| 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) 09/28/2021 |
3. Issuer Name and Ticker or Trading Symbol
Gates Industrial Corp plc [ GTES ] |
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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) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 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) |
| Ordinary Shares | 87,357,197(1) | I | See Footnotes(2)(3)(8)(9)(10)(11) |
| Ordinary Shares | 84,471,402(1) | I | See Footnotes(2)(4)(8)(9)(10)(11) |
| Ordinary Shares | 289,233(1) | I | See Footnotes(2)(5)(8)(9)(10)(11) |
| Ordinary Shares | 17,817,551(1) | I | See Footnotes(2)(6)(9)(10)(11) |
| Ordinary Shares | 2,402,208 | I | See Footnotes(2)(7)(8)(9)(10)(11) |
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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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| Explanation of Responses: |
| 1. These Ordinary Shares may be evidenced by Depositary Receipts. |
| 2. On September 28, 2021, each of Blackstone Capital Partners (Cayman) VI L.P., Blackstone GTS Co-Invest L.P., Blackstone Family Investment Partnership (Cayman) VI-ESC L.P., BTO Omaha Holdings L.P., and Omaha Aggregator (Cayman) L.P. contributed all the ordinary shares of the Issuer previously held directly by it (or represented by depositary receipts held directly by it) to its wholly-owned subsidiary described herein. No securities of the Issuer were purchased, sold or otherwise transferred in connection with the contributions described herein. |
| 3. Reflects securities held directly by BX Gates ML-1 Holdco LLC. The sole member of BX Gates ML-1 Holdco LLC is Blackstone Capital Partners (Cayman) VI L.P. |
| 4. Reflects securities held directly by BX Gates ML-2 Holdco LLC. The sole member of BX Gates ML-2 Holdco LLC is Blackstone GTS Co-Invest L.P. |
| 5. Reflects securities held directly by BX Gates ML-3 Holdco LLC. The sole member of BX Gates ML-3 Holdco LLC is Blackstone Family Investment Partnership (Cayman) VI-ESC L.P. |
| 6. Reflects securities held directly by BX Gates ML-4 Holdco LLC. The sole member of BX Gates ML-4 Holdco LLC is BTO Omaha Holdings L.P. The general partner of BTO Omaha Holdings L.P. is BTO Omaha Manager L.L.C. The managing member of BTO Omaha Manager L.L.C. is Blackstone Tactical Opportunities Management Associates (Cayman) L.P. The general partners of Blackstone Tactical Opportunities Management Associates (Cayman) L.P. are BTO GP L.L.C. and Blackstone Tactical Opportunities LR Associates (Cayman) Ltd. |
| 7. Reflects securities held directly by BX Gates ML-5 Holdco LLC. The sole member of BX Gates ML-5 Holdco LLC is Omaha Aggregator (Cayman) L.P. |
| 8. The general partner of each of Blackstone Capital Partners (Cayman) VI L.P., Blackstone GTS Co-Invest L.P. and Omaha Aggregator (Cayman) L.P., is Blackstone Management Associates (Cayman) VI L.P. The general partners of each of Blackstone Management Associates (Cayman) VI L.P. and Blackstone Family Investment Partnership (Cayman) VI-ESC L.P. are BCP VI GP L.L.C. and Blackstone LR Associates (Cayman) VI Ltd. |
| 9. Blackstone Holdings III L.P. is the sole member of each of BCP VI GP L.L.C. and BTO GP L.L.C. and the controlling shareholder of each of Blackstone LR Associates (Cayman) VI Ltd. and Blackstone Tactical Opportunities LR Associates (Cayman) Ltd. The general partner of Blackstone Holdings III L.P. is Blackstone Holdings III GP L.P. The general partner of Blackstone Holdings III GP L.P. is Blackstone Holdings III GP Management L.L.C. The sole member of Blackstone Holdings III GP Management L.L.C. is Blackstone Inc. The sole holder of Series II preferred stock of Blackstone Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman. |
| 10. Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| 11. Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
| Remarks: |
| BX GATES ML-1 HOLDCO LLC, By: /s/ Gregory Perez, Name: Gregory Perez, Title: Authorized Signatory | 10/01/2021 | |
| BX GATES ML-2 HOLDCO LLC, By: /s/ Gregory Perez, Name: Gregory Perez, Title: Authorized Signatory | 10/01/2021 | |
| BX GATES ML-3 HOLDCO LLC, By: /s/ Gregory Perez, Name: Gregory Perez, Title: Authorized Signatory | 10/01/2021 | |
| BX GATES ML-4 HOLDCO LLC, By: /s/ Gregory Perez, Name: Gregory Perez, Title: Authorized Signatory | 10/01/2021 | |
| BX GATES ML-5 HOLDCO LLC, By: /s/ Gregory Perez, Name: Gregory Perez, Title: Authorized Signatory | 10/01/2021 | |
| ** 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. | ||