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4//SEC Filing

Garcia Rene 4

Accession 0001209191-17-059073

CIK 0000880460other
View on SEC.govCompany Profile

Filed

Nov 2, 8:00 PM ET

Accepted

Nov 3, 1:49 PM ET

Size

51.6 KB

Accession

0001209191-17-059073

Insider Transaction Report

Form 4
Period: 2017-10-11
Perfumania Holdings, Inc.PERF
Garcia Rene
10% OwnerOther
Transactions
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−8,362,032→ 0 total(indirect: By LLC)
  • Award

    Common Stock, $0.01 par value

    2017-10-11+1,000→ 1,000 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−72,738→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (72,738 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−830,236→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−227,847→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−17,257→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−101,333→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−191,999→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (191,999 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
Garcia 2012 Family Dynasty Trust #3
10% OwnerOther
Transactions
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−8,362,032→ 0 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−830,236→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−227,847→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−101,333→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−72,738→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (72,738 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−191,999→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (191,999 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Award

    Common Stock, $0.01 par value

    2017-10-11+1,000→ 1,000 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−17,257→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
Aqua Capital Fund, LLC
10% OwnerOther
Transactions
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−830,236→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−17,257→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−72,738→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (72,738 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−191,999→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (191,999 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Award

    Common Stock, $0.01 par value

    2017-10-11+1,000→ 1,000 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−227,847→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−8,362,032→ 0 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−101,333→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
Jacavi Investments, LLC
10% OwnerOther
Transactions
  • Award

    Common Stock, $0.01 par value

    2017-10-11+1,000→ 1,000 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−830,236→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−191,999→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (191,999 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−8,362,032→ 0 total(indirect: By LLC)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−17,257→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−101,333→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−192,000→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2020-04-18→ Common Stock, $0.01 par value (192,000 underlying)
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−227,847→ 0 total
  • Disposition to Issuer

    Common Stock, $0.01 par value

    2017-10-11−121,615→ 0 total
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−72,738→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (72,738 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−170,666→ 0 total
    Exercise: $8.00From: 2012-04-18Exp: 2017-12-18→ Common Stock, $0.01 par value (170,666 underlying)
  • Disposition to Issuer

    Warrants (right to purchase)

    2017-10-11−26,997→ 0 total
    Exercise: $23.94From: 2008-08-11Exp: 2018-08-11→ Common Stock, $0.01 par value (26,997 underlying)
Footnotes (11)
  • [F1]In order to facilitate the reorganization of the issuer under Chapter 11 of the Bankruptcy Code, these securities (which had no value) were cancelled for no consideration upon effectiveness of the issuer's Plan of Reorganization.
  • [F10]These securities were owned directly by the JMGH Trust. As the investment adviser of JMGH trust, Rene Garcia may have been deemed to be the beneficial owner of the shares previously owned directly by JMGH Trust. As the Trustee of JMGH Trust, Premier may have been deemed to be the beneficial owner of the shares previously owned directly by JMGH Trust. As the Successor Trust Protector of JMGH Trust, Pirez may have been deemed to be the beneficial owner of the shares previously owned directly by JMGH Trust.
  • [F11]These securities were owned directly by the VG Trust. As the investment adviser of VG Trust, Rene Garcia may have been deemed to be the beneficial owner of the shares previously owned directly by VG Trust. As the Trustee of VG Trust, Premier may have been deemed the beneficial of the shares previously owned directly by VG Trust. As the Successor Trust Protector of VG Trust, Pirez may have been deemed to be the beneficial owner of the share previously owned directly by VG Trust.
  • [F2]Represents all the issuer shares held by the limited liability company before cancellation.
  • [F3]Pursuant to the Chapter 11 bankruptcy proceeding, upon effectiveness of the issuer's Plan of Reorganization, a total of $14,263,460, which the Reporting Persons and other non-affiliates of the Reporting Persons were required to contribute to the limited liability company, was provided to the issuer in consideration of the issuance of these shares.
  • [F4]Represents all the issuer shares held by the limited liability company.
  • [F5]These shares were owned directly by JM-CO Capital Fund, LLC ("JM-CO") and indirectly by Jacqueline Marie Garcia Haley ("Haley"), as Manager. As members of JM-CO, the Carolina Marie Garcia Pirez 2012 Dynasty Trust ("CMGP Trust"), the Jacqueline Marie Garcia Haley 2012 Dynasty Trust ("JMGH Trust") and the Victor Garcia 2012 Dynasty Trust ("VG Trust") may have been deemed to be the beneficial owners of the shares previously held by JM-CO. As the investment adviser of each of CMGP Trust, JMGH Trust and VG Trust, Rene Garcia may have been deemed to be the beneficial owner of the shares previously owned directly by JM-CO. Premier Trust, Inc. ("Premier") is the Trustee of each of the reported trusts, Haley is the Successor Trust Protector of the CMGP Trust and Carolina Marie Garcia Pirez ("Pirez") is the Successor Trust Protector of the JMGH and VC Trusts. (continued in footnote 6)
  • [F6]As a result, each of Premier, as trustee of the reported trusts and Haley and Pirez, as Successor Trust Protectors, may have been deemed to indirectly beneficially own the shares previously held directly by JM-CO.
  • [F7]These shares were owned directly by Aqua Capital Fund, LLC ("Aqua Capital") and indirectly by Jacavi Investments, LLC, as Manager ("Jacavi"), and Haley, as Manager of Jacavi. As the members of Jacavi and Aqua Capital, the CMGP Trust, the JMGH Trust and the VG Trust may have been deemed to be the beneficial owners of the shares previously owned directly by Aqua Capital. As the investment adviser of each of CMGP Trust, JMGH Trust and VG Trust, Rene Garcia may have been deemed to be the beneficial owner of the shares previously owned directly by Aqua Capital. Premier, as trustee of such trusts, and Haley and Pirez, as Successor Trust Protectors of such trusts, may have been deemed to be the beneficial owners of the shares previously owned directly by Aqua Capital.
  • [F8]These shares were owned directly by RGarcia Investment Holdings, LLC ("RGarcia Holdings") and indirectly by Rene Garcia, as Manager. As the members of RGarcia Holdings, each of the Garcia 2012 Family Dynasty Trust #2 and the Garcia 2012 Family Dynasty Trust #3 (collectively, the "Garcia Trusts") may have been deemed to be the beneficial owners of the shares previously owned directly by RGarcia Holdings. As co-trustees of such trusts, each of Pirez, Haley and Victor Garcia ("VGarcia") may have been deemed to be the beneficial owners of the shares previously held directly by RGarcia Holdings.
  • [F9]These securities were owned directly by the CMGP Trust. As the investment adviser of CMGP Trust, Rene Garcia may have been deemed to be the beneficial owner of the shares previously owned directly by CMGP Trust. As the Trustee of CMGP Trust, Premier may have been deemed to be the beneficial owner of the shares previously owned directly by CMGP Trust. As the Successor Trust Protector of CMGP Trust, Haley may have been deemed to be the beneficial owner of the shares previously owned directly by CMGP Trust.

Documents

1 file

Issuer

Perfumania Holdings, Inc.

CIK 0000880460

→
Entity typeother

Related Parties

1
  • filerCIK 0001443389

Filing Metadata

Form type
4
Filed
Nov 2, 8:00 PM ET
Accepted
Nov 3, 1:49 PM ET
Size
51.6 KB
View on SEC.gov