Statement of Changes in Beneficial Ownership (4)
03 März 2021 - 12:50AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
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Walker Gordon A. |
2. Issuer Name and Ticker or Trading Symbol
STEEL PARTNERS HOLDINGS L.P.
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SPLP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Senior Vice President |
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(Last)
(First)
(Middle)
C/O STEEL PARTNERS HOLDINGS L.P., 590 MADISON AVENUE, 32ND FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/26/2021 |
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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| 6% Series A Preferred Units | 2/26/2021 | | P(1) | | 2596 | A | $20.5933 (2) | 43859 | I | By Gordon A Walker Nonexempt Marital Trust |
| 6% Series A Preferred Units | 3/1/2021 | | P(1) | | 1778 | A | $20.4198 (3) | 45637 | I | By Gordon A Walker Nonexempt Marital Trust |
| 6% Series A Preferred Units | 3/2/2021 | | P(1) | | 2620 | A | $20.6735 (4) | 48257 | I | By Gordon A Walker Nonexempt Marital Trust |
| Common Units no par value | | | | | | | | 70182 | I | By Gordon A Walker Nonexempt Marital Trust |
| Common Units no par value | | | | | | | | 70000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
| Explanation of Responses: |
| (1) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. |
| (2) | The price reported in column 4 is a weighted average price. These units were purchased in multiple transactions at prices ranging from $20.42 to $20.755. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of units purchased at each separate price within the range set forth in this footnote. |
| (3) | The price reported in column 4 is a weighted average price. These units were purchased in multiple transactions at prices ranging from $20.36 to $20.50. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of units purchased at each separate price within the range set forth in this footnote. |
| (4) | The price reported in column 4 is a weighted average price. These units were purchased in multiple transactions at prices ranging from $20.52 to $20.68. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of units purchased at each separate price within the range set forth in this footnote. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Walker Gordon A.
C/O STEEL PARTNERS HOLDINGS L.P.
590 MADISON AVENUE, 32ND FLOOR
NEW YORK, NY 10022 |
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| Senior Vice President |
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Signatures
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| /s/ Maria Reda as attorney-in-fact for Gordon A. Walker | | 3/2/2021 |
| **Signature of Reporting Person | Date |
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