Form 4 Vistra Corp. For: May 09 Filed by: BROOKFIELD ASSET MANAGEMENT INC.
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
Vistra Corp. [ VST ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 05/09/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check
Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
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, par value $0.01 per share | 05/09/2022 | S | 147,325 (4) | D | $ 25.68 (5) | 16,245,455 | I | See notes (1) (2) (3) (10) (11) (12) | ||
Common Stock, par value $0.01 per share | 05/09/2022 | S | 230,478 (4) | D | $ 24.91 (6) | 16,014,977 | I | See notes (1) (2) (3) (10) (11) (12) | ||
Common Stock, par value $0.01 per share | 05/10/2022 | S | 131,045 (4) | D | $ 24.72 (7) | 15,883,932 | I | See notes (1) (2) (3) (10) (11) (12) | ||
Common Stock, par value $0.01 per share | 05/11/2022 | S | 756,921 (4) | D | $ 24.64 (8) | 15,127,011 (9) | I | See notes (1) (2) (3) (10) (11) (12) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 |
By: See Signatures Included in Exhibit 99.2 | 05/11/2022 | |
** 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
Name and Address of Reporting Person:
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Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300 PO Box 762
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Toronto, CAN M5J2T3
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [VST]
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Date of Earliest Transaction Required to
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be Reported (Month/Day/Year):
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May 9, 2022
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Footnotes to Form 4
(1) |
This Form 4 is being jointly filed by and on behalf of each of the following persons (each a “Reporting Person”): Brookfield Titan Holdings, L.P. (“Titan Holdings”); Titan Co-Investment GP, LLC (“Titan
Co-Invest”); Brookfield Asset Management (“BAM”); BAM Partners Trust (“Partners”); Brookfield Private Equity Inc. (“BPE”); Brookfield US Inc. (“BUSI); Brookfield Private Equity Holdings LLC (“BPEH”); Brookfield Private Equity Direct
Investments Holdings LP (“BPE DIH”); Brookfield Private Equity Group Holdings LP (“BPEGH”); Brookfield Capital Partners Ltd. (“BCPL”); Brookfield Holdings Canada Inc. (“BHC”); Brookfield Private Funds Holdings Inc. (“BPFH”); Brookfield
Canada Adviser, LP (“BCA”); and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (“BAMPIC”).
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(2) |
Other than Titan Holdings, the Reporting Persons do not themselves directly hold any shares of Common Stock, but are controlling entities of certain of the Investment Vehicles (as defined below). The filing of
this statement shall not be deemed to be an admission that, for purposes of Section 16 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise, the Reporting Persons are the beneficial owners of any
securities reported herein.
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(3) |
The Reporting Persons and the Investment Vehicles may be deemed to constitute a “group” within the meaning of Section 13(d)(3) of the Exchange Act. Each of the Reporting Persons may be deemed to beneficially own
the securities beneficially owned by the Investment Vehicles directly or indirectly controlled by it, but each disclaims beneficial ownership of such securities, except to the extent of such Reporting Person’s pecuniary interest therein.
In accordance with Instruction 4(b)(iv), the entire amount of the Common Stock held by the Investment Vehicles is reported herein.
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(4) |
Represents shares of Common Stock held directly and sold by Titan Holdings.
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(5) |
The shares of Common Stock were sold in multiple transactions at prices ranging from $25.34 per share to $26.32 per share, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder
or the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price.
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(6) |
The shares of Common Stock were sold in multiple transactions at prices ranging from $24.50 per share to $25.38 per share, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder
or the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price.
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(7) |
The shares of Common Stock were sold in multiple transactions at prices ranging from $24.50 per share to $24.99 per share, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder
or the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price.
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(8) |
The shares of Common Stock were sold in multiple transactions at prices ranging from $24.50 per share to $24.85 per share, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder
or the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price.
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1
(9) |
Represents: 2,590,692 shares of Common Stock owned by Titan Holdings, including 772,128 shares of Common Stock representing Titan Holdings’ interest in Longhorn Capital GS L.P. (“Longhorn”); 1,280 shares of
Common Stock owned by Titan Co-Investment-RBS, L.P. (“Titan RBS”); 519,190 shares of Common Stock owned by Titan AC, including 130,445 shares of Common Stock representing Titan AC’s interest in Longhorn; 1,141 shares of Common Stock owned
by Titan Co-Investment-CN, L.P. (“Titan CN”); 141,767 shares of Common Stock owned by Titan Co-Investment-DS, L.P. (“Titan DS”); including 1,929 shares of Common Stock representing Titan DS’s interest in Longhorn; 258,758 shares of Common
Stock owned by Titan Co-Investment-FN, L.P. (“Titan FN”), including 35,374 shares of Common Stock representing Titan FN’s interest in Longhorn; 790 shares of Common Stock held directly by Titan Co-Investment-GLH, L.P. (“Titan GLH”); 677,395
shares of Common Stock owned by Titan HI, including 74,744 shares of Common Stock representing Titan HI’s interest in Longhorn; 669,021 shares of Common Stock owned by Titan Co-Investment-ICG, L.P. (“Titan ICG”), including 105,183 shares of
Common Stock representing Titan ICG’s interest in Longhorn; 283,533 shares of Common Stock owned by Titan Co-Investment-LB, L.P. (“Titan LB”), including 3,858 shares of Common Stock representing Titan LB’s interest in Longhorn; 1,291 shares
of Common Stock owned by Titan Co-Investment-MCG, L.P. (“Titan MCG”); 4,035 shares of Common Stock owned by Titan MRS (together with Titan AC, Titan CN, Titan DS, Titan FN, Titan GLH, Titan HI, Titan ICG, Titan LB, Titan MCG and Titan RBS,
the “Titan Vehicles”); 4,505,400 shares of Common Stock owned by BCP Titan Aggregator, L.P. (“Aggregator”); 5,472,721 shares of Common Stock owned by BCP Titan Sub Aggregator, L.P. (“Sub Aggregator” and together with Aggregator, the
“Aggregator Vehicles” and together with Titan Holdings and the Titan Vehicles, the “Investment Vehicles”), including 679,402 shares of Common Stock representing Sub Aggregator's interest in Longhorn.
