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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HNA Investment Management LLC C/O HNA GROUP NORTH AMERICA LLC 1180 AVENUE OF THE AMERICAS, SUITE 1801 NEW YORK, NY 10036 |
X |
/s/ Enrico Marini Fichera | 06/14/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | As described in additional detail below, the filer disposed of its Section 13 beneficial ownership of 3,738,401 shares of common stock, par value $0.01 per share ("Common Stock") of Red Lion Hotels Corporation (the "Issuer"), but had no pecuniary interest in those shares and therefore has not disposed of them for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. |
Remarks: HNA Investment Management LLC (the "Manager") has been contractually delegated all authority to acquire, vote and dispose of the shares (the "Shares") of Common Stock of the Issuer. The Shares are held directly by HNA RLH Investments LLC ("HNA RLH"), which is a wholly-owned, indirect subsidiary of HNA Group Co., Ltd. HNA RLH retains the entire pecuniary interest in the Shares, and the Manager does not receive a performance-based fee for its services. Accordingly, the Manager, while considered a 10% shareholder of the Issuer, does not beneficially own any shares for the purposes of Section 16. The Manager has elected to make this filing for informational purposes only. |