0001140361-20-028064.txt : 20201210
0001140361-20-028064.hdr.sgml : 20201210
20201210200105
ACCESSION NUMBER: 0001140361-20-028064
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201208
FILED AS OF DATE: 20201210
DATE AS OF CHANGE: 20201210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brookfield US Inc.
CENTRAL INDEX KEY: 0001768973
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381896
BUSINESS ADDRESS:
STREET 1: BROOKFIELD PLACE
STREET 2: 250 VESEY STREET, 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
BUSINESS PHONE: 416-956-5188
MAIL ADDRESS:
STREET 1: BROOKFIELD PLACE
STREET 2: 250 VESEY STREET, 15TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brookfield Private Equity Holdings LLC
CENTRAL INDEX KEY: 0001703248
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381897
BUSINESS ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 250 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
BUSINESS PHONE: 212-417-7000
MAIL ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 250 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10281-1023
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brookfield Private Equity Inc.
CENTRAL INDEX KEY: 0001685113
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381898
BUSINESS ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: 181 BAY STREET, SUITE 300
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
BUSINESS PHONE: 4163639491
MAIL ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: 181 BAY STREET, SUITE 300
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brookfield Private Equity Group Holdings LP
CENTRAL INDEX KEY: 0001685157
STATE OF INCORPORATION: A2
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381899
BUSINESS ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
BUSINESS PHONE: 4163639491
MAIL ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brookfield Business Partners L.P.
CENTRAL INDEX KEY: 0001654795
STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700]
STATE OF INCORPORATION: D0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381900
BUSINESS ADDRESS:
STREET 1: 73 FRONT STREET, 5TH FLOOR
CITY: HAMILTON
STATE: D0
ZIP: HM 12
BUSINESS PHONE: (441) 294-3309
MAIL ADDRESS:
STREET 1: 73 FRONT STREET, 5TH FLOOR
CITY: HAMILTON
STATE: D0
ZIP: HM 12
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BCP IV GrafTech Holdings L.P.
CENTRAL INDEX KEY: 0001642338
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381901
BUSINESS ADDRESS:
STREET 1: C/O BROOKFIELD CAPITAL PARTNERS LTD.
STREET 2: 181 BAY STREET, SUITE 300
CITY: TORONTO
STATE: A6
ZIP: M5J 2T3
BUSINESS PHONE: 212 833-3566
MAIL ADDRESS:
STREET 1: C/O BROOKFIELD CAPITAL PARTNERS LTD.
STREET 2: 181 BAY STREET, SUITE 300
CITY: TORONTO
STATE: A6
ZIP: M5J 2T3
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BPE IV (Non-Cdn)
CENTRAL INDEX KEY: 0001738295
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381902
BUSINESS ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: 181 BAY ST., STE 300
CITY: TORONTO
STATE: A6
ZIP: M5J 2T3
BUSINESS PHONE: 416-359-8598
MAIL ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: 181 BAY ST., STE 300
CITY: TORONTO
STATE: A6
ZIP: M5J 2T3
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brookfield Capital Partners Ltd.
CENTRAL INDEX KEY: 0001685158
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381903
BUSINESS ADDRESS:
STREET 1: CC/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
BUSINESS PHONE: 4163639491
MAIL ADDRESS:
STREET 1: CC/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BROOKFIELD ASSET MANAGEMENT INC.
CENTRAL INDEX KEY: 0001001085
STANDARD INDUSTRIAL CLASSIFICATION: OPERATORS OF NONRESIDENTIAL BUILDINGS [6512]
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381904
BUSINESS ADDRESS:
STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300
STREET 2: PO BOX 762
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
BUSINESS PHONE: 416-363-9491
MAIL ADDRESS:
STREET 1: BROOKFIELD PLACE, 181 BAY ST, STE 300
STREET 2: PO BOX 762
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
FORMER NAME:
FORMER CONFORMED NAME: BRASCAN CORP/
DATE OF NAME CHANGE: 20010321
FORMER NAME:
FORMER CONFORMED NAME: EDPERBRASCAN CORP
DATE OF NAME CHANGE: 19970904
FORMER NAME:
FORMER CONFORMED NAME: BRASCAN LTD
DATE OF NAME CHANGE: 19950919
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BCP GP Ltd
CENTRAL INDEX KEY: 0001685160
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13888
FILM NUMBER: 201381905
BUSINESS ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
BUSINESS PHONE: 4163639491
MAIL ADDRESS:
STREET 1: C/O BROOKFIELD ASSET MANAGEMENT INC.
STREET 2: BROOKFIELD PLACE, 181 BAY STREET, SUITE
CITY: TORONTO
STATE: A6
ZIP: M5J2T3
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GRAFTECH INTERNATIONAL LTD
CENTRAL INDEX KEY: 0000931148
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620]
IRS NUMBER: 272496053
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 982 KEYNOTE CIRCLE
CITY: BROOKLYN HEIGHTS
STATE: OH
ZIP: 44131
BUSINESS PHONE: 2166762000
MAIL ADDRESS:
STREET 1: 982 KEYNOTE CIRCLE
CITY: BROOKLYN HEIGHTS
STATE: OH
ZIP: 44131
FORMER COMPANY:
FORMER CONFORMED NAME: UCAR INTERNATIONAL INC
DATE OF NAME CHANGE: 19941011
4
1
form4.xml
FORM 4
X0306
4
2020-12-08
0000931148
GRAFTECH INTERNATIONAL LTD
EAF
0001685160
BCP GP Ltd
C/O BROOKFIELD ASSET MANAGEMENT INC.
181 BAY ST, STE. 300
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001001085
BROOKFIELD ASSET MANAGEMENT INC.
BROOKFIELD PLACE, 181 BAY STREET
SUITE 300 PO BOX 762
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001685158
Brookfield Capital Partners Ltd.
C/O BROOKFIELD ASSET MANAGEMENT INC.
181 BAY ST, STE. 300
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001738295
BPE IV (Non-Cdn)
C/O BROOKFIELD ASSET MANAGEMENT INC.
181 BAY ST, STE. 300
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001642338
BCP IV GrafTech Holdings L.P.
C/O BROOKFIELD ASSET MANAGEMENT INC.
181 BAY ST, STE. 300
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001654795
Brookfield Business Partners L.P.
73 FRONT STREET, 5TH FLOOR
HAMILTON
D0
HM 12
BERMUDA
true
true
0001685157
Brookfield Private Equity Group Holdings LP
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001685113
Brookfield Private Equity Inc.
BROOKFIELD PLACE
181 BAY STREET, SUITE 300
TORONTO
A6
M5J2T3
ONTARIO, CANADA
true
true
0001703248
Brookfield Private Equity Holdings LLC
BROOKFIELD PLACE
200 VESEY STREET
NEW YORK
NY
10281-1023
true
true
0001768973
Brookfield US Inc.
BROOKFIELD PLACE
200 VESEY STREET
NEW YORK
NY
10281-1023
true
true
Common Stock
2020-12-08
4
S
0
75664
10.1048
D
157650471
I
See Explanation of Responses
Common Stock
2020-12-08
4
S
0
79691
10.1048
D
157570780
I
See Explanation of Responses
Common Stock
2020-12-08
4
S
0
141645
10.1048
D
157429135
I
See Explanation of Responses
Common Stock
2020-12-09
4
S
0
77150
9.8432
D
157351985
I
See Explanation of Responses
Common Stock
2020-12-09
4
S
0
81257
9.8432
D
157270728
I
See Explanation of Responses
Common Stock
2020-12-09
4
S
0
144427
9.8432
D
157126301
I
See Explanation of Responses
Common Stock
2020-12-10
4
S
0
77193
9.8696
D
157049108
I
See Explanation of Responses
Common Stock
2020-12-10
4
S
0
81301
9.8696
D
156967807
I
See Explanation of Responses
Common Stock
2020-12-10
4
S
0
144506
9.8696
D
156823301
I
See Explanation of Responses
The sales reported in this Form 4 (the "Sales") were effected pursuant to a Rule 10b5-1 trading plan adopted by BPE IV (Non-Cdn) GP LP, Brookfield BBP (Canada) L.P. and Brookfield BBP Canada Holdings Inc.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of BPE IV (Non-Cdn) GP LP in multiple transactions at prices ranging from $10.05 to $10.19 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP (Canada) L.P. in multiple transactions at prices ranging from $10.05 to $10.19 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP Canada Holdings Inc. in multiple transactions at prices ranging from $10.05 to $10.19 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of BPE IV (Non-Cdn) GP LP in multiple transactions at prices ranging from $9.64 to $10.37 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP (Canada) L.P. in multiple transactions at prices ranging from $9.64 to $10.37 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP Canada Holdings Inc. in multiple transactions at prices ranging from $9.64 to $10.37 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of BPE IV (Non-Cdn) GP LP in multiple transactions at prices ranging from $9.66 to $10.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP (Canada) L.P. in multiple transactions at prices ranging from $9.66 to $10.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
The price reported in Column 4 is a weighted average price. These shares were sold on behalf of Brookfield BBP Canada Holdings Inc. in multiple transactions at prices ranging from $9.66 to $10.01 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
Following the Sales, consists of (i) 149,216,541 shares of Common Stock held directly by BCP IV GrafTech Holdings LP; (ii) 1,937,768 shares of Common Stock held directly by BPE IV (Non-Cdn) GP LP, for itself and as nominee for BCP IV (US Plan) LP, BCP IV (UK Plan) LP, BCP IV (Cdn Plan) LP and BCP IV Bermuda Investor LP; (iii) 2,040,916 shares of Common Stock held directly by Brookfield BBP (Canada) L.P.; (iv) 3,627,549 shares of Common Stock held directly by Brookfield BBP Canada Holdings Inc.; and (v) 527 shares of Common Stock held directly by Brookfield Private Funds Holdings Inc.
