Filing Details
- Accession Number:
- 0000950157-16-002349
- Form Type:
- 13D Filing
- Publication Date:
- 2016-10-19 17:29:32
- Filed By:
- Brookfield Asset Management Inc.
- Company:
- Terraform Power Inc. (NASDAQ:TERP)
- Filing Date:
- 2016-10-19
- SEC Url:
- 13D Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
BROOKFIELD ASSET MANAGEMENT INC | 8 | 11,075,000 | 10 | 11,075,000 | 11,075,000 | 12.12% |
PARTNERS LIMITED | 8 | 11,075,000 | 10 | 11,075,000 | 11,075,000 | 12.12% |
BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CANADA) | 8 | 10,450,000 | 10 | 10,450,000 | 10,450,000 | 11.44% |
BROOKFIELD INFRASTRUCTURE FUND III GP | 8 | 10,450,000 | 10 | 10,450,000 | 10,450,000 | 11.44% |
ORION US GP | 8 | 10,450,000 | 10 | 10,450,000 | 10,450,000 | 11.44% |
ORION US HOLDINGS | 8 | 10,450,000 | 10 | 10,450,000 | 10,450,000 | 11.44% |
BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CREDIT) | 8 | 625,000 | 10 | 625,000 | 625,000 | 0.68% |
BROOKFIELD CREDIT OPPORTUNITIES FUND GP | 8 | 625,000 | 10 | 625,000 | 625,000 | 0.68% |
BROOKFIELD CREDIT OPPORTUNITIES MASTER FUND | 8 | 625,000 | 10 | 625,000 | 625,000 | 0.68% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 2)*
TerraForm Power, Inc.
(Name of Issuer)
Common stock, Class A, $0.01 par value
(Title of Class of Securities)
88104R100
(CUSIP Number)
A.J. Silber
Brookfield Asset Management Inc.
Brookfield Place
181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3
(416) 363-9491
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
October 19, 2016
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
*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.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
BROOKFIELD ASSET MANAGEMENT INC. | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | | | ||
☐ | | | |||
| | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
ONTARIO | | | |||
| | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
11,075,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
11,075,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
11,075,000 | | | |||
| | ||||
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) | | | ||
12.12%(1) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
CO | | | |||
| |
(1) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
PARTNERS LIMITED | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | | | ||
☐ | | | |||
| | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
ONTARIO | | | |||
| | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
11,075,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
11,075,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
11,075,000 | | | |||
| | ||||
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) | | | ||
12.12%(2) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
CO | | | |||
| |
(2) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CANADA), L.P. | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | | | ||
☐ | | | |||
| | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
ONTARIO | | | |||
| | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
10,450,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
10,450,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
10,450,000 | | | |||
| | ||||
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) | | | ||
11.44%(3) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
PN | | | |||
| |
(3) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
BROOKFIELD INFRASTRUCTURE FUND III GP LLC | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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 | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
10,450,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
10,450,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
10,450,000 | | | |||
| | ||||
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) | | | ||
11.44%(4) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
OO | | | |||
| |
(4) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
ORION US GP LLC | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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 | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
10,450,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
10,450,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
10,450,000 | | | |||
| | ||||
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) | | | ||
11.44%(5) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
OO | | | |||
| |
(5) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
ORION US HOLDINGS 1 L.P. | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
BK | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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 | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
10,450,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
10,450,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
10,450,000 | | | |||
| | ||||
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) | | | ||
11.44%(6) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
PN | | | |||
| |
(6) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CREDIT) LLC | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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 | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
625,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
625,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
625,000 | | | |||
| | ||||
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) | | | ||
0.68%(7) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
OO | | | |||
| |
(7) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
BROOKFIELD CREDIT OPPORTUNITIES FUND GP, LLC | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 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 | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
625,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
625,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
625,000 | | | |||
| | ||||
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) | | | ||
0.68%(8) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
OO | | | |||
| |
(8) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
CUSIP No. 88104R100
1 | NAMES OF REPORTING PERSONS | | | ||
BROOKFIELD CREDIT OPPORTUNITIES MASTER FUND, L.P. | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | | |||
(a) ☒ (b) ☐ | |||||
| | ||||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
AF | | | |||
| | ||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | | | ||
☐ | | | |||
| | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
CAYMAN ISLANDS | | | |||
| | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | | | |
| | | |||
| | ||||
8 | SHARED VOTING POWER | | | ||
625,000 | | | |||
| | ||||
9 | SOLE DISPOSITIVE POWER | | | ||
| | | |||
| | ||||
10 | SHARED DISPOSITIVE POWER | | | ||
625,000 | | | |||
| | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
625,000 | | | |||
| | ||||
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) | | | ||
0.68%(9) | | | |||
| | ||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
OO | | | |||
| |
(9) Percentage ownership is based on an aggregate number of Class A Shares of the Issuer of 91,361,593 outstanding as of July 20, 2016, based on information disclosed by the Issuer in a Current Report on Form 8-K, dated July 25, 2016.
