UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRIMAS CORP 39400 WOODWARD AVENUE SUITE 130 BLOOMFIELD HILLS, MI 48304 |
 |  X |  |  |
/s/ Joshua A. Sherbin, Vice President, General Counsel & Secretary | 07/01/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | In connection with the spin-off of Horizon Global Corporation ("Horizon") by the Reporting Person, in furtherance of the Reorganization, as defined in the Separation and Distribution Agreement, dated June 30, 2015, between the Reporting Person and Horizon, TriMas Company LLC, a wholly owned subsidiary of the Reporting Person, caused to be distributed to the Reporting Person on June 30, 2015 all 100 outstanding shares of common stock of Horizon, which immediately prior to such distribution split into approximately 18,116,312 shares of common stock of Horizon, resulting in the Reporting Person's ownership of such number of shares. |