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(10) |
Each of BPE DIH, as a limited partner of Titan Holdings, BPEGH, as a limited partner of Titan Holdings and each of the Titan Vehicles, BPE, as the general partner of BPE DIH and BPEGH, Titan Co-Invest, as the
general partner of each of the Titan Vehicles, BPEH, as an shareholder of Titan Co-Invest, BUSI, as shareholder of BPE, BHC, as indirect shareholder of BUSI, BAM, as limited partner of BPE and shareholder of BHC, and Partners, as
shareholder of BAM, may be deemed to have an indirect pecuniary interest in an indeterminate portion of the shares of Common Stock directly beneficially owned by Titan Holdings and/or the Titan Vehicles. Each of BPE DIH, BPEGH, BPE, Titan
Co-Invest, BPEH, BUSI, BHC, BAM and Partners disclaims beneficial ownership of all shares of Common Stock that are beneficially owned by Titan Holdings and/or the Titan Vehicles, except to the extent of any indirect pecuniary interest
therein.
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(11) |
Each of BCPL and BAMPIC, as indirect owners of Longhorn and the Aggregator Vehicles, BCA, as limited partner of BAMPIC, BPFH, as limited partner of BCA, BHC, as shareholder of BPFH, BAM, as shareholder of BHC,
and Partners, as shareholder of BAM, may be deemed to have an indirect pecuniary interest in an indeterminate portion of the shares of Common Stock directly beneficially owned by the Aggregator Vehicles or Longhorn. Each of BCPL, BAMPIC,
BCA, BPFH, BHC, BAM and Partners disclaims beneficial ownership of all shares of Common Stock that are beneficially owned by the Aggregator Vehicles and/or Longhorn, except to the extent of any indirect pecuniary interest therein.
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(12) |
Each of the Reporting Persons disclaims beneficial ownership of any securities of the Issuer except to the extent of such Reporting Person’s pecuniary interest therein.
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Exhibit 99.2
Joint Filer Information
Name of Joint Filer:
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BAM Partners Trust
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported:
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Authorized Signatory
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Private Equity Inc.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ A.J. Silber
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Name:
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A.J. Silber
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Title:
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Director
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield US Inc.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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200 Vesey Street
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New York, NY 10281-1023
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Senior Vice President – Legal & Regulatory
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Private Equity Holdings LLC
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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200 Vesey Street
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New York, NY 10281-1023
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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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Vistra Energy Corp. [NYSE: VST]
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Date of Earliest Transaction Required
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to be Reported (Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Luke Ricci
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Name:
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Luke Ricci
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Title:
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Director – Legal
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Private Equity Direct Investments Holdings LP
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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200 Vesey Street
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New York, NY 10281-1023
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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By: Brookfield Private Equity Inc., its General Partner
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Signature:
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/s/ A.J. Silber
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Name:
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A.J. Silber
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Title:
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Director
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Titan Holdings, L.P.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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200 Vesey Street
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New York, NY 10281-1023
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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By: Titan Co-Investment GP, LLC, its General Partner
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Signature:
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/s/ Luke Ricci
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Name:
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Luke Ricci
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Title:
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Director – Legal
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Date:
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May 11, 2022
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Name of Joint Filer:
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Titan Co-Investment GP, LLC
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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200 Vesey Street
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New York, NY 10281-1023
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Luke Ricci
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Name:
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Luke Ricci
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Title:
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Director – Legal
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Private Equity Group Holdings LP
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Brookfield Private Equity Group Holdings LP
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By: Brookfield Private Equity Inc., its General Partner
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Signature:
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/s/ A.J. Silber
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Name:
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A.J. Silber
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Title:
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Director
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Capital Partners Ltd.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ A.J. Silber
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Name:
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A.J. Silber
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Title:
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Director
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Holdings Canada Inc.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Brookfield Holdings Canada Inc.
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||
Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Vice President and Secretary
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Private Funds Holdings Inc.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
|
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Senior Vice President
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Canada Adviser, LP
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Senior Vice President
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Asset Management Private Institutional Capital Adviser (Canada),
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L.P.
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Address of Joint Filer:
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c/o Brookfield Asset Management Inc.
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
|
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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By: Brookfield Private Funds Holdings Inc., its General Partner
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Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Senior Vice President
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Date:
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May 11, 2022
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Name of Joint Filer:
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Brookfield Asset Management Inc.
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Address of Joint Filer:
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Brookfield Place
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181 Bay Street, Suite 300
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Toronto A6 M5J2T3
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Relationship of Joint Filer to Issuer:
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Other. See Remarks.
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Issuer Name and Ticker or Trading Symbol:
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Vistra Corp. [NYSE: VST]
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Date of Earliest Transaction Required to be Reported
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(Month/Day/Year):
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5/9/2022
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Designated Filer:
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Brookfield Asset Management Inc.
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Signature:
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/s/ Kathy Sarpash
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Name:
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Kathy Sarpash
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Title:
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Senior Vice President – Legal & Regulatory
|
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Date:
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May 11, 2022
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