SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Carlyle Group Management L.L.C.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CommunityOne Bancorp [ COB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/30/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common stock, no par value per share 12/30/2014 P 842,063 A $10.56 5,772,376(1) I See Footnote(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Carlyle Group Management L.L.C.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Carlyle Group L.P.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Carlyle Holdings II GP L.L.C.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Carlyle Holdings II L.P.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TC Group Cayman Investment Holdings, L.P.

(Last) (First) (Middle)
C/O INTERTRUST CORPORATE SERVICES,
190 ELGIN AVENUE

(Street)
GEORGE TOWN, GRAND CAYMAN E9 KY1-9005

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TC Group Cayman Investment Holdings Sub L.P.

(Last) (First) (Middle)
C/O INTERTRUST CORPORATE SERVICES,
190 ELGIN AVENUE

(Street)
GEORGE TOWN, GRAND CAYMAN E9 KY1-9005

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Carlyle Financial Services, Ltd.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TCG Financial Services, L.P.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Carlyle Financial Services Harbor, L.P.

(Last) (First) (Middle)
C/O THE CARLYLE GROUP,
1001 PENNSYLVANIA AVE. NW, SUITE 220S

(Street)
WASHINGTON DC 20004

(City) (State) (Zip)
Explanation of Responses:
1. The number of shares presented herein reflects the effectiveness of a one-for-one hundred reverse stock split on October 31, 2011.
2. Carlyle Financial Services Harbor, L.P. is the record holder of these shares. Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group L.P. is the managing member of Carlyle Holdings II GP L.L.C., which is the general partner of Carlyle Holdings II L.P., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole shareholder of Carlyle Financial Services, Ltd., which is the general partner of TCG Financial Services, L.P., which is the general partner of Carlyle Financial Services Harbor, L.P. Each of such reporting persons expressly disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein.
Remarks:
CommunityOne Bancorp was formerly known as FNB United Corp. Exhibit 99.1 - Additional Signatures
/s/ Carlyle Group Management L.L.C., by: /s/ Ann Siebecker, attorney-in-fact for Daniel D'Aniello, Title: Chairman 12/30/2014
** 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 4 (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 99.1

 

Additional Signatures

 

 

THE CARLYLE GROUP L.P.
By: Carlyle Group Management L.L.C., its general partner
   
By:  /s/ Ann Siebecker, attorney-in-fact   12/30/2014
  Name: Daniel D'Aniello   Date
  Title: Chairman
   
**Signature of Reporting Person
 
 
CARLYLE HOLDINGS II GP L.L.C.
By: The Carlyle Group L.P., its managing member
By: Carlyle Group Management L.L.C., its general partner
   
By:  /s/ Ann Siebecker, attorney-in-fact   12/30/2014
  Name: Daniel D'Aniello   Date
  Title: Chairman
   
**Signature of Reporting Person
 
 
CARLYLE HOLDINGS II L.P
   
By:  /s/ Ann Siebecker, attorney-in-fact   12/30/2014
  Name: Daniel D'Aniello   Date
  Title: Chairman
   
**Signature of Reporting Person
 
 
TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P.
By: Carlyle Holdings II L.P., its general partner
   
By:  /s/ Ann Siebecker, attorney-in-fact   12/30/2014
  Name: Daniel D'Aniello   Date
  Title: Chairman    
       
**Signature of Reporting Person
 
 
TC GROUP CAYMAN INVESTMENT HOLDINGS SUB L.P.
By: TC Group Cayman Investment Holdings, L.P., its general partner
By: Carlyle Holdings II L.P., its general partner
   
By:  /s/ Ann Siebecker, attorney-in-fact   12/30/2014
  Name: Daniel D'Aniello   Date
  Title: Chairman
   
**Signature of Reporting Person
 
 
CARLYLE FINANCIAL SERVICES, LTD.
   
By:  /s/ Ann Siebecker   12/30/2014
  Name: Ann Siebecker   Date
  Title: Authorized Person
   
**Signature of Reporting Person
 
 
TCG FINANCIAL SERVICES, L.P.
By: Carlyle Financial Services, Ltd., its general partner
   
By:  /s/ Ann Siebecker   12/30/2014
  Name: Ann Siebecker   Date
  Title: Authorized Person
   
**Signature of Reporting Person
 
 
CARLYLE FINANCIAL SERVICES HARBOR, L.P.
By: TCG Financial Services L.P., its general partner
By: Carlyle Financial Services, Ltd., its general partner
   
By:  /s/ Ann Siebecker   12/30/2014
  Name: Ann Siebecker   Date
  Title: Authorized Person
   
**Signature of Reporting Person