UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Home Holdings, LLC 599 WEST PUTNAM AVE GREENWICH, CT 06830 |
 |  X |  |  |
/s/ J. Michael Chu, Member of Board of Managers of Home Holdings, LLC | 11/01/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Prior to the initial public offering of Restoration Hardware Holdings, Inc. (the "Issuer"), as described in the Issuer's Registration Statement (the "Registration Statement") on Form S-1, as amended (File No. 333-176767), all of the Issuer's common stock was held directly by Home Holdings, LLC. In connection with the Issuer's initial public offering, the Issuer completed a corporate reorganization as described in the Registration Statement. Following this corporate reorganization, Home Holdings, LLC no longer holds all of the Issuer's common stock and holds the amounts disclosed on this Form 3. |
(2) | Home Holdings, LLC holds 25,931,257 shares of common stock of the Issuer. Home Holdings, LLC is held by a private investor group, including (i) CP Home Holdings, LLC, an investment entity managed by funds affiliated with Catterton Management Company, LLC, (ii) Tower Three Home LLC, an investment fund managed by Tower Three Partners, LLC, and (iii) funds affiliated with Glenhill Capital Management LLC. Each of such persons, other than Home Holdings, LLC, disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |