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 | ||||
Warrant (1) | 09/21/2012 | 07/09/2014 | Common stock, par value $0.01 per share | 4,347,826 | $ 1.15 | I | See footnote 1 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sopak AG BAARERMATTSTRASSE 3 BAAR, V8 CH-6341 |
 |  X |  | Member of Section 13(d) Group |
GLENCORE INTERNATIONAL PLC BAARERMATTSTRASSE 3 P.O. BOX 777 BAAR, V8 CH-6341 |
 |  X |  | Member of Section 13(d) Group |
GLENCORE INTERNATIONAL AG BAARERMATTSTRASSE 3 P O BOX 555 CH 6341 BAAR SWITZERLANDÂ |
 |  X |  | Member of Section 13(d) Group |
Glencore AG BAARERMATTSTRASSE 3 PO BOX 555 CH-6341 BAAR, V8 4142227722 |
 |  X |  | Member of Section 13(d) Group |
/s/ Andreas Hubmann, Chairman, SOPAK AG | 09/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Stefan Peter, Member, SOPAK AG | 09/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Steven Kalmin, Director, GLENCORE INTERNATIONAL PLC | 09/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Andreas Hubmann, Chairman, GLENCORE INTERNATIONAL AG | 09/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Gerda Schwindt, Officer, GLENCORE INTERNATIONAL AG | 09/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Andreas Hubmann, Chairman, GLENCORE AG | 09/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Stefan Peter, Member, GLENCORE AG | 09/28/2012 | |
**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) | Registered in the name of Young Energy Prize S. A. Sopak AG acquired voting and investment power over the shares of Common Stock and the Warrant reported herein upon the occurrence of an event of default under a pledge agreement between Sopak AG and Young Energy Prize S.A. Each of the reporting persons other than Glencore International plc is a direct or indirect wholly-owned subsidiary of Glencore International plc. Glencore AG is a direct wholly-owned subsidiary of Glencore International. Sopak AG is a direct wholly-owned subsidiary of Glencore AG. None of the reporting persons have a direct or indirect pecuniary interest in these shares. This report shall not be deemed an admission that any of the reporting persons is the beneficial owner of these shares for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purposes. |