This Amendment No. 2 (this “Amendment No. 2”) to Schedule 13D is being filed by Orion US Holdings 1 L.P., Orion US GP LLC, Brookfield Infrastructure Fund III GP LLC, Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P., Brookfield Credit Opportunities Master Fund, L.P., Brookfield Credit Opportunities Fund GP, LLC, Brookfield Asset Management Private Institutional Capital Adviser (Credit) LLC, Brookfield Asset Management Inc. and Partners Limited to amend the Schedule 13D filed on June 29, 2016 (the “Original Schedule 13D”), as amended by Amendment No. 1 to the Original Schedule 13D, filed on July 22, 2016 (as so amended, the “Amended Schedule 13D”), with respect to beneficial ownership of the shares of Class A common stock, $0.01 par value per share, of TerraForm Power, Inc., a corporation organized under the laws of the state of Delaware.
This Amendment No. 2 is being filed to disclose an amendment to the Letter Agreement between Brookfield and Appaloosa, dated July 22, 2016. The Reporting Persons and Appaloosa are individually filing pursuant to Rule 13d-1(k) under the Act.
This Amendment No. 2 hereby amends Item 2, Item 4, Item 6 and Item 7 of the Amended Schedule 13D as follows:
Item 2. Identity and Background.
Item 2 of the Amended Schedule 13D is hereby amended by deleting in their entirety Schedules I, II, V and VI, which set forth a list of the directors and executive officers of Orion US GP LLC, Brookfield Infrastructure Fund III GP LLC, Brookfield Asset Management Inc. and Partners Limited, respectively, and the principal occupations and addresses of such directors and executive officers, and substituting Schedules I, II, V and VI attached hereto in lieu thereof.
Item 4. Purpose of Transaction.
Item 4 of the Amended Schedule 13D is hereby amended by adding the following:
On October 19, 2016, Brookfield and Appaloosa entered into Amendment No. 1 to the Letter Agreement, which extended the Exclusivity Period (as defined in the Letter Agreement) from 90 days to 180 days.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
The information set forth in Item 4 of this Amendment No. 2 and the text of Amendment No. 1 to the Letter Agreement are incorporated into Item 6 of the Amended Schedule 13D by reference. Except as described in this Amendment No. 2 and the Amended Schedule 13D, the Reporting Persons are not currently parties to any other contracts, arrangements, understandings or relationships (legal or otherwise) with respect to any securities of the Issuer.
Item 7. Materials to Be Filed as Exhibits.
Exhibit 99.3 Amendment No. 1 to the Letter Agreement, dated October 19, 2016
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
October 19, 2016
| ORION US HOLDINGS 1 L.P. by its general partner ORION US GP LLC | | |
| | | |
| By: | /s/Fred Day | |
| | Name: Fred Day | |
| | Title: Vice President | |
| | | |
| ORION US GP LLC | | |
| | | |
| By: | /s/Fred Day | |
| | Name: Fred Day | |
| | Title: Vice President | |
| | | |
| BROOKFIELD INFRASTRUCTURE FUND III GP LLC | | |
| | | |
| By: | /s/Fred Day | |
| | Name: Fred Day | |
| | Title: Vice President | |
| | | |
| BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CANADA), L.P., by its general partner, Brookfield Private Funds Holdings Inc. | | |
| | | |
| By: | /s/James Rickert | |
| | Name: James Rickert | |
