SEC FORM
3
SEC Form 3
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
520 MADISON AVENUE, 38TH FLOOR |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/12/2013
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3. Issuer Name and Ticker or Trading Symbol
Carlyle GMS Finance, Inc.
[ NONE ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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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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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
100 |
I |
See Footnote
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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)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
520 MADISON AVENUE, 38TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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1. Name and Address of Reporting Person*
C/O THE CARLYLE GROUP |
1001 PENNSYLVANIA AVE. NW, SUITE 220S |
(Street)
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Explanation of Responses: |
Remarks: |
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CARLYLE GROUP MANAGEMENT L.L.C., By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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THE CARLYLE GROUP L.P., By: Carlyle Group Management L.L.C., its general partner, By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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CARLYLE HOLDINGS I GP INC., By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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CARLYLE HOLDINGS I GP SUB L.L.C., By: Carlyle Holdings I GP Inc., its managing member, By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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CARLYLE HOLDINGS I L.P., By: Carlyle Holdings I GP Sub L.L.C., its general partner, By: Carlyle Holdings I GP Inc., its managing member, By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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TC GROUP, L.L.C., By: Carlyle Holdings I L.P., its managing member, By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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CARLYLE INVESTMENT MANAGEMENT L.L.C., By: TC Group, L.L.C., its managing member, By: Carlyle Holdings I L.P., its managing member, By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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CARLYLE GMS INVESTMENT MANAGEMENT L.L.C., By: Carlyle Investment Management L.L.C., its managing member, By: TC Group, L.L.C., its managing member, By: Carlyle Holdings I L.P., its managing member, By: /s/ Orit Mizrachi, attorney-in-fact |
04/12/2013 |
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** 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. |
Exhibit 24
Exhibit 24
POWER OF ATTORNEY
The undersigned understands that, from time to time, the Carlyle Companies
(defined below) are required to prepare, execute and file certain federal and
state securities laws filings.
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Curt Buser, Jeff Ferguson, David Pearson, Catherine Ziobro,
R. Rainey Hoffman, Joanne Cosiol, Monica Harris, Jeremy Anderson,
Bruno De Gusmao, Ann Siebecker, Andrea Pekala, Tom Mayrhofer, Orit Mizrachi,
John Beczak, Rick Kappler, Matt LoRusso, Rob Konigsberg, James Sloan,
Anne Frederick, Norma Kuntz, Victoria Jong, Erica Herberg or any of them
signing singly, and with full power of substitution, the undersigned's true and
lawful attorney-in-fact to:
(1) prepare, execute in the name of each Carlyle Company and on behalf
of each Carlyle Company, and submit to the U.S. Securities and Exchange
Commission (the "SEC") a Form ID, including amendments thereto, and any
other documents necessary or appropriate to obtain codes and passwords
enabling the undersigned to make electronic filings with the SEC of Forms D
("Form D") required to be filed in accordance with Rule 503 ("Rule 503")
promulgated with respect to Sections 4(2), 4(6) and 3(b) of the Securities
Act of 1933 (the"1933 Act") and reports required by Sections 13(d) and 16(a)
of the Securities Exchange Act of 1934 (the "1934 Act") or any rule
or regulation of the SEC;
(2) prepare and execute for and on behalf of each Carlyle Company, in
the undersigned's capacity as a Chairman, authorized person, officer and/or
director of each Carlyle Company, federal and state securities laws filings
including without limitation Forms D pursuant to Rule 503 and Schedules 13D
and 13G and Forms 3, 4, and 5 in accordance with Sections 13(d) and 16(a)
of the 1934 Act and the rules thereunder;
(3) do and perform any and all acts for and on behalf of each Carlyle
Company which may be necessary or desirable to complete and execute any such
federal and state securities laws filings including without limitation
Forms D, Schedules 13D and 13G and Forms 3, 4, and 5, complete and execute
any amendment or amendments thereto, and timely file such form with the SEC
and the securities administrators of any state, the District of Columbia,
the Commonwealth of Puerto Rico, Guam and the United States Virgin Islands
or their designees and any stock exchange or similar authority; and
(4) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit
to, in the best interest of, or legally required by, the undersigned, it
being understood that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall be in
such form and shall contain such terms and conditions as such attorney-in-fact
may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted, whether the same needs to be executed, taken or done by him in his
capacity as a current or former member, partner, shareholder, director or
officer of any company, partnership, corporation, organization, firm, branch or
other entity connected with, related to or affiliated with any of the entities
constituting the Carlyle Companies or entities that directly or indirectly hold
interests in the Carlyle Companies.
The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming any
of the undersigned's responsibilities to comply with federal and state
securities laws, including without limitation Rule 503 of the 1933 Act or
Section 13 and Section 16 of the 1934 Act.
This Power of Attorney and all authority conferred hereby shall not be
terminated by operation of law, whether by the death or incapacity of the
undersigned or by occurrence of any other event. Actions taken by an attorney-
in-fact pursuant to this Power of Attorney shall be as valid as if any event
described in the preceding sentence had not occurred, whether or not the
attorney-in-fact shall have received notice of such event. Notwithstanding the
foregoing, (i) in the event that an attorney-in-fact is no longer employed by
The Carlyle Group Employee Co., L.L.C. or its affiliates, this Power of Attorney
and all authority conferred hereby shall be immediately terminated with respect
to such Attorney, and (ii) the undersigned may terminate or revoke this Power of
Attorney at any time.
For purposes hereof, the "Carlyle Companies" shall consist of: (i) Carlyle
Group Management L.L.C., The Carlyle Group L.P., Carlyle Holdings I GP Inc.,
Carlyle Holdings I GP Sub L.L.C., Carlyle Holdings I L.P., Carlyle Holdings II
GP L.L.C., Carlyle Holdings II L.P., Carlyle Holdings III GP Management L.L.C.,
Carlyle Holdings III GP L.P., Carlyle Holdings III GP Sub L.L.C., Carlyle
Holdings III L.P., TC Group Sub L.P., TC Group Investment Holdings Sub L.P., TC
Group Cayman Investment Holdings Sub L.P., TC Group Cayman Sub L.P. and (ii) the
subsidiaries and affiliates of the foregoing in clause (i), including without
limitation investment funds sponsored directly or indirectly by one or more of
the Carlyle Companies.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 7th day of May, 2012.
/s/ Daniel A. D'Aniello
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Name: Daniel A. D'Aniello
Title: Chairman