SEC FORM
4
SEC Form 4
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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*
C/O WARBURG PINCUS |
466 LEXINGTON AVENUE |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
TransDigm Group INC
[ TDG ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 03/30/2007
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Common Stock, par value $0.01 per share |
03/30/2007 |
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A |
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461 |
A |
$32.5
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461 |
D
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Common Stock, par value $0.01 per share |
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395 |
D
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Common Stock, par value $0.01 per share |
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31,093,057 |
I |
See footnote
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Common Stock, par value $0.01 per share |
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631 |
D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
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/s/ KEVIN KRUSE |
04/03/2007 |
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** 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. |
EXHIBIT 99.1
Explanation of Responses
TD Group Holdings,
LLC (the LLC) holds 31,093,057 shares of common stock, par value $0.01 per
share (the Shares), of TransDigm Group Incorporated (the Company). Warburg Pincus Private Equity VIII, L.P.,
including two affiliated partnerships (WP VIII), is the managing member of
the LLC, and as such, has voting and investment power over the Shares held by
the LLC, including the Shares with respect to which WP VIII does not have a
pecuniary interest. WP VIII disclaims
beneficial ownership of all Shares to which WP VIII does not have a pecuniary
interest. Warburg Pincus Partners LLC (WP
Partners LLC), a subsidiary of Warburg Pincus & Co. (WP), is the sole
general partner of WP VIII. WP VIII is managed by Warburg Pincus LLC (WP
LLC and together with WP, WP VIII and WP Partners LLC, the Warburg Entities). Kevin Kruse, a director of the Company, is a
general partner of WP and managing director and member of WP LLC and by reason
of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as
amended, Mr. Kruse may be deemed to be the beneficial owner of an indeterminate
portion of the Shares beneficially owned by the Warburg Entities. Mr. Kruse disclaims beneficial ownership of
all Shares held by the LLC. WP Partners
LLC and WP LLC may be deemed to have an indirect pecuniary interest (within the
meaning of Rule 16a-1 under the Securities Exchange Act of 1934, as amended) in
an indeterminate portion of the Shares held by the LLC. WP Partners LLC and WP LLC disclaim
beneficial ownership of all Shares held by the LLC. Charles R. Kaye and Joseph P. Landy are
Managing General Partners of WP and Managing Members of WP LLC and may be
deemed to control the Warburg Entities. Messrs. Kaye and Landy disclaim
beneficial ownership of all Shares held by the LLC. The address of the Warburg Entities is 466
Lexington Avenue, New York, New York 10017.