SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
[Rule 13d-101]
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 204.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a)
(Amendment No. 7)
Hyatt Hotels Corporation
(Name of Issuer)
Class A Common Stock, $0.01 par value per share
(Title of Class of Securities)
448579102
(CUSIP Number)
Michael A. Pucker, Esq.
Cathy A. Birkeland, Esq.
Latham & Watkins LLP
233 S. Wacker Drive, Suite 5800
Chicago, Illinois 60606
(312) 876-7700
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
November 30, 2012
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ¨
(Continued on following pages)
(Page 1 of 20 Pages)
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 448579102 | 13D | Page 2 of 20 Pages |
1. |
Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only)
Marshall E. Eisenberg, not individually, but solely as trustee of the trusts listed on Appendix A-1. | |||||
2. | Check the Appropriate Box if a Member of a Group (a) x (b) ¨
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds
OO | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨ | |||||
6. | Citizenship or Place of Organization
United States | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
6,212,798* | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
6,212,798* | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
6,212,798* | |||||
12. |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
x | |||||
13. |
Percent of Class Represented by Amount in Row (11)
3.8%* | |||||
14. |
Type of Reporting Person
OO |
* Represents shares of the Issuers Class A Common Stock, $0.01 par value per share (the Class A Common Stock), issuable upon conversion of shares of the Issuers Class B Common Stock, $0.01 par value per share (the Class B Common Stock and, together with the Class A Common Stock, the Common Stock). As provided in the Issuers Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock.
CUSIP No. 448579102 | 13D | Page 3 of 20 Pages |
The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in the Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Act (as defined in the Schedule 13D), comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaims beneficial ownership.
All references to the number of shares outstanding are as of October 26, 2012, as reported in the Issuers Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2012. The percentage is calculated using the total number of shares of Common Stock beneficially owned by the Reporting Person and based on 164,002,394 shares of Common Stock outstanding as of October 26, 2012. With respect to matters upon which the Issuers stockholders are entitled to vote, the holders of Class A Common Stock and Class B Common Stock vote together as a single class, and each holder of Class A Common Stock is entitled to one vote per share and each holder of Class B Common Stock is entitled to ten votes per share. The shares of Class B Common Stock owned by the Reporting Person represent 5.0% of the total voting power of the Common Stock as of October 26, 2012. The percentage of total voting power of the Common Stock is calculated based on the total voting power of the Common Stock outstanding as of October 26, 2012, which is comprised of 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock and assumes that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock.
CUSIP No. 448579102 | 13D | Page 4 of 20 Pages |
1. |
Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only)
CIBC Trust Company (Bahamas) Limited, not individually, but solely as trustee of the trusts listed on Appendix A-2. | |||||
2. | Check the Appropriate Box if a Member of a Group (a) x (b) ¨
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds
OO | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨ | |||||
6. | Citizenship or Place of Organization
Bahamian International Business Company | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
921,888* | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
921,888* | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
921,888* | |||||
12. |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
x | |||||
13. |
Percent of Class Represented by Amount in Row (11)
0.6%* | |||||
14. |
Type of Reporting Person
OO |
* Represents shares of the Issuers Class A Common Stock, $0.01 par value per share (the Class A Common Stock), issuable upon conversion of shares of the Issuers Class B Common Stock, $0.01 par value per share (the Class B Common Stock and, together with the Class A Common Stock, the
CUSIP No. 448579102 | 13D | Page 5 of 20 Pages |
Common Stock). As provided in the Issuers Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock.
The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in the Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Act (as defined in the Schedule 13D), comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaims beneficial ownership.
All references to the number of shares outstanding are as of October 26, 2012, as reported in the Issuers Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2012. The percentage is calculated using the total number of shares of Common Stock beneficially owned by the Reporting Person and based on 164,002,394 shares of Common Stock outstanding as of October 26, 2012. With respect to matters upon which the Issuers stockholders are entitled to vote, the holders of Class A Common Stock and Class B Common Stock vote together as a single class, and each holder of Class A Common Stock is entitled to one vote per share and each holder of Class B Common Stock is entitled to ten votes per share. The shares of Class B Common Stock owned by the Reporting Person represent 0.7% of the total voting power of the Common Stock as of October 26, 2012. The percentage of total voting power of the Common Stock is calculated based on the total voting power of the Common Stock outstanding as of October 26, 2012, which is comprised of 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock and assumes that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock.
