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Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Whitebox Advisors | 0 | 7,125,593 | 0 | 7,125,593 | 7,125,593 | 15.4% |
Whitebox General Partner | 0 | 7,125,593 | 0 | 7,125,593 | 7,125,593 | 15.4% |
Whitebox Multi-Strategy Partners | 0 | 3,084,739 | 0 | 3,084,739 | 3,084,739 | 6.7% |
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Page 1 of 12 – SEC Filing
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. |
* | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
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Page 2 of 12 – SEC Filing
1 | NAME OF REPORTING PERSON Whitebox Advisors LLC | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☒ | |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS (See Instructions) AF | |
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☒ | |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 7,125,593 (See Item 2) | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 7,125,593 (See Item 2) | |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,125,593 (See Item 2) | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐ | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4%* | |
14 | TYPE OF REPORTING PERSON (See Instructions) IA |
* | Percent of class is calculated based on 45,790,612 shares of Common Stock issued and outstanding as of May 5, 2017 as reported in the Issuer’s Form 10-Q filed on May 10, 2017, and 354,350 additional shares of Common Stock issuable upon the exercise of warrants to purchase shares of Common Stock and deemed outstanding for purposes of calculating the Reporting Person’s beneficial ownership. |
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Page 3 of 12 – SEC Filing
1 | NAME OF REPORTING PERSON Whitebox General Partner LLC | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☒ | |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS (See Instructions) AF | |
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 7,125,593 (See Item 2) | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 7,125,593 (See Item 2) | |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,125,593 (See Item 2) | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐ | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.4%* | |
14 | TYPE OF REPORTING PERSON (See Instructions) OO |
* | Percent of class is calculated based on 45,710,612 shares of Common Stock issued and outstanding as of May 5, 2017 as reported in the Issuer’s Form 10-Q filed on May 10, 2017, and 354,350 additional shares of Common Stock issuable upon the exercise of warrants to purchase shares of Common Stock and deemed outstanding for purposes of calculating the Reporting Person’s beneficial ownership. |
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Page 4 of 12 – SEC Filing
1 | NAME OF REPORTING PERSON Whitebox Multi-Strategy Partners, L.P. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☒ | |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS (See Instructions) WC | |
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐ | |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION British Virgin Islands | |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 3,084,739 (See Item 2) | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 3,084,739 (See Item 2) | |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,084,739 (See Item 2) | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) ☐ | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.7%* | |
14 | TYPE OF REPORTING PERSON (See Instructions) PN |
* | Percent of class is calculated based on 45,790,612 shares of Common Stock issued and outstanding as of May 5, 2017 as reported in the Issuer’s Form 10-Q filed on May 10, 2017, and 163,842 additional shares of Common Stock issuable upon the exercise of warrants to purchase shares of Common Stock and deemed outstanding for purposes of calculating the Reporting Person’s beneficial ownership. |
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Page 5 of 12 – SEC Filing
Item 2. | Identity and Background |
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Page 6 of 12 – SEC Filing
Item 4. | Purpose of Transaction |
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Page 7 of 12 – SEC Filing
Item 5. | Interest in Securities of the Issuer |
Item 7. | Material to Be Filed as Exhibits |
Exhibit No. | Description | |
99.37 | Schedule of Transactions in the Common Stock by the Reporting Persons | |
99.38 | Amended and Restated Joint Filing Agreement, dated June 8, 2017, among the Reporting Persons. | |
99.39 | Executive Officers and Board of Whitebox Advisors LLC | |
99.40 | Board of Whitebox General Partner LLC |
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Page 8 of 12 – SEC Filing
By: | /s/ Mark Strefling | |
Mark Strefling | ||
Chief Executive Officer |
By: | /s/ Mark Strefling | |
Mark Strefling | ||
Whitebox Advisors LLC Chief Executive Officer |
By: | Whitebox General Partner, LLC | |
By: | /s/ Mark Strefling | |
Mark Strefling Whitebox Advisors LLC Chief Executive Officer |
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Page 9 of 12 – SEC Filing
(on behalf of private funds for which they act as investment adviser and general partner, respectively)
Date of Transaction | Title of Class | Number of Shares/Units Acquired | Number of Shares/Units Disposed | Price Per Share/Unit |
05/10/2017 | Common Stock | N/A | 9,942 | $17.1294 |
06/01/2017 | Common Stock | N/A | 23,600 | $17.2523 |
06/02/2017 | Common Stock | N/A | 66,458 | $17.0579 |
06/05/2017 | Common Stock | N/A | 62,216 | $16.8164 |
06/05/2017 | Common Stock | N/A | 83,400 | $16.7100 |
Date of Transaction | Title of Class | Number of Shares/Units Acquired | Number of Shares/Units Disposed | Price Per Share/Unit |
06/05/2017 | Common Stock | N/A | 83,400 | $16.7100 |
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Page 10 of 12 – SEC Filing
By: | /s/ Mark Strefling | |
Mark Strefling | ||
Chief Executive Officer |
By: | /s/ Mark Strefling | |
Mark Strefling | ||
Whitebox Advisors LLC Chief Executive Officer |
By: | Whitebox General Partner, LLC | |
By: | /s/ Mark Strefling | |
Mark Strefling Whitebox Advisors LLC Chief Executive Officer |
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Page 11 of 12 – SEC Filing
Name | Business Address | Present Principal Employment | Citizenship | |||
Andrew Redleaf | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Founding Partner and Board member Whitebox Advisors LLC | USA | |||
Robert Vogel | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Co-Chief Investment Officer and Board member Whitebox Advisors LLC | USA | |||
Mark Strefling | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Executive Officer and Board member Whitebox Advisors LLC | USA | |||
Michael McCormick | 280 Park Ave Suite 283 New York, NY 10017 | Chief Operating Officer Whitebox Advisors LLC | USA | |||
Elissa Weddle | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Legal Officer Whitebox Advisors LLC | USA | |||
Chris Hardy | 280 Park Ave Suite 283 New York, NY 10017 | Chief Compliance Officer Whitebox Advisors LLC | USA | |||
Brian Lofton | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Risk Officer Whitebox Advisors LLC | USA | |||
Paul Twitchell | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Co-Chief Investment Officer and Board member Whitebox Advisors LLC | USA | |||
Richard Vigilante | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Communications Officer and Board member Whitebox Advisors LLC | USA | |||
Robert Riepe | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Financial Officer Whitebox Advisors LLC | USA | |||
Kerry Manaster | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Technology Officer Whitebox Advisors LLC | USA |
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Page 12 of 12 – SEC Filing
Name | Business Address | Present Principal Employment | Citizenship | |||
Andrew Redleaf | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Founding Partner Whitebox Advisors LLC | USA | |||
Robert Vogel | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Co-Chief Investment Officer Whitebox Advisors LLC | USA | |||
Mark Strefling | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Executive Officer Whitebox Advisors LLC | USA | |||
Paul Twitchell | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Co-Chief Investment Officer Whitebox Advisors LLC | USA | |||
Richard Vigilante | 3033 Excelsior Boulevard Suite 300 Minneapolis, MN 55416 | Chief Communications Officer Whitebox Advisors LLC | USA |