SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
GRAYKEN JOHN P

(Last) (First) (Middle)
2711 NORTH HASKELL AVENUE
SUITE 1700

(Street)
DALLAS TX 75204

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/19/2016
3. Issuer Name and Ticker or Trading Symbol
Forterra, Inc. [ FRTA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 45,369,474 I See footnote(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
GRAYKEN JOHN P

(Last) (First) (Middle)
2711 NORTH HASKELL AVENUE
SUITE 1700

(Street)
DALLAS TX 75204

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Forterra US Holdings, LLC

(Last) (First) (Middle)
2711 NORTH HASKELL AVENUE
SUITE 1700

(Street)
DALLAS TX 75204

(City) (State) (Zip)
Explanation of Responses:
1. These shares are held directly by Forterra US Holdings, LLC, which is indirectly controlled by John P. Grayken. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of such reporting person's pecuniary interest therein.
Remarks:
/s/ William D. Young, attorney-in-fact for John P. Grayken 10/19/2016
/s/ Kyle S. Volluz, President of Forterra US Holdings, LLC 10/19/2016
** 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 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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                               POWER OF ATTORNEY

      Know all by these presents, that the undersigned hereby constitutes and
appoints William D. Young with full power of substitution, the undersigned's
true and lawful attorney-in-fact to:

      (1)   prepare, execute in the undersigned's name and on the undersigned's
            behalf, and submit to the U.S. Securities and Exchange Commission
            (the "SEC") a Form ID, including amendments thereto, and any other
            documents necessary or appropriate to obtain codes and passwords
            enabling the undersigned to make electronic filings with the SEC of
            reports required by Section 16(a) of the Securities Exchange Act of
            1934, as amended (the "Exchange Act") or any rule or regulation of
            the SEC;

      (2)   execute for and on behalf of the undersigned, in the undersigned's
            capacity as a beneficial owner of more than 10% of the capital stock
            of Forterra, Inc. (the "Company"), Forms 3, 4, and 5 in accordance
            with Section 16(a) of the Exchange Act and the rules thereunder and
            Schedules 13D and 13G in accordance with Section 13 of the Exchange
            Act and the rules thereunder;

      (3)   do and perform any and all acts for and on behalf of the undersigned
            which may be necessary or desirable to complete and execute any such
            Form 3, 4, or 5 or Schedules 13D or 13G, complete and execute any
            amendment or amendments thereto, and timely file such form with the
            SEC and any stock exchange or similar authority; and

      (4)   take any other action of any type whatsoever in connection with the
            foregoing which, in the opinion of such attorney-in-fact, may be of
            benefit to, in the best interest of, or legally required by, the
            undersigned, it being understood that the documents executed by such
            attorney-in-fact on behalf of the undersigned pursuant to this Power
            of Attorney shall be in such form and shall contain such terms and
            conditions as such attorney-in-fact may approve in such attorney-in-
            fact's discretion.

      The undersigned hereby grants to such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorney-in-fact, in
serving in such capacity at the request of the undersigned, is not assuming, nor
is the Company assuming, any of the undersigned's responsibilities to comply
with Sections 13 and 16 of the Exchange Act.

      This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.


      IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 7th day of September 2016.



                               /s/ John P. Grayken
                              -----------------------------
                              Signature

                              John P. Grayken
                              ----------------------------
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