CUSIP No. 448579102 | 13D | Page 6 of 20 Pages |
1. |
Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only)
John A. Miller, not individually, but solely as trustee of the trusts listed on Appendix A-3. | |||||
2. | Check the Appropriate Box if a Member of a Group (a) x (b) ¨
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds
OO | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨ | |||||
6. | Citizenship or Place of Organization
United States | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
13,725,944* | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
13,725,944* | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
13,725,944* | |||||
12. |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
x | |||||
13. |
Percent of Class Represented by Amount in Row (11)
8.4%* | |||||
14. |
Type of Reporting Person
OO |
* Represents shares of the Issuers Class A Common Stock, $0.01 par value per share (the Class A Common Stock), issuable upon conversion of shares of the Issuers Class B Common Stock, $0.01 par value per share (the Class B Common Stock and, together with the Class A Common Stock, the Common Stock). As provided in the Issuers Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock.
CUSIP No. 448579102 | 13D | Page 7 of 20 Pages |
The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in the Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Act, comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaims beneficial ownership.
All references to the number of shares outstanding are as of October 26, 2012, as reported in the Issuers Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2012. The percentage is calculated using the total number of shares of Common Stock beneficially owned by the Reporting Person and based on 164,002,394 shares of Common Stock outstanding as of October 26, 2012. With respect to matters upon which the Issuers stockholders are entitled to vote, the holders of Class A Common Stock and Class B Common Stock vote together as a single class, and each holder of Class A Common Stock is entitled to one vote per share and each holder of Class B Common Stock is entitled to ten votes per share. The shares of Class B Common Stock owned by the Reporting Person represent 11.1% of the total voting power of the Common Stock as of October 26, 2012. The percentage of total voting power of the Common Stock is calculated based on the total voting power of the Common Stock outstanding as of October 26, 2012, which is comprised of 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock and assumes that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock.
CUSIP No. 448579102 | 13D | Page 8 of 20 Pages |
1. |
Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only)
Thomas J. Pritzker, individually | |||||
2. | Check the Appropriate Box if a Member of a Group (a) x (b) ¨
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds
OO | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨ | |||||
6. | Citizenship or Place of Organization
United States | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
39,699* | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
39,699* | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
0* | |||||
12. |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
x | |||||
13. |
Percent of Class Represented by Amount in Row (11)
0.0%* | |||||
14. |
Type of Reporting Person
IN |
* Represents shares of the Issuers Class A Common Stock, $0.01 par value per share (the Class A Common Stock), issuable upon conversion of shares of the Issuers Class B Common Stock, $0.01 par value per share (the Class B Common Stock and, together with the Class A Common Stock, the Common Stock). As provided in the Issuers Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock.
CUSIP No. 448579102 | 13D | Page 9 of 20 Pages |
The Reporting Person is party to certain agreements with the Separately Filing Group Members (as defined in the Schedule 13D), which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Act, comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Person exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Person disclaims beneficial ownership.
All references to the number of shares outstanding are as of October 26, 2012, as reported in the Issuers Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2012. The percentage is calculated using the total number of shares of Common Stock beneficially owned by the Reporting Person and based on 164,002,394 shares of Common Stock outstanding as of October 26, 2012. With respect to matters upon which the Issuers stockholders are entitled to vote, the holders of Class A Common Stock and Class B Common Stock vote together as a single class, and each holder of Class A Common Stock is entitled to one vote per share and each holder of Class B Common Stock is entitled to ten votes per share. The shares of Class B Common Stock owned by the Reporting Person represent less than 0.1% of the total voting power of the Common Stock as of October 26, 2012. The percentage of total voting power of the Common Stock is calculated based on the total voting power of the Common Stock outstanding as of October 26, 2012, which is comprised of 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock and assumes that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock.
Thomas J. Pritzker holds 59,853 stock appreciation rights (SARs) that are currently exercisable at an exercise price of $40.96 and 31,852 SARs that are currently exercisable at an exercise price of $41.74. Each SAR gives the holder the right to receive a number of shares of Class A Common Stock equal to the excess of the value of one share of Class A Common Stock at the exercise date, over the exercise price. The number of shares of Class A Common Stock that Mr. Pritzker will receive upon exercise of such SARs is not determinable until the date of exercise and therefore is not included in the information above.
