Archrock Inc. (AROC): Carlson Capital Increase Its Stake; Plans to Go Activist

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Page 2 of 20 – SEC Filing

CUSIP No. 03957W106 SCHEDULE 13D
  1 

NAMES OF
REPORTING PERSON

Carlson Capital, L.P.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP

(a)  ¨        (b)  x

  3

SEC USE ONLY

  4

SOURCE OF FUNDS

AF

  5

CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDING 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

9,258,249

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

9,258,249

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

9,258,249

12

CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES ¨

13

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES

13.30%

14

TYPE OF REPORTING PERSON

PN; IA

2

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