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||||||||||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
SOLE VOTING POWER
0
|
||||||||||
|
8
|
|
SHARED VOTING POWER
2,741,776(1)
|
|||||||||||
|
9
|
|
SOLE DISPOSITIVE POWER
0
|
|||||||||||
|
10
|
|
SHARED DISPOSITIVE POWER
2,741,776(1)
|
|||||||||||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,741,776(1)
|
||||||||||||
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
|
||||||||||||
13
|
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.92%(2)
|
||||||||||||
14
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TYPE OF REPORTING PERSON
OO
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CUSIP No. 44052W104
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Page 6 of 9 Pages
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1
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NAME OF REPORTING PERSON
Andrew M. Bursky
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||||||||||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
|
||||||||||||
3
|
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SEC USE ONLY
|
||||||||||||
4
|
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SOURCE OF FUNDS
N/A
|
||||||||||||
5
|
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
||||||||||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
||||||||||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
SOLE VOTING POWER
0
|
||||||||||
|
8
|
|
SHARED VOTING POWER
2,741,776(1)
|
|||||||||||
|
9
|
|
SOLE DISPOSITIVE POWER
0
|
|||||||||||
|
10
|
|
SHARED DISPOSITIVE POWER
2,741,776(1)
|
|||||||||||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,741,776(1)
|
||||||||||||
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
|
||||||||||||
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.92%(2)
|
||||||||||||
14
|
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 44052W104
|
|
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Page 7 of 9 Pages
|
1
|
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NAME OF REPORTING PERSON
Timothy J. Fazio
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||||||||||||
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐ (b) ☒
|
||||||||||||
3
|
|
SEC USE ONLY
|
||||||||||||
4
|
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SOURCE OF FUNDS
N/A
|
||||||||||||
5
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
|
||||||||||||
6
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
||||||||||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
7
|
|
SOLE VOTING POWER
0
|
||||||||||
|
8
|
|
SHARED VOTING POWER
2,741,776(1)
|
|||||||||||
|
9
|
|
SOLE DISPOSITIVE POWER
0
|
|||||||||||
|
10
|
|
SHARED DISPOSITIVE POWER
2,741,776(1)
|
|||||||||||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,741,776(1)
|
||||||||||||
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
|
||||||||||||
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.92%(2)
|
||||||||||||
14
|
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TYPE OF REPORTING PERSON
IN
|
Item 4.
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Purpose of the Transaction
|
Item 6.
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Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
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99.2
|
Nomination Notice, dated as of March 11, 2019
|
99.3
|
Nomination Agreement, dated as of March 11, 2019, between Atlas and Frederick A. Henderson
|
99.4
|
Nomination Agreement, dated as of March 11, 2019, between Atlas and Jeffrey E. Kirt
|
Dated: March 13, 2019
|
Lapetus Capital II LLC
|
||
By:
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/s/ Timothy J. Fazio
|
||
Name:
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Timothy J. Fazio
|
||
Title:
|
Vice President
|
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Dated: March 13, 2019
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Atlas Capital Resources II LP
|
||
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By: Atlas Capital GP II LP, its
general partner
|
||
|
By: Atlas Capital Resources GP II LLC, its
general partner
|
||
By:
|
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/s/ Timothy J. Fazio
|
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Name:
|
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Timothy J. Fazio
|
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Title:
|
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Managing Partner
|
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Dated: March 13, 2019
|
Atlas Capital GP II LP
|
||
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By: Atlas Capital Resources GP II LLC, its general partner |
||
By:
|
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/s/ Timothy J. Fazio
|
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Name:
|
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Timothy J. Fazio
|
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Title:
|
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Managing Partner
|
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Dated: March 13, 2019
|
Atlas Capital Resources GP II LLC
|
||
By:
|
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/s/ Timothy J. Fazio
|
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Name:
|
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Timothy J. Fazio
|
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Title:
|
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Managing Partner
|
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Dated: March 13, 2019
|
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/s/ Andrew M. Bursky
|
|
Andrew M. Bursky
|
|||
Dated: March 13, 2019
|
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/s/ Timothy J. Fazio
|
|
Timothy J. Fazio
|
Re: |
Notice of Nominations of Persons for Election to the Board of
Directors of Horizon Global Corporation
|
Name
|
Age
|
Business Address
|
Residential Address
|
Frederick A. Henderson
|
60
|
[Redacted]
|
[Redacted]
|
Jeffrey E. Kirt
|
46
|
[Redacted]
|
[Redacted]
|
(i) |
acting as a futures commission merchant, introducing broker, commodity trading advisor, commodity pool operator, floor broker, leverage transaction merchant,
any other person regulated by the U.S. Commodity Futures Trading Commission (the “CFTC”), or an associated person of any of the foregoing, or as
an investment advisor, underwriter, broker or dealer in securities, or as an affiliated person, director or employee of any investment company, bank, savings and loan association or insurance company, or engaging in or continuing any
conduct or practice in connection with such activity;
|
(ii) |
engaging in any type of business practice or activity; or
|
(iii) |
engaging in any activity in connection with the purchase or sale of any security or commodity or in connection with any violation of Federal or State
securities laws or Federal commodities laws;
|
(i) |
any Federal or State securities or commodities law or regulation;
|
(ii) |
any law or regulation respecting financial institutions or insurance companies including, but not limited to, a temporary or permanent injunction, order of
disgorgement or restitution, civil money penalty or temporary or permanent cease-and-desist order, or removal or prohibition order; or
|
(iii) |
any law or regulation prohibiting mail or wire fraud or fraud in connection with any business entity; and
|
(i) |
any self-regulatory organization (as defined in Section 3(a)(26) of the Exchange Act);
|
(ii) |
any registered entity (as defined in Section 1(a)(29) of the Commodity Exchange Act); or
|
(iii) |
any equivalent exchange, association, entity or organization that has disciplinary authority over its members or persons associated with a member.
|
Sincerely,
|
|
LAPETUS CAPITAL II LLC
|
|
By:/s/ Timothy J. Fazio
|
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Name: Timothy J. Fazio
|
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Title:Vice President
|
Very truly yours,
|
|
Atlas FRM LLC d/b/a Atlas Holdings LLC
|
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By: /s/ Timothy J.
Fazio
|
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Name: Timothy J. Fazio
|
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Title: Managing Partner
|
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Very truly yours,
|
|
Atlas FRM LLC d/b/a Atlas Holdings LLC
|
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By: /s/ Timothy J.
Fazio
|
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Name: Timothy J. Fazio
|
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Title: Managing Partner
|