| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Palomar Holdings, Inc. [ PLMR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/24/2020 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 01/24/2020 | S | 225,000(3) | D | $47.285 | 1,063,139 | I | See Footnotes(1)(2)(7) | ||
| Common Stock | 01/24/2020 | S | 525,000(5) | D | $47.285 | 2,480,658 | I | See Footnotes(1)(4)(7) | ||
| Common Stock | 0 | D(1)(6)(7) | ||||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 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: 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 | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. This report is filed by the following Reporting Persons: Genstar VI GP AIV Ltd. ("Genstar VI Ltd."); Genstar Capital VI AIV, L.P. ("Genstar VI GP"); Genstar Capital Partners VI AIV, L.P. ("Genstar VI"); Genstar Capital Partners VI AIV (DEL), L.P. ("Genstar VI DEL"); Stargen VI AIV, L.P. ("Stargen VI"); Genstar V GP AIV Ltd. ("Genstar V Ltd."); Genstar Capital V AIV, L.P. ("Genstar V GP"); Genstar Capital Partners V AIV, L.P. ("Genstar V"); Stargen V AIV, L.P. ("Stargen V"); and James Ryan Clark. |
| 2. Represents shares of Common Stock of the Issuer directly held by the following entities following the transaction: 984,934 shares held by Genstar VI; 40,723 shares held by Genstar VI DEL; and 37,482 shares held by Stargen VI. Genstar VI Ltd. is the general partner of Genstar VI GP, which in turn is the general partner of each of Genstar VI, Genstar VI DEL and Stargen VI. |
| 3. Represents shares of common stock held directly and sold by the following entities: 208,449 shares sold by Genstar VI; 8,618 shares sold by Genstar VI DEL; and 7,933 shares sold by Stargen VI. |
| 4. Represents shares of Common Stock of the Issuer directly held by the following entities following the transaction: 2,408,405 shares held by Genstar V; and 72,253 shares held by Stargen V. Genstar V Ltd. is the general partner of Genstar V GP, which in turn is the general partner of each of Genstar V and Stargen V. |
| 5. Represents shares of common stock held directly and sold by the following entities: 509,709 shares sold by Genstar V; and 15,291 shares sold by Stargen V. |
| 6. James Ryan Clark is a director of each of Genstar VI Ltd. and Genstar V Ltd. and directly owns no shares of the Issuer. |
| 7. This filing shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, that the Reporting Persons are the beneficial owners of any equity securities in excess of their respective pecuniary interests, and each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. |
| Remarks: |
| Exhibit 99.1 (Joint Filer Information) is incorporated herein by reference. |
| By: /s/ James Ryan Clark, Director | 01/28/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
Joint Filer Information
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Name of Joint Filer: |
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Genstar Capital VI AIV, L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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GENSTAR CAPITAL VI AIV, L.P. |
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By: GENSTAR VI GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Genstar Capital Partners VI AIV, L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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GENSTAR CAPITAL PARTNERS VI AIV, L.P. |
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By: GENSTAR CAPITAL VI AIV, L.P., its General Partner |
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By: GENSTAR VI GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Genstar Capital Partners VI AIV (DEL), L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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GENSTAR CAPITAL PARTNERS VI AIV (DEL), L.P. |
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By: GENSTAR CAPITAL VI AIV, L.P., its General Partner |
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By: GENSTAR VI GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Stargen VI AIV, L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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STARGEN VI AIV, L.P. |
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By: GENSTAR CAPITAL VI AIV, L.P., its General Partner |
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By: GENSTAR VI GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Genstar V GP AIV Ltd. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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GENSTAR V GP AIV LTD. |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Genstar Capital V AIV, L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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GENSTAR CAPITAL V AIV, L.P. |
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By: GENSTAR V GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Genstar Capital Partners V AIV, L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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GENSTAR CAPITAL PARTNERS V AIV, L.P. |
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By: GENSTAR CAPITAL V AIV, L.P., its General Partner |
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By: GENSTAR V GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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Stargen V AIV, L.P. |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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10% Owner |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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STARGEN V AIV, L.P. |
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By: GENSTAR CAPITAL V AIV, L.P., its General Partner |
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By: GENSTAR V GP AIV LTD., its General Partner |
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By: |
/s/ James Ryan Clark |
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Name: |
James Ryan Clark |
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Title: |
Director |
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Dated: January 28, 2020 |
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Joint Filer Information
(continued)
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Name of Joint Filer: |
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James Ryan Clark |
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Address of Joint Filer: |
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c/o Genstar Capital LLC |
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Four Embarcadero Center, Suite 1900 |
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San Francisco, CA 94111 |
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Relationship of Joint Filer to Issuer: |
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Director |
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Issuer Name and Ticker or Trading Symbol: |
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Palomar Holdings, Inc. [PLMR] |
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Date of Event Requiring Statement |
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(Month/Day/Year): |
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January 24, 2020 |
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Designated Filer: |
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Genstar VI GP AIV Ltd. |
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Signature: |
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By: |
/s/ James Ryan Clark |
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Name: James Ryan Clark |
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Dated: January 28, 2020 |
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