| | Title: Vice President | |
| | | |
| BROOKFIELD CREDIT OPPORTUNITIES MASTER FUND, L.P. by its general partner, BROOKFIELD CREDIT OPPORTUNITIES FUND GP, LLC | | |
| | | |
| By: | /s/Barry Blattman | |
| | Name: Barry Blattman | |
| | Title: Chairman | |
| | | |
| BROOKFIELD CREDIT OPPORTUNITIES FUND GP, LLC | | |
| | | |
| By: | /s/Barry Blattman | |
| | Name: Barry Blattman | |
| | Title: Chairman | |
| | | |
| BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CREDIT) LLC | | |
| | | |
| By: | /s/Barry Blattman | |
| | Name: Barry Blattman | |
| | Title: President and Treasurer | |
| | | |
| BROOKFIELD ASSET MANAGEMENT INC. | | |
| | | |
| By: | /s/A.J. Silber | |
| | Name: A.J. Silber | |
| | Title: Vice-President, Legal Affairs | |
| | | |
| PARTNERS LIMITED | | |
| | | |
| By: | /s/Brian D. Lawson | |
| | Name: Brian D. Lawson | |
| | Title: President | |
| | | |
SCHEDULE I
ORION US GP LLC
Name and Position of Officer or Director | Principal Business Address | Principal Occupation or Employment | Citizenship |
Ralph Klatzkin, Manager and Vice President | Brookfield Place 250 Vesey Street, 15th Floor New York, NY 10281 | Vice President of Brookfield | U.S.A. |
Fred Day, Manager and Vice President | 1200 Smith Street Suite 1200 Houston, TX 77002 | Vice President of Brookfield | U.S.A. |
Hadley Peer-Marshall, Senior Vice President | Brookfield Place 250 Vesey Street, 15th Floor New York, NY 10281 | Senior Vice President of Brookfield | U.S.A. |
Julian Deschatelets, Senior Vice President | 181 Bay Street, Suite 300, Brookfield Place, Toronto, Ontario M5J 2T3, Canada | Senior Vice President of Brookfield | Canada |
Andrea Rocheleau, Senior Vice President | 41 Victoria Street Gatineau, Québec J8X 2A1, Canada | Senior Vice President of Brookfield | Canada |
Trevor Carson, Vice President | 181 Bay Street, Suite 300, Brookfield Place, Toronto, Ontario M5J 2T3, Canada | Vice President of Brookfield | Canada |
Scott Peak, Manager | 1200 Smith Street Suite 1200 Houston, TX 77002 | Vice President of Brookfield | U.S.A |
Keiji Hattori, Associate Vice President | NBF Hibiya Building 25F, 1-1-7 Uchisaiwaicho, Chiyoda-ku, Tokyo 100-0011 | Senior Vice President of Brookfield | Japan |
SCHEDULE II
BROOKFIELD INFRASTRUCTURE FUND III GP LLC
Name and Position of Officer or Director | Principal Business Address | Principal Occupation or Employment | Citizenship |
Justin Beber, President | 181 Bay Street, Suite 300, Brookfield Place, Toronto, Ontario M5J 2T3, Canada | Managing Partner of Brookfield | Canada |
Mark Srulowitz, Manager and Vice President | Brookfield Place 250 Vesey Street, 15th Floor New York, NY 10281 | Managing Partner of Brookfield | U.S.A. |
Keiji Hattori, Associate Vice President | NBF Hibiya Building 25F, 1-1-7 Uchisaiwaicho, Chiyoda-ku, Tokyo 100-0011 | Senior Vice President of Brookfield | Japan |
Ralph Klatzkin, Manager and Vice President | Brookfield Place 250 Vesey Street, 15th Floor New York, NY 10281 | Vice President of Brookfield | U.S.A. |
Fred Day, Manager and Vice President | 1200 Smith Street Suite 1200 Houston, TX 77002 | Vice President of Brookfield | U.S.A. |
Scott Peak, Manager and Vice President | 1200 Smith Street Suite 1200 Houston, TX 77002 | Vice President of Brookfield | U.S.A |
SCHEDULE V
BROOKFIELD ASSET MANAGEMENT INC.
