13G Filing: Carlson Capital and Archrock Inc. (AROC)

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Item 3.

IF THIS STATEMENT IS FILED PURSUANT TO §§ 240.13D-1(B), OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:

		(a)		☐		Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
		(b)		☐		Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
		(c)		☐		Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
		(d)		☐		Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
		(e)		☐		An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
		(f)		☐		An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
		(g)		☐		A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
		(h)		☐		A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
		(i)		☐		A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
		(j)		☐		A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
		(k)		☐		Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
                                        

Item 4.

OWNERSHIP

A.

Carlson Capital:

(a)

Amount beneficially owned: 3,562,622 shares of Common Stock

(b)

Percent of class: 5.0%

(c)

(i)     Sole power to vote or direct the vote: 0

(ii)    Shared power to vote or direct the vote: 3,562,622

(iii)   Sole power to dispose or direct the disposition: 0

(iv)   Shared power to dispose or direct the disposition: 3,562,622

B.

Asgard II:

(a)

Amount beneficially owned: 3,562,622 shares of Common Stock

(b)

Percent of class: 5.0%

(c)    (i)

Sole power to vote or direct the vote: 0

(ii)

Shared power to vote or direct the vote: 3,562,622

(iii)

Sole power to dispose or direct the disposition: 0

(iv)

Shared power to dispose or direct the disposition: 3,562,622

C.

Asgard:

(a)

Amount beneficially owned: 3,562,622 shares of Common Stock

(b)

Percent of class: 5.0%

(c)    (i)

Sole power to vote or direct the vote: 0

(ii)

Shared power to vote or direct the vote: 3,562,622

(iii)

Sole power to dispose or direct the disposition: 0

(iv)

Shared power to dispose or direct the disposition: 3,562,622

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