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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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*
C/O WALKER CORPORATE SERVICES LIMITED |
WALKER HOUSE, 87 MARY STREET |
(Street)
GEORGE TOWN, GRAND CAYMAN |
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KY1-9001 |
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2. Issuer Name and Ticker or Trading Symbol
HAMPTON ROADS BANKSHARES INC
[ HMPR ]
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5. 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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3. Date of Earliest Transaction
(Month/Day/Year) 09/27/2012
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4. 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 Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common stock, par value $0.01 per share |
09/27/2012 |
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P |
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16,007,143 |
A |
$0.7
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42,398,583 |
I |
See Footnote
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
C/O WALKER CORPORATE SERVICES LIMITED |
WALKER HOUSE, 87 MARY STREET |
(Street)
GEORGE TOWN, GRAND CAYMAN |
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KY1-9001 |
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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 WALKER CORPORATE SERVICES LIMITED |
WALKER HOUSE, 87 MARY STREET |
(Street)
GEORGE TOWN, GRAND CAYMAN |
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KY1-9001 |
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1. Name and Address of Reporting Person*
C/O WALKER CORPORATE SERVICES LIMITED |
WALKER HOUSE, 87 MARY STREET |
(Street)
GEORGE TOWN, GRAND CAYMAN |
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KY1-9001 |
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1. Name and Address of Reporting Person*
C/O WALKER CORPORATE SERVICES LIMITED |
WALKER HOUSE, 87 MARY STREET |
(Street)
GEORGE TOWN, GRAND CAYMAN |
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KY1-9001 |
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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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/s/ Ann Siebecker, attorney-in-fact for Daniel A. D?Aniello, Director of Carlyle Financial Sevices, Ltd., the general partner of TCG Financial Services, L.P. |
09/28/2012 |
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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
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. |
Joint Filer Information
Exhibit 99
Joint Filer Information
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Date of Event Requiring Statement:
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September 27, 2012 |
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Issuer Name and Ticker or Trading Symbol:
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Hampton Roads Bankshares, Inc. [HMPR] |
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Designated Filer:
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TCG Financial Services, L.P. |
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Other Joint Filers:
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The Carlyle Group L.P., Carlyle Holdings II GP L.L.C.,
Carlyle Holdings II L.P., TC Group Cayman Investment Holdings,
L.P., TC Group Cayman Investment Holdings Sub L.P., Carlyle
Financial Services, Ltd., TCG Financial Services, L.P., Carlyle
Financial Services Harbor, L.P. |
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Addresses:
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The address of TC Group Cayman Investment Holdings, L.P.,
TC Group Cayman Investment Holdings Sub L.P., Carlyle Financial
Services, Ltd. and TCG Financial Services, L.P. is c/o Walker
Corporate Services Limited, Walker House, 87 Mary Street, George
Town, Grand Cayman KY1-9001, Cayman Islands. The address of
each of the other reporting persons is c/o The Carlyle Group,
1001 Pennsylvania Ave., N.W., Suite 220 South, Washington, DC
20004-2505. |
Dated: September 28, 2012
Signatures:
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CARLYLE GROUP MANAGEMENT L.L.C.
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Chairman |
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THE CARLYLE GROUP L.P.
By: Carlyle Group Management L.L.C., its general partner
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Chairman |
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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
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Chairman |
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CARLYLE HOLDINGS II L.P.
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Chairman |
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TC GROUP CAYMAN INVESTMENT HOLDINGS L.P. By: Carlyle Holdings II L.P., its general partner
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Chairman |
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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
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Chairman |
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CARLYLE FINANCIAL SERVICES, LTD.
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Director |
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TCG FINANCIAL SERVICES, L.P. By:Carlyle Financial Services, Ltd., its general partner
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Director |
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CARLYLE FINANCIAL SERVICES HARBOR, L.P.
By: TCG Financial Services, L.P., its general partner By: Carlyle Financial Services, Ltd., its general partner
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By: |
/s/ Ann Siebecker, attorney-in-fact
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Name: |
Daniel DAniello |
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Title: |
Director |
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