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 | |
WHITEBOX ADVISORS LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
 |  X |  |  |
Whitebox Multi-Strategy Partners LP ESTERA CORPORATE SERVICES (BVI) LTD. JAYLA PLACE, WICKHAMS CAY 1, ROAD TOWN TORTOLA, BVIÂ VG1110 |
 |  X |  |  |
WBOX2015-7 LTD. WATERFRONT DRIVE, WICKHAMS CAY 1 ROAD TOWN TORTOLA, BVIÂ VG1110 |
 |  X |  |  |
WHITEBOX GENERAL PARTNER LLC 3033 EXCELSIOR BOUELVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
 |  X |  |  |
Whitebox Advisors LLC By:/s/ Mark Strefling, Chief Operating Officer | 08/02/2016 | |
**Signature of Reporting Person | Date | |
Whitebox General Partner LLC By: /s/ Mark Strefling, Chief Operating Officer | 08/02/2016 | |
**Signature of Reporting Person | Date | |
Whitebox Multi-Strategy Partners, LP By: Whitebox General Partner LLC, By: /s/ Mark Strefling, Chief Operating Officer | 08/02/2016 | |
**Signature of Reporting Person | Date | |
WBox 2015-7 Ltd. By: /s/ Mark Strefling, Director | 08/02/2016 | |
**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) | These securities are directly owned by Whitebox Asymmetric Partners, LP ("WAP"), Whitebox Multi-Strategy Partners, LP ("WMP") Whitebox Credit Partners, LP ("WCP"), Whitebox Institutional Partners, LP ("WIP") (together, the "Private Funds") and WBox 2015-7 Ltd. a special purpose vehicle established to hold securities on behalf of the Private Funds (the "SPV") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and the SPV, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, the SPV, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. |