CUSIP No. 448579102 | 13D | Page 10 of 20 Pages |
EXPLANATORY NOTE: This Amendment No. 7 to Schedule 13D (Amendment No. 7) relates to the Class A Common Stock, $0.01 par value per share, of Hyatt Hotels Corporation, a Delaware corporation (the Issuer), which has its principal executive office at 71 South Wacker Drive, 12th Floor, Chicago, Illinois 60606. This Amendment No. 7 amends and supplements, as set forth below, the Schedule 13D filed by the Reporting Persons with respect to the Issuer on August 26, 2010 (the Original Schedule 13D), as amended and supplemented by Amendment No. 1 to Schedule 13D filed by the Reporting Persons on September 8, 2010 (Amendment No. 1), Amendment No. 2 to Schedule 13D filed by the Reporting Persons on May 18, 2011 (Amendment No. 2), Amendment No. 3 to Schedule 13D filed by the Reporting Persons on November 29, 2011 (Amendment No. 3), Amendment No. 4 to Schedule 13D filed by the Reporting Persons on December 19, 2011 (Amendment No. 4), Amendment No. 5 to Schedule 13D filed by the Reporting Persons on January 4, 2012 (Amendment No. 5) and Amendment No. 6 to Schedule 13D filed by the Reporting Persons on August 17, 2012 (Amendment No. 6). The Original Schedule 13D, as amended and supplemented by Amendment No. 1, Amendment No. 2, Amendment No. 3, Amendment No. 4, Amendment No. 5 and Amendment No. 6, is referred to as the Schedule 13D. All capitalized terms not otherwise defined herein have the meanings ascribed to them in the Schedule 13D. The Schedule 13D is amended and supplemented by adding the information contained herein. Only those items amended are reported herein.
Item 3. Source and Amount of Funds or Other Consideration
Item 3 of the Schedule 13D is amended and supplemented as follows:
On November 30, 2012, Thomas J. Pritzker, Marshall E. Eisenberg and Karl J. Breyer resigned as co-trustees of each of the U.S. Situs Trusts. Marshall E. Eisenberg was appointed as sole successor trustee of certain of such trusts, which are listed on Appendix A-4 hereto (the Change of Trustee). Due to the Change of Trustee, the shares of Common Stock held by the trusts listed on Appendix A-4 hereto are now beneficially owned by Marshall E. Eisenberg, solely in his capacity as trustee of such trusts. No consideration was paid in connection with the Change of Trustee and the Change of Trustee constitutes a Permitted Transfer as defined in the Issuers Amended and Restated Certificate of Incorporation and, accordingly, the shares of Class B Common Stock held by the trusts listed on Appendix A-4 hereto remain shares of Class B Common Stock following the Change of Trustee.
Item 4. Purpose of Transaction
Item 4 of the Schedule 13D is amended and supplemented as follows:
The Change of Trustee was completed on November 30, 2012, as described in Item 3 of this Amendment No. 7.
CUSIP No. 448579102 | 13D | Page 11 of 20 Pages |
Item 5. Interest in Securities of the Issuer
Item 5 of the Schedule 13D is amended and supplemented as follows:
(a)-(b) As of the date hereof, the Reporting Persons in the aggregate may be deemed to be the beneficial owners of 20,900,329 shares of Class A Common Stock, issuable upon conversion of 20,900,329 shares of Class B Common Stock beneficially owned by the Reporting Persons. Based on the number of shares of Class B Common Stock outstanding as of October 26, 2012, the number of shares of Class B Common Stock beneficially owned by the Reporting Persons represents 17.6% of the total number of shares of Class B Common Stock outstanding. Based on the number of shares of Common Stock outstanding as of October 26, 2012, the number of shares of Common Stock beneficially owned by the Reporting Persons represents 12.7% of the total number of shares of Common Stock outstanding and 17.0% of the total voting power of the shares of Common Stock outstanding, voting together as a single class, assuming that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock.
Thomas J. Pritzker holds 59,853 stock appreciation rights (SARs) that are currently exercisable at an exercise price of $40.96 and 31,852 SARs that are currently exercisable at an exercise price of $41.74. Each SAR gives the holder the right to receive a number of shares of Class A Common Stock equal to the excess of the value of one share of Class A Common Stock at the exercise date, over the exercise price. The number of shares of Class A Common Stock that Mr. Pritzker will receive upon exercise of such SARs is not determinable until the date of exercise and therefore is not included in the information above.
