Statement of Ownership (sc 13g)
12 Fevereiro 2015 - 6:05PM
Edgar (US Regulatory)
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OMB APPROVAL |
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OMB Number: |
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3235-0145 |
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Expires: |
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Estimated average burden hours per response |
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11.6 |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Centrus
Energy Corp
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
15643U104
(CUSIP Number)
December 31, 2014
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
* |
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page. |
The information required in 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
(however, see the Notes).
Potential persons who are to respond to the collection of information contained in this form are not required to respond
unless the form displays a currently valid OMB control number.
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Advisors, LLC |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
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SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
479,962 (See item 4) |
|
7 |
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SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
479,962 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 479,962 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 6.3% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* IA |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 2 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Advisors, LLC |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
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SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
210,127 (See item 4) |
|
7 |
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SOLE DISPOSITIVE POWER
0 |
|
8 |
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SHARED DISPOSITIVE POWER
210,127 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 210,127 (See item 4) |
10 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 2.8% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* IA |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 3 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Partners, L.P. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
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5 |
|
SOLE VOTING POWER
0 |
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6 |
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SHARED VOTING POWER
210,127 (See item 4) |
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7 |
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SOLE DISPOSITIVE POWER
0 |
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8 |
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SHARED DISPOSITIVE POWER
210,127 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 210,127 (See item 4) |
10 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 2.8% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 4 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Fund, L.P. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
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5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
210,127 (See item 4) |
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7 |
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SOLE DISPOSITIVE POWER
0 |
|
8 |
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SHARED DISPOSITIVE POWER
210,127 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 210,127 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 2.8% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 5 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Fund, Ltd. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
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5 |
|
SOLE VOTING POWER
0 |
|
6 |
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SHARED VOTING POWER
210,127 (See item 4) |
|
7 |
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SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
210,127 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 210,127 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 2.8% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* CO |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 6 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible Arbitrage Advisors, LLC |
2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
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SEC USE ONLY
|
4 |
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CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
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5 |
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SOLE VOTING POWER
0 |
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6 |
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SHARED VOTING POWER
87,226 (See item 4) |
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7 |
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SOLE DISPOSITIVE POWER
0 |
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8 |
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SHARED DISPOSITIVE POWER
87,226 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 87,226 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.2% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* IA |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 7 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible Arbitrage Partners, L.P. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
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SHARED VOTING POWER
87,226 (See item 4) |
|
7 |
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SOLE DISPOSITIVE POWER
0 |
|
8 |
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SHARED DISPOSITIVE POWER
87,226 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 87,226 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.2% (See item 4) |
12 |
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TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 8 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible Arbitrage Fund, L.P. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
87,226 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
87,226 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 87,226 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.2% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 9 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible Arbitrage Fund, Ltd. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
87,226 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
87,226 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 87,226 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.2% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* CO |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 10 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Credit Arbitrage Advisors, LLC |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
120,191 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
120,191 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 120,191 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.6% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* IA |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 11 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Credit Arbitrage Partners LP |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
120,191 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
120,191 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 120,191 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.6% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 12 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Credit Arbitrage Fund, LP |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
120,191 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
120,191 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 120,191 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.6% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 13 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Credit Arbitrage Fund, Ltd. |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
120,191 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
120,191 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 120,191 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 1.6% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* CO |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 14 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Advisors, LLC |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
62,418 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
62,418 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 62,418 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 0.8% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* IA |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 15 of 24
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1 |
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NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Partners LP |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
62,418 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
62,418 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 62,418 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 0.8% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 16 of 24
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1 |
|
NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Fund, LP |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION Delaware |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
62,418 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
62,418 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 62,418 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 0.8% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* PN |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 17 of 24
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1 |
|
NAMES OF
REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Fund, Ltd |
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP*
(a) ¨ (b) x |
3 |
|
SEC USE ONLY
|
4 |
|
CITIZENSHIP OR PLACE OF
ORGANIZATION British Virgin Islands |
NUMBER OF SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH: |
|
5 |
|
SOLE VOTING POWER
0 |
|
6 |
|
SHARED VOTING POWER
62,418 (See item 4) |
|
7 |
|
SOLE DISPOSITIVE POWER
0 |
|
8 |
|
SHARED DISPOSITIVE POWER
62,418 (See item 4) |
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY
EACH REPORTING PERSON 62,418 (See item 4) |
10 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW
(9) EXCLUDES CERTAIN SHARES* |
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) 0.8% (See item 4) |
12 |
|
TYPE OF REPORTING PERSON* CO |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 18 of 24
|
(b) |
Address of Issuers Principal Executive Offices |
|
(a) |
Name of Person Filing |
|
|
This statement is filed by: |
|
(i) |
Whitebox Advisors, LLC, a Delaware limited liability company (WA); |
|
(ii) |
Whitebox Multi-Strategy Advisors, LLC, a Delaware limited liability company (WMSA); |
|
(iii) |
Whitebox Multi-Strategy Partners, L.P., a British Virgin Islands limited partnership (WMSP); |
|
(iv) |
Whitebox Multi-Strategy Fund, L.P., a Delaware limited partnership (WMSFLP); |
|
(v) |
Whitebox Multi-Strategy Fund, Ltd., a British Virgin Islands international business company (WMSFLTD); |
|
(vi) |
Whitebox Concentrated Convertible Arbitrage Advisors, LLC, a Delaware limited liability company (WCCAA); |
|
(vii) |
Whitebox Concentrated Convertible Arbitrage Partners, L.P., a British Virgin Islands limited partnership (WCCAP); |
|
(viii) |
Whitebox Concentrated Convertible Arbitrage Fund , L.P., a Delaware limited partnership (WCCAFLP); |
|
(ix) |
Whitebox Concentrated Convertible Arbitrage Fund, Ltd., a British Virgin Islands international business company (WCCAFLTD); |
|
(x) |
Whitebox Credit Arbitrage Advisors, LLC, a Delaware limited liability company (WCRAA); |
|
(xi) |
Whitebox Credit Arbitrage Partners, L.P., a British Virgin Islands limited partnership (WCRAP); |
|
(xii) |
Whitebox Credit Arbitrage Fund , L.P., a Delaware limited partnership (WCRAFLP); |
|
(xiii) |
Whitebox Credit Arbitrage Fund, Ltd., a British Virgin Islands international business company (WCRAFLTD); |
|
(xiv) |
Pandora Select Advisors, LLC, a Delaware limited liability company (PSA); |
|
(xv) |
Pandora Select Partners, L.P., a British Virgin Islands limited partnership (PSP); |
|
(xvi) |
Pandora Select Fund, L.P., a Delaware limited partnership (PSFLP); |
|
(xvii) |
Pandora Select Fund, Ltd., a British Virgin Islands international business company (PSFLTD); |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 19 of 24
|
(b) |
Address of Principal Business Office or, if none, Residence |
|
|
The address of the business office of WA, WMSA, WMSFLP, WCCAA, WCCAFLP, WCRAA, WCRAFLP, PSA, and PSFLP is: |
|
|
The address of the business office of WMSP, WMSFLTD, WCCAP, WCCAFLTD, WCRAP, WCRAFLTD, PSP, and PSFLTD is: |
|
|
Appleby Corporate Services (BVI) Limited |
|
|
Jayla Place, P.O. Box 3190 |
|
|
Road Town, Tortola, British Virgin Islands |
|
|
WA, WMSA, WMSFLP, WCFLP, WCCAA, WCCAFLP, WCRAA, WCRAFLP, PSA, and PSFLP are organized under the laws of the State of Delaware; WMSP, WMSFLTD, WCCAP, WCCAFLTD, WCRAP, WCRAFLTD, PSP, and PSFLTD, are organized under the
laws of the British Virgin Islands. |
|
(d) |
Title of Class of Securities |
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. |
|
|
|
(b) |
|
¨ |
|
Bank as defined in section 3(a)(6) of the Act. |
|
|
|
(c) |
|
¨ |
|
Insurance company as defined in section 3(a)(19) of the Act. |
|
|
|
(d) |
|
¨ |
|
Investment company registered under section 8 of the Investment Company Act of 1940. |
|
|
|
(e) |
|
x |
|
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. |
|
|
|
(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. |
|
|
|
(j) |
|
¨ |
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(J). |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 20 of 24
|
(a) |
Amount Beneficially Owned |
|
|
WA, acting as an investment adviser to its client, is deemed to be the beneficial owner of 479,962 shares of Common Stock of the Company. |
|
|
WMSA, is deemed to beneficially own 210,127 Shares of Common Stock of the company. |
|
|
WMSP is deemed to beneficially own 210,127 shares of Common Stock as a result of its ownership of Common Stock of the company |
|
|
WMSFLP is deemed to beneficially own 210,127 shares of Common Stock as a result of its indirect ownership of Common Stock of the company |
|
|
WMSFLTD is deemed to beneficially own 210,127 shares of Common Stock as a result of its indirect ownership of Common Stock of the company |
|
|
WCCAA, is deemed to beneficially own 87,226 Shares of Common Stock of the company. |
|
|
WCCAP is deemed to beneficially own 87,226 shares of Common Stock as a result of its ownership of Common Stock of the company |
|
|
WCCAFLP is deemed to beneficially own 87,226 shares of Common Stock as a result of its indirect ownership of Common Stock of the company |
|
|
WCCAFLTD is deemed to beneficially own 87,226 shares of Common Stock as a result of its indirect ownership of Common Stock of the company |
|
|
WCRAA, is deemed to beneficially own 120,191 Shares of Common Stock of the company. |
|
|
WCRAP is deemed to beneficially own 120,191 shares of Common Stock as a result of its ownership of Common Stock of the company |
|
|
WCRAFLP is deemed to beneficially own 120,191 shares of Common Stock as a result of its ownership of Common Stock of the company |
|
|
WCRAFLTD is deemed to beneficially own 120,191 shares of Common Stock as a result of its ownership of Common Stock of the company |
|
|
PSA, is deemed to beneficially own 62,418 Shares of Common Stock of the company. |
|
|
PSP is deemed to beneficially own 62,418 shares of Common Stock as a result of its ownership of Common Stock of the company |
|
|
PSFLP is deemed to beneficially own 62,418 shares of Common Stock as a result of its indirect ownership of Common Stock of the company |
|
|
PSFLTD is deemed to beneficially own 62,418 shares of Common Stock as a result of its indirect ownership of Common Stock of the company |
|
|
As a result of the relationship described in this statement, each of WA, WMSA, WMSFLP, WMSFLTD, WCCAA, WCCAFLP, WCCAFLTD, WCRAA, WCRAFLP, WCRAFLTD, PSA, PSFLP, and PSFLTD may be deemed to possess indirect beneficial
ownership of the shares of Common Stock beneficially owned by each of WMSP, WCCAP, WCRAP, and PSP. |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 21 of 24
|
|
WA, WMSA, WMSFLP, WMSFLTD, WCCAA, WCCAFLP, WCCAFLTD, WCRAA, WCRAFLP, WCRAFLTD, PSA, PSFLP, and PSFLTD each disclaim indirect beneficial ownership of the shares of Common Stock except to the extent of their pecuniary
interest in such shares.* |
|
|
Based on the relationships described herein, these entities may be deemed to constitute a group within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement
shall not be construed as an admission that WA, WMSA,WMSP, WMSFLP, WMSFLTD, WCCAA, WCCAP, WCCAFLP, WCCAFLTD, WCRAA, WCRAP , WCRAFLP, WCRAFLTD, PSA, PSP, PSFLP, and PSFLTD are a group, or have agreed to act as a group.* |
|
|
WA beneficially owns 6.3 % of the companys Common Stock.* |
|
|
WMSA is deemed to beneficially own 2.8 % of the companys Common Stock |
|
|
WMSP is deemed to beneficially own 2.8 % of the companys Common Stock |
|
|
WMSFLP is deemed to beneficially own 2.8 % of the companys Common Stock |
|
|
WMSFLTD is deemed to beneficially own 2.8 % of the companys Common Stock |
|
|
WCCAA is deemed to beneficially own 1.2 % of the companys Common Stock |
|
|
WCCAP is deemed to beneficially own 1.2 % of the companys Common Stock |
|
|
WCCAFLP is deemed to beneficially own 1.2 % of the companys Common Stock |
|
|
WCCAFLTD is deemed to beneficially own 1.2 % of the companys Common Stock |
|
|
WCRAA is deemed to beneficially own 1.6 % of the companys Common Stock |
|
|
WCRAP is deemed to beneficially own 1.6 % of the companys Common Stock |
|
|
WCRAFLP is deemed to beneficially own 1.6 % of the companys Common Stock |
|
|
WCRAFLTD is deemed to beneficially own 1.6 % of the companys Common Stock |
|
|
PSA is deemed to beneficially own 0.8 % of the companys Common Stock |
|
|
PSP is deemed to beneficially own 0.8 % of the companys Common Stock |
|
|
PSFLP is deemed to beneficially own 0.8 % of the companys Common Stock |
|
|
PSFLTD is deemed to beneficially own 0.8 % of the companys Common Stock |
|
|
The percentage of Common Stock reportedly owned by each entity herein is based on 7,563,600 shares of outstanding Common Stock of the Company, which is the total number of shares issued and outstanding on
October 31, 2014. |
|
(c) |
Number of shares as to which such person has: |
|
(i) |
Sole power to vote or to direct the vote |
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 22 of 24
|
(ii) |
Shared power to vote or to direct the vote |
|
|
WA has shared voting power with respect to 479,962 shares of the Issuers Common Stock. |
|
|
WMSA, WMSP, WMSFLP, and WMSFLTD have shared voting power with respect to 210,127 Shares of the Companys Common Stock. |
|
|
WCCAA, WCCAP, WCCAFLP, and WCCAFLTD have shared voting power with respect to 87,226 Shares of the Companys Common Stock. |
|
|
WCRAA, WCRAP, WCRAFLP, and WCRAFLTD have shared voting power with respect to 120,191 Shares of the Companys Common Stock. |
|
|
PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 62,418 Shares of the Companys Common Stock. |
|
(iii) |
Sole power to dispose or to direct the disposition of |
|
(iv) |
Shared power to dispose or to direct the disposition of |
|
|
WA has shared voting power with respect to 479,962 shares of the Issuers Common Stock. |
|
|
WMSA, WMSP, WMSFLP, and WMSFLTD have shared voting power with respect to 210,127 Shares of the Companys Common Stock. |
|
|
WCCAA, WCCAP, WCCAFLP, and WCCAFLTD have shared voting power with respect to 87,226 Shares of the Companys Common Stock. |
|
|
WCRAA, WCRAP, WCRAFLP, and WCRAFLTD have shared voting power with respect to 120,191 Shares of the Companys Common Stock. |
|
|
PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 62,418 Shares of the Companys Common Stock. |
Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).
Item 5. |
Ownership of Five Percent or Less of a Class |
If this statement is being filed to report
the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ¨*.
Instruction. Dissolution of a group requires a response to this item.
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person. |
Not Applicable.
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 23 of 24
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Not Applicable
Item 8. |
Identification and Classification of Members of the Group |
See Item 2
Item 9. |
Notice of Dissolution of Group |
Not Applicable
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and
were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is
true, complete and correct.
|
02/12/15 |
Date |
|
/s/ Michael P. McCormick |
Signature |
|
Michael P. McCormick as Chief Financial Officer of Whitebox Advisors, LLC. |
Name/Title |
The original statement shall be signed by each person on whose behalf the statement is filed or his
authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representatives authority to sign on behalf
of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the
statement shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five copies
of the schedule, including all exhibits. See § 240.13d-7 for other parties for whom copies are to be sent.
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
** SEE INSTRUCTION
BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 24 of 24
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