Amended Statement of Ownership (sc 13g/a)
February 11 2020 - 12:31PM
Edgar (US Regulatory)
|
SECURITIES AND EXCHANGE COMMISSION
|
|
Washington, D.C. 20549
|
|
|
|
SCHEDULE 13G/A
|
|
|
|
Under the Securities Exchange Act of 1934
|
|
(Amendment No. 2)*
|
|
|
|
Falcon Minerals
Corporation
|
|
(Name of Issuer)
|
|
|
|
Class A Common
Stock, par value $0.0001 per share
|
|
(Title of Class of Securities)
|
|
|
|
30607B109
|
|
(CUSIP Number)
|
|
|
|
December
31, 2019
|
|
(Date of Event Which Requires Filing of This Statement)
|
|
|
|
|
|
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
|
|
|
|
¨
|
Rule 13d-1(b)
|
|
x
|
Rule 13d-1(c)
|
|
¨
|
Rule 13d-1(d)
|
|
|
|
(Page 1 of 7 Pages)
|
______________________________
*The remainder of this cover page shall
be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
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. 30607B109
|
13G/A
|
Page 2 of 7 Pages
|
|
1
|
NAME OF REPORTING PERSON
Eric M. Mindich
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) ¨
|
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
|
5
|
SOLE VOTING POWER
2,792,839 shares of Class A Common Stock (including
250,000 shares of Class A Common Stock issuable upon exercise of warrants)
|
|
6
|
SHARED VOTING POWER
473,794 shares of Class A Common Stock (including 378,024
shares of Class A Common Stock issuable upon exercise of warrants)
|
|
7
|
SOLE DISPOSITIVE POWER
2,792,839 shares of Class A Common Stock (including
250,000 shares of Class A Common Stock issuable upon exercise of warrants)
|
|
8
|
SHARED DISPOSITIVE POWER
473,794 shares of Class A Common Stock (including 378,024
shares of Class A Common Stock issuable upon exercise of warrants)
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,266,633 shares of Class A Common Stock (including
628,024 shares of Class A Common Stock issuable upon exercise of warrants)
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.01%
|
|
12
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
|
|
|
CUSIP No. 30607B109
|
13G/A
|
Page 3 of 7 Pages
|
|
1
|
NAME OF REPORTING PERSON
Everblue Osprey 2017 LLC
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) ¨
|
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
|
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
473,794 shares of Class A Common Stock (including 378,024
shares of Class A Common Stock issuable upon exercise of warrants)
|
|
7
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
SHARED DISPOSITIVE POWER
473,794 shares of Class A Common Stock (including 378,024
shares of Class A Common Stock issuable upon exercise of warrants)
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
473,794 shares of Class A Common Stock (including 378,024
shares of Class A Common Stock issuable upon exercise of warrants)
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.02%
|
|
12
|
TYPE OF REPORTING PERSON
OO
|
|
|
|
|
|
|
|
CUSIP No. 30607B109
|
13G/A
|
Page 4 of 7 Pages
|
|
Item 1(a).
|
NAME OF ISSUER
|
|
|
The name of the issuer is Falcon Minerals Corporation (the "Company").
|
|
Item 1(b).
|
ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
|
|
|
The Company's principal executive offices are located at 510 Madison Avenue, 8th Floor, New York, NY 10022.
|
|
Item 2(a).
|
NAME OF PERSON FILING
|
|
|
|
|
|
This statement is filed by:
(i) Eric M. Mindich ("Mr.
Mindich") (a) with respect to shares of Class A Common Stock (and shares of Class A Common Stock underlying
warrants) directly owned by him and by a trust to which he serves as trustee and (b) with respect to the shares
of Class A Common Stock (and shares of Class A Common Stock
underlying warrants) owned by Everblue Osprey 2017 LLC which, as the manager of
Everblue Osprey 2017 LLC, he is deemed to have voting and investment power over;
and
(ii) Everblue Osprey 2017 LLC with respect to the shares
of Class A Common Stock (and shares of Class A Common Stock underlying warrants) directly owned by it.