Schedule A attached to this Amendment No. 7 amends and restates, in its entirety, Schedule A attached to the Schedule 13D. Schedule A attached to this Amendment No. 7 sets forth, as of the date hereof, the number of shares and percentage of the Class A Common Stock outstanding, the number of shares and percentage of the Class B Common Stock outstanding, the percentage of the total number of shares of Common Stock outstanding, and the percentage of the total voting power of the shares of Common Stock outstanding, voting together as a single class, represented by the shares beneficially owned by each Reporting Person. Certain shares beneficially owned by John A. Miller, as Trustee, are held indirectly by T11M2 HHC, L.L.C., THHC, L.L.C., T11M2 Investors, L.L.C. and T11M5 Investors, L.L.C., each of which are member-managed Delaware limited liability companies formed for the purpose of acquiring shares of the Issuers Common Stock. The limited liability companies are wholly owned by one or more of the trusts listed on Appendix A-3 and have no voting or dispositive power with regard to the shares.
Schedule B attached to this Amendment No. 7 amends and restates, in its entirety, Schedule B attached to the Schedule 13D. Schedule B attached to this Amendment No. 7 sets forth, as of the date hereof, the number of shares and percentage of the Class A Common Stock outstanding, the number of shares and percentage of the Class B Common Stock outstanding, the percentage of the total number of shares of Common
CUSIP No. 448579102 | 13D | Page 12 of 20 Pages |
Stock outstanding, and the percentage of the total voting power of the shares of Common Stock outstanding, voting together as a single class, represented by the shares beneficially owned by the Reporting Persons and each Separately Filing Group Member. All information with regard to the Separately Filing Group Members is based solely on the information contained in the Schedule 13Ds filed by the Separately Filing Group Members.
The Change of Trustee did not impact the number of shares or the percentage of the Common Stock beneficially owned by the Pritzker Family Group.
(c) The Change of Trustee was completed on November 30, 2012, as described in Item 3 of this Amendment No. 7.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
Item 6 of the Schedule 13D is amended and supplemented as follows:
On November 30, 2012, Marshall E. Eisenberg, not individually, but solely as trustee of the trusts listed on Appendix A-4, executed a joinder to, and thereby became subject to the provisions of, the Global Hyatt Agreement.
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: December 4, 2012
/s/ Marshall E. Eisenberg | ||
Marshall E. Eisenberg, not individually, but solely in the capacity as trustee of the trusts listed on Appendix A-1. | ||
CIBC Trust Company (Bahamas) Limited, solely as trustee of the trusts listed on Appendix A-2. | ||
By: | /s/ Schevon Miller | |
Schevon Miller | ||
Authorized Signatory* | ||
By: | /s/ Carlis E. Chisholm | |
Carlis E. Chisholm | ||
Authorized Signatory* | ||
/s/ John A. Miller | ||
John A. Miller, not individually, but solely in the capacity as trustee of the trusts listed on Appendix A-3. | ||
/s/ Thomas J. Pritzker | ||
Thomas J. Pritzker, individually |
* | A Secretarys Certificate evidencing the authority of such persons to sign and file this Amendment No. 7 on behalf of CIBC Trust Company (Bahamas) Limited was previously filed as Exhibit 6 to the Schedule 13D and is incorporated herein by reference. |
[Signature Page to Amendment No. 7 to Schedule 13D]
CUSIP No. 448579102 | 13D | Page 14 of 20 Pages |
Appendix A-1
Name of Trusts |
Jurisd. | |
P.G. Tom Trust M |
Illinois | |
A.N.P. Trust #8M8 |
Illinois | |
A.N.P. Trust #12M5 |
Illinois | |
LaSalle G.C. Trust #2 |
Illinois | |
Moro Trust ORE #191 |
N/A |
CUSIP No. 448579102 | 13D | Page 15 of 20 Pages |
Appendix A-2
Name of Trusts |
Jurisd. of | |
Settlement T-551-1FD |
Bahamas | |
T-1740-27FD |
Bahamas | |
Settlement T-2113AFD |
Bahamas |
CUSIP No. 448579102 | 13D | Page 16 of 20 Pages |
Appendix A-3
Name of Trusts |
Jurisd. | |
A.N.P. Trust #11M3 |
