| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/04/2013 |
3. Issuer Name and Ticker or Trading Symbol
Norcraft Companies, Inc. [ NCFT ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 11/13/2013 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 5,631,751 | I | See Footnotes(1)(2)(3)(4)(5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. SKM Partners, L.L.C. ("SKM LLC") is the general partner of SKM Equity Fund III, L.P. ("SKM Equity"). |
| 2. Apax Partners, L.P. ("Apax LP") is the managing partner of SKM Investment Fund ("SKM Investment," and together with SKM Equity, the "SKM Entities"). |
| 3. Apax Partners, LLC ("Apax LLC") is the general partner of Apax LP. |
| 4. John Megrue is the sole member of the board of managers of Apax LLC. |
| 5. By virtue of the relationships described in these footnotes, SKM LLC, Apax LP, Apax LLC and Mr. Megrue may be deemed to share voting and dispositive power with respect to all of the shares of Common Stock held by the SKM Entities. Each of SKM LLC, Apax LP, Apax LLC and Mr. Megrue disclaims beneficial ownership of the shares of Common Stock held by the SKM Entities except to the extent of its or his pecuniary interest therein. |
| Remarks: |
| This Form 3/A amends the Form 3 filing made on behalf of SKM Equity on November 13, 2013. The Form 3, as originally filed, incorrectly reported the date of event requiring statement and did not include the additional Reporting Persons included in this Form 3/A. This Form 3/A correctly reports that the date of event requiring statement was November 4, 2013 and that this form is a joint filing by more than one Reporting Person, and includes the necessary parties. Exhibit List Exhibit 24 - Limited Power of Attorney |
| /s/ Eric Tanquist, attorney-in-fact | 02/14/2014 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||