Name and Position of Officer or Director | Principal Business Address | Principal Occupation or Employment | Citizenship |
M. Elyse Allan, Director | 2300 Meadowvale Road, Mississauga, Ontario, L5N 5P9, Canada | President and Chief Executive Officer of GE Canada | Canada and U.S.A. |
Jeffrey M. Blidner, Director and Senior Managing Partner | 181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner of Brookfield | Canada |
Angela F. Braly, Director | 832 Alverna Drive, Indianapolis, Indiana 46260 | President & Founder of The Braly Group, LLC | U.S.A. |
Jack L. Cockwell, Director | 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada | Corporate Director | Canada |
Marcel R. Coutu, Director | 335 8th Avenue SW, Suite 1700 Calgary, Alberta T2P 1C9, Canada | Former President and Chief Executive Officer of Canadian Oil Sands Limited | Canada |
Maureen Kempston Darkes, Director | 10 Avoca Ave. Unit 1904 Toronto, Ontario M4T 2B7, Canada | Corporate Director of Brookfield and former President, Latin America, Africa and Middle East of General Motors Corporation | Canada |
J. Bruce Flatt, Director and Senior Managing Partner and Chief Executive Officer | 181 Bay Street, Suite 300, Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner and Chief Executive Officer of Brookfield | Canada |
Robert J. Harding, Director | 181 Bay Street, Suite 300, Brookfield Place, Toronto, Ontario M5J 2T3, Canada | Past Chairman of Brookfield | Canada |
David W. Kerr, Director | c/o 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada | Chairman of Halmont Properties Corp. | Canada |
Brian W. Kingston, Senior Managing Partner | 181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner of Brookfield | Canada |
Brian D. Lawson, Senior Managing Partner and Chief Financial Officer | 181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner and Chief Financial Officer of Brookfield | Canada |
Philip B. Lind, Director | Rogers Communications Inc., 333 Bloor Street East, 10th Floor, Toronto, Ontario M4W 1G9, Canada | Co-Founder, Vice Chairman and Director of Rogers Communications Inc. | Canada |
Cyrus Madon, Senior Managing Partner | 181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner of Brookfield | Canada |
Frank J. McKenna, Director | TD Bank Group, P.O. Box 1, TD Centre, 66 Wellington St. West, 4th Floor, TD Tower, Toronto, Ontario M5K 1A2, Canada | Chair of Brookfield and Deputy Chair of TD Bank Group | Canada |
Youssef A. Nasr, Director | P.O. Box 16 5927, Beirut, Lebanon | Corporate Director of Brookfield and former Chairman and CEO of HSBC Middle East Ltd. and former President of HSBC Bank Brazil | Lebanon and U.S.A. |
Lord Augustine Thomas O’Donnell, Director | P.O. Box 1, TD Centre, 66 Wellington St. W., 4th Floor, TD Tower Toronto, Ontario M5K 1A2, Canada | Chairman of Frontier Economics and Strategic Advisor of TD Bank Group | United Kingdom |
Samuel J.B. Pollock, Senior Managing Partner | 181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner of Brookfield | Canada |
Ngee Huat Seek, Director | 501 Orchard Road #08–01 Wheelback Place Singapore 238880 | Former Chairman of the Latin American Business Group, Government of Singapore Investment Corporation | Singapore |
Diana L. Taylor, Director | Solera Capital L.L.C 625 Madison Avenue, 3rd Floor New York, N.Y. 10022 | Vice Chair of Solera Capital LLC | Canada and U.S.A |
George S. Taylor, Director | R.R. #3, 4675 Line 3, St. Marys, Ontario N4X 1C6, Canada | Corporate Director of Brookfield | Canada |
A.J. Silber, Vice-President, Legal Affairs and Corporate Secretary | 181 Bay Street, Suite 300 Toronto, Ontario M5J 2T3, Canada | Vice-President, Legal Affairs and Corporate Secretary of Brookfield | Canada |
SCHEDULE VI
PARTNERS LIMITED
Name and Position of Officer or Director | Principal Business Address | Principal Occupation or Employment | Citizenship |
Jack L. Cockwell, Director and Chairman | 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada | Corporate Director | Canada |
David W. Kerr, Director | 51 Yonge Street, Suite 400, Toronto, Ontario M5E 1J1, Canada | Chairman of Halmont Properties Corp. | Canada |
Brian D. Lawson, Director and President | Brookfield Asset Management Inc. 181 Bay Street, Brookfield Place, Suite 300 Toronto, Ontario M5J 2T3, Canada | Senior Managing Partner and Chief Financial Officer of Brookfield | Canada |
George E. Myhal, Director | Partners Value Investments L.P., 181 Bay Street, Brookfield Place, Suite 210, Toronto, Ontario M5J 2T3, Canada | President and CEO of Partners Value Investments L.P. | Canada |
Timothy R. Price, Director | 51 Yonge Street, Suite 400 Toronto, Ontario M5E 1J1, Canada | Chairman, Brookfield Funds | Canada |
Tony E. Rubin, Treasurer | 51 Yonge Street, Suite 400 Toronto, Ontario M5E 1J1, Canada | Accountant | Canada |
Lorretta Corso, Secretary | Brookfield Asset Management Inc. 181 Bay Street, Brookfield Place, Suite 300, Toronto, Ontario M5J 2T3, Canada | Corporate Secretarial Administrator, Brookfield | Canada |
EXHIBIT INDEX
Exhibit Number | | Description |
| | |
99.3 | | Amendment No. 1 to the Letter Agreement, dated October 19, 2016 |
19