Illinois | |
A.N.P. Trust #11M4 |
Illinois | |
A.N.P. Trust #12M4 |
Illinois | |
A.N.P. Trust #13A-Tom M3 |
Illinois | |
A.N.P. Trust #14M4 |
Illinois | |
A.N.P. Trust #14M5 |
Illinois | |
A.N.P. Trust #18-Thomas M6 |
Illinois | |
A.N.P. Trust #8M7 |
Illinois | |
Belleview Trust (OR 37) M2 |
N/A | |
Bly Trust (OR 38) M2 |
N/A | |
Canyonville Trust (OR 39) M2 |
N/A | |
Don G C. Trust #1M4 |
N/A | |
ECI QSST Trust #4M3 |
Illinois | |
ECI QSST Trust #5M2 |
Illinois | |
ECI QSST Trust #6M2 |
Illinois | |
F.L.P. Trust #11M2 |
Illinois | |
F.L.P. Trust #11M5 |
Illinois | |
Galispell Trust (WA 63) M1 |
Illinois | |
Heppner Trust (OR 190) M2 |
N/A | |
Hoh Trust (WA 143) M1 |
Illinois | |
Klickitat Trust (WA 149) M2 |
Illinois | |
LaSalle G.G. Trust #2M1 |
Illinois | |
LaSalle Trust #13M3 |
Illinois | |
LaSalle Trust #42M4 |
Illinois | |
LaSalle Trust #44M3 |
Illinois | |
Lummi Trust (WA 141) M3 |
Illinois | |
Moro Trust (OR 191) M1 |
N/A | |
Newman Trust (WA 57) M1 |
Illinois | |
Quiliayute Trust (WA 144) M3 |
Illinois | |
RA G.C. Trust #1M3 |
Illinois | |
Rock Trust (WA 58) M1 |
Illinois | |
Roosevelt Trust (WA 59) M1 |
Illinois | |
Shannon Trust (WA 60) M1 |
Illinois | |
ShoalwaterTrust (WA 142) M3 |
Illinois | |
Snow Trust (WA 151) M2 |
Illinois | |
Spectacle Trust (WA 62) M1 |
Illinois | |
Stevens Trust (WA 61) M1 |
Illinois | |
Tillamook Trust (OR 192) M1 |
N/A | |
Vale Trust (OR 189) M2 |
N/A | |
West Trust (WA 64) M1 |
Illinois | |
Willapa Trust (WA 150) M3 |
Illinois |
CUSIP No. 448579102 | 13D | Page 17 of 20 Pages |
Appendix A-4
Name of Trusts |
Jurisd. | |
LaSalle G.C. Trust #2 |
Illinois | |
Moro Trust ORE #191 |
N/A |
CUSIP No. 448579102 | 13D | Page 18 of 20 Pages |
Schedule A
Certain Information Regarding the
Reporting Persons1
Class A Common Stock2 |
Class B Common Stock3 |
% of Total Common Stock4 |
% of Total Voting Power5 |
|||||||||||||||||||||
Name of Beneficial Owner |
Shares | % of Class A |
Shares | % of Class B |
||||||||||||||||||||
Marshall E. Eisenberg, not individually, but solely in the capacity as trustee of the trusts listed on Appendix A-1. |
- | - | 6,212,798 | 5.2 | % | 3.8 | % | 5.0 | % | |||||||||||||||
CIBC Trust Company (Bahamas) Limited, not individually, but solely in the capacity as trustee of the trusts listed on Appendix A-2. |
- | - | 921,888 | 0.8 | % | 0.6 | % | 0.7 | % | |||||||||||||||
John A. Miller, not individually, but solely in the capacity as trustee of the trusts listed on Appendix A-3. |
- | - | 13,725,944 | 11.6 | % | 8.4 | % | 11.1 | % | |||||||||||||||
Thomas J. Pritzker, individually.6 |
- | - | 39,699 | * | * | * |
* | Less than 1% beneficial ownership |
1 | All references to the number of shares outstanding are as of October 26, 2012, as reported in the Issuers Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2012. |
2 | The information shown in the table with respect to the percentage of Class A Common Stock beneficially owned is based on 45,387,810 shares of the Class A Common Stock outstanding as of October 26, 2012, assuming that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock. |
3 | The information shown in the table with respect of the percentage of Class B Common Stock beneficially owned is based on 118,614,584 shares of Class B Common Stock outstanding as of October 26, 2012. |
4 | The information shown in the table with respect to the percentage of total Common Stock beneficially owned is based on 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock outstanding as of October 26, 2012. |
5 | With respect to matters upon which the Issuers stockholders are entitled to vote, the holders of Class A Common Stock and Class B Common Stock vote together as a single class, and each holder of Class A Common Stock is entitled to one vote per share and each holder of Class B Common Stock is entitled to ten votes per share. The percentage of total voting power of the shares of Common Stock is calculated based on the total voting power of the shares of Common Stock outstanding as of October 26, 2012, which is comprised of 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock and assumes that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock. |
