UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who 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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHITEBOX ADVISORS LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
 |  X |  |  |
WHITEBOX GENERAL PARTNER LLC 3033 EXCELSIOR BOUELVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
 |  X |  |  |
WHITEBOX ADVISORS LLC /s/ Mark Strefling Whitebox Advisors LLC Chief Operating Officer | 05/03/2017 | |
**Signature of Reporting Person | Date | |
WHITEBOX GENERAL PARTNER LLC /s/ Mark Strefling Whitebox Advisors LLC Chief Operating Officer | 05/03/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Common Stock, $0.01 par value per share is directly owned by the following entities in the following amounts: Whitebox Asymmetric Partners, L.P. owns 574,479 shares; Whitebox Relative Value Partners, L.P. owns 273,993 shares; Whitebox Multi-Strategy Partners, L.P. owns 883,607 shares; Whitebox Credit Partners, L.P. owns 176,077 shares; Whitebox GT Fund, L.P. owns 60,007 shares; Pandora Select Partners, L.P. owns 280,155 shares; Whitebox Institutional Partners, L.P. owns 91,333 shares (together, the "Private Funds"). The Common Stock may also be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. |
 Remarks: Whitebox Advisors LLC and Whitebox General Partner LLC (together, the "Reporting Persons") disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |