Filing Details
- Accession Number:
- 0001209191-12-050338
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-23 19:19:27
- Reporting Period:
- 2012-03-02
- Filing Date:
- 2012-10-23
- Accepted Time:
- 2012-10-23 19:19:27
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
3952 | Allied Defense Group Inc | ADGI | Ordnance & Accessories, (No Vehicles/Guided Missiles) (3480) | 042281015 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1361978 | Southpaw Asset Management Lp | Two Greenwich Office Park Greenwich CT 06831 | No | No | Yes | No | |
1385599 | Kevin Wyman | Two Greenwich Office Park Greenwich CT 06831 | No | No | Yes | No | |
1385606 | Howard Golden | Two Greenwich Office Park Greenwich CT 06831 | No | No | Yes | No | |
1385608 | Southpaw Holdings Llc | Two Greenwich Office Park Greenwich CT 06831 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2012-03-02 | 2,883 | $3.38 | 0 | No | 4 | S | Indirect | See Footnote |
Common Stock | Acquisiton | 2012-03-02 | 2,883 | $3.38 | 2,883 | No | 4 | P | Indirect | See Footnote |
Common Stock | Disposition | 2012-05-16 | 33,236 | $3.15 | 0 | No | 4 | S | Indirect | See Footnote |
Common Stock | Acquisiton | 2012-05-16 | 31,762 | $3.15 | 794,002 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2012-05-16 | 954 | $3.15 | 26,136 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2012-05-16 | 520 | $3.15 | 15,548 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Footnotes
- The filing of this Form 4 shall not be construed as an admission that (i) Southpaw Asset Management LP ("Southpaw Management"), (ii) Southpaw Holdings LLC ("Southpaw Holdings"), (iii) Kevin Wyman, or (iv) Howard Golden is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any of shares of common stock ("Common Stock") of The Allied Defense Group, Inc., a Delaware corporation (the "Issuer"), held by Southpaw Credit Opportunity Master Fund LP (the "Credit Fund"), Southpaw Equity Opportunity Master Fund LP (the "Equity Fund" and, together with the Credit Fund, the "Funds") and certain managed accounts (the "Managed Accounts") and a proprietary account.
- Pursuant to Rule 16a-1, Southpaw Management, Southpaw Holdings, Mr. Wyman and Mr. Golden disclaim beneficial ownership beyond their pecuniary interest.
- Prior to the sale described in this transaction, the Equity Fund held shares of Common Stock for its own account. Southpaw Management serves as the investment manager of the Equity Fund. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Equity Fund. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of sale, they controlled the disposition and voting of the securities.
- Southpaw Management holds these shares of Common Stock indirectly through the account of a proprietary account, of which Southpaw Management serves as the investment manager. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- Prior to the sale described in this transaction, Southpaw Management held shares of Common Stock indirectly through the account of one of its Managed Accounts ("Managed Account C"), of which Southpaw Management serves as the investment manager. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Managed Accounts. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of sale, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- The Credit Fund holds these shares of Common Stock for its own account. Southpaw Management serves as the investment manager of the Credit Fund. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Credit Fund. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- Southpaw Management holds these shares of Common Stock indirectly through the account of one of its Managed Accounts ("Managed Account A"), of which Southpaw Management serves as the investment manager. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Managed Accounts. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- Southpaw Management holds these shares of Common Stock indirectly through the account of one of its Managed Accounts ("Managed Account B"), of which Southpaw Management serves as the investment manager. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Managed Accounts. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.