6 | Thomas J. Pritzker holds 59,853 stock appreciation rights (SARs) that are currently exercisable at an exercise price of $40.96 and 31,852 SARs that are currently exercisable at an exercise price of $41.74. Each SAR gives the holder the right to receive a number of shares of Class A Common Stock equal to the excess of the value of one share of Class A Common Stock at the exercise date, over the exercise price. The number of shares of Class A Common Stock that Mr. Pritzker will receive upon exercise of such SARs is not determinable until the date of exercise and therefore is not included in the information above. |
CUSIP No. 448579102 | 13D | Page 19 of 20 Pages |
Schedule B
Certain Information Regarding the
Separately Filing Group Members1
Class A Common Stock2 |
Class B Common Stock3 |
% of Total Common Stock4 |
% of Total Voting Power5 |
|||||||||||||||||||||
Separately Filing Group Member |
Shares | % of Class A |
Shares | % of Class B |
||||||||||||||||||||
Co-Trustees of the U.S. Situs Trusts6 |
- | - | - | - | - | - | ||||||||||||||||||
Trustee of the Non-U.S. Situs Trusts7 |
- | - | 3,447,946 | 2.9 | % | 2.1 | % | 2.8 | % | |||||||||||||||
Trustees of the Thomas J. Pritzker Family Trusts and Other Reporting Persons8 |
- | - | 20,900,329 | 17.6 | % | 12.7 | % | 17.0 | % | |||||||||||||||
Trustees of the Nicholas J. Pritzker Family Trusts and Other Reporting Persons9 |
- | - | 5,698,814 | 4.8 | % | 3.5 | % | 4.6 | % | |||||||||||||||
Trustees of the James N. Pritzker Family Trusts10 |
8,470 | * | 4,959,289 | 4.2 | % | 3.0 | % | 4.0 | % | |||||||||||||||
Trustees of the John A. Pritzker Family Trusts11 |
- | - | 64,941 | * | * | * | ||||||||||||||||||
Trustees of the Linda Pritzker Family Trusts12 |
- | - | 38,307 | * | * | * | ||||||||||||||||||
Trustees of the Karen L. Pritzker Family Trusts13 |
- | - | 8,584,104 | 7.2 | % | 5.2 | % | 7.0 | % | |||||||||||||||
Trustees of the Penny Pritzker Family Trusts and Other Reporting Persons14 |
10,499 | * | 10,018,946 | 8.4 | % | 6.1 | % | 8.1 | % | |||||||||||||||
Trustees of the Daniel F. Pritzker Family Trusts15 |
- | - | 10,001,457 | 8.4 | % | 6.1 | % | 8.1 | % | |||||||||||||||
Trustees of the Anthony N. Pritzker Family Trusts16 |
- | - | 6,186,817 | 5.2 | % | 3.8 | % | 5.0 | % | |||||||||||||||
Trustees of the Gigi Pritzker Pucker Family Trusts and Other Reporting Persons17 |
- | - | 17,550,065 | 14.8 | % | 10.7 | % | 14.3 | % | |||||||||||||||
Trustees of the Jay Robert Pritzker Family Trusts18 |
- | - | 6,051,483 | 5.1 | % | 3.7 | % | 4.9 | % | |||||||||||||||
Trustee of the Richard Pritzker Family Trusts19 |
- | - | - | - | - | - | ||||||||||||||||||
Pritzker Family Group Totals |
18,969 | * | 93,502,498 | 78.8 | % | 57.0 | % | 75.9 | % |
* | Less than 1% beneficial ownership |
1 | All references to the number of shares outstanding are as of October 26, 2012, as reported in the Issuers Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2012. |
2 | The information shown in the table with respect to the percentage of Class A Common Stock beneficially owned is based on 45,387,810 shares of the Class A Common Stock outstanding as of October 26, 2012, assuming that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock. |
3 | The information shown in the table with respect of the percentage of Class B Common Stock beneficially owned is based on 118,614,584 shares of Class B Common Stock outstanding as of October 26, 2012. |
4 | The information shown in the table with respect to the percentage of total Common Stock beneficially owned is based on 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock outstanding as of October 26, 2012. |
5 | With respect to matters upon which the Issuers stockholders are entitled to vote, the holders of Class A Common Stock and Class B Common Stock vote together as a single class, and each holder of Class A Common Stock is entitled to one vote per share and each holder of Class B Common Stock is entitled to ten votes per share. The percentage of total voting power of the shares of Common Stock is calculated based on the total voting power of the shares of Common Stock outstanding as of October 26, 2012, which is comprised of 45,387,810 shares of Class A Common Stock and 118,614,584 shares of Class B Common Stock and assumes that no outstanding shares of Class B Common Stock have been converted into shares of Class A Common Stock. |