Brookfield Asset Management Inc., by virtue of its relationships with these entities, may be deemed to share beneficial ownership of all of these shares.
BPE IV (Non-Cdn) GP LP, Brookfield Capital Partners Ltd., BCP GP Limited, Brookfield Private Equity Group Holdings LP, Brookfield Private Equity Inc. and Brookfield Asset Management Inc., by virtue of their relationships with BCP IV GrafTech Holdings LP, may be deemed to share beneficial ownership in the shares held directly by BCP IV GrafTech Holdings LP. Brookfield Capital Partners Ltd., BCP GP Limited, Brookfield Private Equity Group Holdings LP, Brookfield Private Equity Inc. and Brookfield Asset Management Inc., by virtue of their relationships with BPE IV (Non-Cdn) GP LP, BCP IV (UK Plan) LP, BCP IV (Cdn Plan) LP and BCP IV Bermuda Investor LP, may be deemed to share beneficial ownership in the shares held directly by BPE IV (Non-Cdn) GP LP for itself and as nominee for BCP IV (UK Plan) LP, BCP IV (Cdn Plan) LP and BCP IV Bermuda Investor LP.
Brookfield Private Equity Holdings LLC, Brookfield US Inc. and Brookfield Asset Management Inc., by virtue of their relationships with BCP IV (US Plan) LP, may be deemed to share beneficial ownership in the shares held directly by BPE IV (Non-Cdn) GP LP as nominee for BCP IV (US Plan) LP. Brookfield BBP Canadian GP L.P., Brookfield CanGP Limited, Brookfield Private Equity Inc. and Brookfield Asset Management Inc., by virtue of their relationships with Brookfield BBP (Canada) L.P., may be deemed to share beneficial ownership in the shares held directly by Brookfield BBP (Canada) L.P.
Brookfield Business L.P., Brookfield Business Partners L.P., Brookfield Business Partners Limited and Brookfield Asset Management Inc., by virtue of their relationships with Brookfield BBP Canada Holdings Inc., may be deemed to share beneficial ownership in the shares held directly by Brookfield BBP Canada Holdings Inc. Brookfield Asset Management Inc., by virtue of its relationship with Brookfield Private Funds Holdings Inc., may be deemed to share beneficial ownership in the shares held directly by Brookfield Private Funds Holdings Inc.
Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Exchange Act, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
This Form 4 is being filed in three parts due to the number of Reporting Persons. All three Filings relate to the Sales described above in Table I. Part 1 of 3.
/s/ AJ Silber, as Director of BCP GP Limited
2020-12-10
/s/ Jessica Diab, as Officer of BROOKFIELD ASSET MANAGEMENT INC.
2020-12-10
/s/ AJ Silber, as Officer of Brookfield Capital Partners Ltd.
2020-12-10
/s/ AJ Silber, as Officer of Brookfield Capital Partners Ltd., general partner of BPE IV (Non-Cdn) GP LP
2020-12-10
/s/ AJ Silber, as Officer of Brookfield Capital Partners Ltd., general partner of BPE IV (Non-Cdn) GP LP, general partner of BCP IV GrafTech Holdings LP
2020-12-10
/s/ James Bodi, as Officer of Brookfield Business Partners Limited, general partner of Brookfield Business Partners L.P.
2020-12-10
/s/ AJ Silber, as Director of Brookfield Private Equity Inc., the general partner of Brookfield Private Equity Group Holdings LP
2020-12-10
/s/ AJ Silber, as Director of Brookfield Private Equity Inc.
2020-12-10
/s/ Kristen Haase, as Officer of Brookfield Private Equity Holdings LLC
2020-12-10
/s/ Katayoon Sarpash, as Officer of Brookfield US Inc.
2020-12-10