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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock | (1) | 08/02/2013 | S | 2,360,631 | 07/31/2008 | (2) | Common Stock | (1) | (3) | 0 | I | See footnotes (4) (8) (9) | |||
Series A Convertible Preferred Stock | (1) | 08/02/2013 | S | 83,810 | 07/31/2008 | (2) | Common Stock | (1) | (3) | 0 | I | See footnotes (5) (8) (9) | |||
Series A Convertible Preferred Stock | (1) | 08/02/2013 | S | 50,559 | 07/31/2008 | (2) | Common Stock | (1) | (3) | 0 | I | See footnotes (6) (8) (9) | |||
Series A Convertible Preferred Stock | (1) | 08/02/2013 | S | 5,000 | 07/31/2008 | (2) | Common Stock | (1) | (3) | 0 | I | See footnotes (7) (8) (9) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CENTERBRIDGE CAPITAL PARTNERS L P 375 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10152 |
X | X | ||
CENTERBRIDGE CAPITAL PARTNERS STRATEGIC L P 375 PARK AVENUE 12TH FLOOR NEW YORK, NY 10152 |
X | |||
Centerbridge Capital Partners SBS, L.P. 375 PARK AVENUE 12TH FLOOR NEW YORK, NY 10152 |
X | |||
Centerbridge Capital Partners B Co-Investment, L.P. 375 PARK AVENUE 12TH FLOOR NEW YORK, NY 10152 |
X | |||
Centerbridge Associates, L.P. 375 PARK AVENUE 12TH FLOOR NEW YORK, NY 10152 |
X | |||
Centerbridge GP Investors, LLC 375 PARK AVENUE 12TH FLOOR NEW YORK, NY 10152 |
X | |||
Gallogly Mark T C/O CENTERBRIDGE CAPITAL PARTNERS, L.P. 375 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10152 |
X | X | ||
Aronson Jeffrey C/O CENTERBRIDGE CAPITAL PARTNERS, L.P. 375 PARK AVENUE, 12TH FLOOR NEW YORK, NY 10152 |
X |
CENTERBRIDGE CAPITAL PARTNERS, L.P.: By: Centerbridge Associates, L.P., its general partner, By: Centerbridge GP Investors, LLC, its general partner, By: /s/ Jeffrey A. Gelfand, Name: Jeffrey A. Gelfand, Title: Authorized Person | 08/06/2013 | |
**Signature of Reporting Person | Date | |
CENTERBRIDGE CAPITAL PARTNERS STRATEGIC, L.P., By: Centerbridge Associates, L.P., its general partner, By: Centerbridge GP Investors, LLC, its general partner, By: /s/ Jeffrey A. Gelfand, Name: Jeffrey A. Gelfand, Title: Authorized Person | 08/06/2013 | |
**Signature of Reporting Person | Date | |
CENTERBRIDGE CAPITAL PARTNERS SBS, L.P., By: Centerbridge Associates, L.P., its general partner, By: Centerbridge GP Investors, LLC, its general partner, By: /s/ Jeffrey A. Gelfand, Name: Jeffrey A. Gelfand, Title: Authorized Person | 08/06/2013 | |
**Signature of Reporting Person | Date | |
CENTERBRIDGE CAPITAL PARTNERS B CO-INVESTMENT, L.P., By: Centerbridge Associates, L.P., its general partner, By: Centerbridge GP Investors, LLC, its general partner, By: /s/ Jeffrey A. Gelfand, Name: Jeffrey A. Gelfand, Title: Authorized Person | 08/06/2013 | |
**Signature of Reporting Person | Date | |
CENTERBRIDGE ASSOCIATES, L.P., By: Centerbridge GP Investors, LLC, its general partner, By: /s/ Jeffrey A. Gelfand, Name: Jeffrey A. Gelfand, Title: Authorized Person | 08/06/2013 | |
**Signature of Reporting Person | Date | |
CENTERBRIDGE GP INVESTORS, LLC, By: /s/ Jeffrey A. Gelfand, Name: Jeffrey A. Gelfand, Title: Authorized Person | 08/06/2013 | |
**Signature of Reporting Person | Date | |
/s/ Mark T. Gallogly | 08/06/2013 | |
**Signature of Reporting Person | Date | |
/s/ Jeffrey Aronson | 08/06/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The shares of common stock issuable upon conversion of 4.0% Series A Convertible Preferred Stock ("Series A Preferred Stock") is obtained by dividing the aggregate liquidation preference of such shares ($100 per share) by the then-effective conversion price ($11.93 at the date of this filing), subject to certain adjustments contained in the Issuer's Certificate of Designation of 4.0% Series A Convertible Preferred Stock and 4.0% Series B Convertible Preferred Stock. |
(2) | No expiration date. |
(3) | An aggregate of 2,500,000 shares of Series A Preferred Stock was repurchased by the Issuer for an aggregate purchase price of approximately $471.5 million, plus accrued and unpaid dividends through the closing date, August 2, 2013. |
(4) | These shares of Series A Preferred Stock were held by Centerbridge Capital Partners, L.P. |
(5) | These shares of Series A Preferred Stock were held by Centerbridge Capital Partners Strategic, L.P. |
(6) | These shares of Series A Preferred Stock were held by Centerbridge Capital Partners SBS, L.P. |
(7) | These shares of Series A Preferred Stock were held by Centerbridge Capital Partners B Co-Investment, L.P. |
(8) | Centerbridge Associates, L.P. is the general partner of Centerbridge Capital Partners, L.P., Centerbridge Capital Partners Strategic, L.P., Centerbridge Capital Partners SBS, L.P. and Centerbridge Capital Partners B Co-Investment, L.P. Centerbridge GP Investors, LLC is the general partner of Centerbridge Associates, L.P. Messrs. Gallogly and Aronson are each a managing member of Centerbridge GP Investors, LLC. Each of such Centerbridge entities and Messrs. (Continued in Footnote 9) |
(9) | Gallogly and Aronson may be deemed to beneficially own the shares of Series A Preferred Stock beneficially owned by the Centerbridge entities directly or indirectly controlled by it or them, but each disclaims beneficial ownership of all such shares of Series A Preferred Stock (other than the Centerbridge entities to the extent of their direct holdings) and this Form 4 shall not be construed as an admission that any of them (other than the Centerbridge entities to the extent of their direct holdings) is, for any or all purposes, the beneficial owner of the securities covered by this Form 4. |