6 | See the Schedule 13D filed on August 26, 2010, as amended, by Thomas J. Pritzker, Marshall E. Eisenberg and Karl J. Breyer, not individually, but solely in their capacity as co-trustees of the U.S. Situs Trusts listed on Appendix A to the Schedule 13D, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
CUSIP No. 448579102 | 13D | Page 20 of 20 Pages |
7 | See the Schedule 13D filed on August 26, 2010, as amended, by the CIBC Trust Company (Bahamas) Limited, solely as trustee of the Non-U.S. Situs Trusts listed on Appendix A to the Schedule 13D, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
8 | See the Schedule 13D filed on August 26, 2010, as amended, by Marshall E. Eisenberg, not individually, but solely as trustee of certain trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. Thomas J. Pritzker holds 59,853 stock appreciation rights (SARs) that are currently exercisable at an exercise price of $40.96 and 31,852 SARs that are currently exercisable at an exercise price of $41.74. The number of shares of Class A Common Stock that Mr. Pritzker will receive upon exercise of such SARs is not currently determinable and therefore not included in the table above because each SAR gives the holder the right to receive a number of shares of Class A Common Stock equal to the excess of the value of one share of A Common Stock at the exercise date, which is not determinable until the date of exercise, over the exercise price. |
9 | See the Schedule 13D filed on August 26, 2010, as amended, by Marshall E. Eisenberg, not individually, but solely as trustee of certain trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
10 | See the Schedule 13D filed on August 26, 2010, as amended, by Charles E. Dobrusin and Harry B. Rosenberg, not individually, but solely as co-trustees of certain trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
11 | See the Schedule 13D filed on August 26, 2010, as amended, by Lewis M. Linn, not individually, but solely as trustee for the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
12 | See the Schedule 13D filed on August 26, 2010, as amended, by Lewis M. Linn, not individually, but solely as trustee for the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
13 | See the Schedule 13D filed on August 26, 2010, as amended, by Walter W. Simmers, Andrew D. Wingate and Lucinda Falk, not individually, but solely as co-trustees for the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
14 | See the Schedule 13D filed on August 26, 2010, as amended, by John Kevin Poorman, not individually, but solely as trustee of certain trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
15 | See the Schedule 13D filed on August 26, 2010, as amended, by Lewis M. Linn, not individually, but solely as trustee for the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
16 | See the Schedule 13D filed on August 26, 2010, as amended, by Lewis M. Linn, not individually, but solely as trustee for the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
17 | See the Schedule 13D filed on August 26, 2010, as amended, by Gigi Pritzker Pucker and Edward W. Rabin, not individually, but solely as trustees of certain trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein on, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
18 | See the Schedule 13D filed on August 26, 2010, as amended, by Thomas J. Muenster, not individually, but solely as trustee for the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |
19 | See the Schedule 13D filed on August 26, 2010, as amended, by CIBC Trust Company (Bahamas) Limited, solely as trustee of the trusts listed on Appendix A-1 to the Schedule 13D, and the other Reporting Persons named therein, which includes information regarding the filers jurisdiction of organization, principal business, and address of principal office. |