Statement of Changes in Beneficial Ownership (4)
March 09 2020 - 5:12PM
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
*
CHAI TRUST CO LLC |
2. Issuer Name and Ticker or Trading Symbol
Exterran Corp
[
EXTN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
TWO NORTH RIVERSIDE PLAZA, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/5/2020 |
(Street)
CHICAGO, IL 60606
(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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Common Stock | 3/5/2020 | | P | | 28079 | A | $6.5 | 2593828 | I | By EGI-Fund C, L.L.C. (3) |
Common Stock | 3/6/2020 | | P | | 71940 | A | $6.4663 (1) | 2665768 | I | By EGI-Fund C, L.L.C. (3) |
Common Stock | 3/9/2020 | | P | | 6500 | A | $5.8994 (2) | 2672268 | I | By EGI-Fund C, L.L.C. (3) |
Common Stock | | | | | | | | 447567 | I | By EGI-Fund (05-07) Investors, L.L.C. (4) |
Common Stock | | | | | | | | 332327 | I | By EGI-Fund (08-10) Investors, L.L.C. (5) |
Common Stock | | | | | | | | 908742 | I | By EGI-Fund (11-13) Investors, L.L.C. (6) |
Common Stock | | | | | | | | 1849806 | I | By EGI-Fund B, L.L.C. (7) |
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 price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.38 to $6.50, inclusive. The reporting person undertakes to provide to Exterran Corporation, any security holder of Exterran Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) through (2). |
(2) | The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $5.55 to $5.94, inclusive. |
(3) | Chai Trust Company, LLC is the managing member of EGI-Fund C, L.L.C. and accordingly may be deemed to beneficially own these shares of Common Stock held directly by EGI-Fund C, L.L.C. |
(4) | Chai Trust Company, LLC is the non-member manager of EGI-Fund (05-07) Investors, L.L.C. and accordingly may be deemed to beneficially own these shares of Common Stock held directly by EGI-Fund (05-07) Investors, L.L.C. |
(5) | Chai Trust Company, LLC is the non-member manager of EGI-Fund (08-10) Investors, L.L.C. and accordingly may be deemed to beneficially own these shares of Common Stock held directly by EGI-Fund (08-10) Investors, L.L.C. |
(6) | Chai Trust Company, LLC is the non-member manager of EGI-Fund (11-13) Investors, L.L.C. and accordingly may be deemed to beneficially own these shares of Common Stock held directly by EGI-Fund (11-13) Investors, L.L.C. |
(7) | Chai Trust Company, LLC is the managing member of EGI-Fund B, L.L.C. and accordingly may be deemed to beneficially own these shares of Common Stock held directly by EGI-Fund B, L.L.C. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CHAI TRUST CO LLC TWO NORTH RIVERSIDE PLAZA SUITE 600 CHICAGO, IL 60606 |
| X |
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Signatures
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Chai Trust Company, LLC; By: /s/ Joseph Miron, Chief Legal Officer | | 3/9/2020 |
**Signature of Reporting Person | Date |
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