The foregoing persons are hereinafter sometimes collectively
referred to as the "Reporting Persons."
|
|
Item 2(b).
|
ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
|
|
|
|
|
|
The address of the business office of each of the Reporting Persons is 717 Fifth Avenue, 26th Floor, New York, NY 10022.
|
|
Item 2(c).
|
CITIZENSHIP
|
|
|
|
|
|
Mr. Mindich is a United States citizen. Everblue Osprey 2017 LLC is a limited liability company organized under the laws of the State of Delaware.
|
|
Item 2(d).
|
TITLE OF CLASS OF SECURITIES
|
|
|
|
|
|
Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock")
|
|
Item 2(e).
|
CUSIP NUMBER
|
|
|
|
|
|
30607B109
|
|
CUSIP No. 30607B109
|
13G/A
|
Page 5 of 7 Pages
|
|
Item 3.
|
IF THIS STATEMENT IS FILED PURSUANT TO Rules 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
|
|
|
(a)
|
¨
|
Broker or dealer registered under Section 15 of the Act;
|
|
|
(b)
|
¨
|
Bank as defined in Section 3(a)(6) of the Act;
|
|
|
(c)
|
¨
|
Insurance company as defined in Section 3(a)(19) of the Act;
|
|
|
(d)
|
¨
|
Investment company registered under Section 8 of the Investment Company Act of 1940;
|
|
|
(e)
|
¨
|
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
|
|
|
(f)
|
¨
|
An employee benefit plan or endowment fund in accordance
with Rule 13d-1(b)(1)(ii)(F);
|
|
|
(g)
|
¨
|
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
|
|
|
(h)
|
¨
|
A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act;
|
|
|
(i)
|
¨
|
A church plan that is excluded from the definition of
an investment company under Section 3(c)(14) of the Investment Company Act;
|
|
|
(j)
|
¨
|
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
|
|
|
(k)
|
¨
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
|
|
|
If filing as a non-U.S. institution in accordance with Rule
13d-1(b)(1)(ii)(J), please specify the type of institution: ___________________________.
|
|
Item 4.
|
OWNERSHIP
|
|
|
|
|
|
The percentages used herein are calculated based upon 45,950,716 shares of Class A Common Stock outstanding as of November 6, 2019, as reported by the Company in its Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2019 filed with the Securities and Exchange Commission on November 8, 2019.
|
|
|
|
|
|
The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each of the Reporting Persons and is incorporated herein by reference.
|
|
Item 5.
|
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
|
|
|
|
|
|
Not applicable.
|
|
CUSIP No. 30607B109
|
13G/A
|
Page 6 of 7 Pages
|
|
Item 6.
|
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
|
|
|
|
|
|
Not applicable.
|
|
Item 7.
|
IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON
|
|
|
|
|
|
Not applicable.
|
|
Item 8.
|
IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
|
|
|
|
|
|
Not applicable.
|
|
Item 9.
|
NOTICE OF DISSOLUTION OF GROUP
|
|
|
|
|
|
Not applicable.
|
|
|
Each of the Reporting Persons hereby makes the following certification:
|
|
|
|
|
|
By signing below each Reporting Person certifies that, to the best of his or its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
|
|
CUSIP No. 30607B109
|
13G/A
|
Page 7 of 7 Pages
|
SIGNATURES
After reasonable
inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in
this statement is true, complete and correct.
DATE: February 11, 2020
|
ERIC M. MINDICH, individually, and as manager of Everblue Osprey 2017 LLC
|
|
|
|
|
|
|
|
/s/ Kerrie J. Ferrentino
|
|
|
|
Name: Kerrie J. Ferrentino*
|
|
|
|
Title: Attorney-in-Fact
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
* Pursuant to a Power of Attorney, dated as of August 29, 2018, which was attached as Exhibit 2 to the Schedule 13G, dated as of September 4, 2018.
|
|
|
|
|
|
|
|
|
|
|
|
|
Falcon Minerals (NASDAQ:FLMN)
Historical Stock Chart
From Apr 2024 to May 2024
Falcon Minerals (NASDAQ:FLMN)
Historical Stock Chart
From May 2023 to May 2024
