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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
125% Warrants | $ 14.93 | 04/14/2015 | P | 5,884 | 09/03/2013 | 09/03/2018 | Common Stock | 5,884 | $ 5.59 | 5,884 | I | See Footnotes (1) (6) (11) (12) (13) | |||
135% Warrants | $ 16.12 | 04/14/2015 | P | 5,884 | 09/03/2013 | 09/03/2018 | Common Stock | 5,884 | $ 6.29 | 5,884 | I | See Footnotes (1) (6) (11) (12) (13) | |||
125% Warrants | $ 14.93 | 09/03/2013 | 09/03/2018 | Common Stock | 41,721 | 41,721 | I | See Footnotes (2) (6) (11) (12) (13) | |||||||
125% Warrants | $ 14.93 | 09/03/2013 | 09/03/2018 | Common Stock | 38,851 | 38,851 | I | See Footnotes (3) (6) (11) (12) (13) | |||||||
125% Warrants | $ 14.93 | 09/03/2013 | 09/03/2018 | Common Stock | 12,841 | 12,841 | I | See Footnotes (4) (11) (12) (13) | |||||||
125% Warrants | $ 14.93 | 09/03/2013 | 09/03/2018 | Common Stock | 16,113 | 16,113 | I | See Footnotes (5) (11) (12) (13) | |||||||
135% Warrants | $ 16.12 | 09/03/2013 | 09/03/2018 | Common Stock | 41,721 | 41,721 | I | See Footnotes (2) (6) (11) (12) (13) | |||||||
135% Warrants | $ 16.12 | 09/03/2013 | 09/03/2018 | Common Stock | 38,851 | 38,851 | I | See Footnotes (3) (6) (11) (12) (13) | |||||||
135% Warrants | $ 16.12 | 09/03/2013 | 09/03/2018 | Common Stock | 12,841 | 12,841 | I | See Footnotes (4) (11) (12) (13) | |||||||
135% Warrants | $ 16.12 | 09/03/2013 | 09/03/2018 | Common Stock | 16,113 | 16,113 | I | See Footnotes (5) (11) (12) (13) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GSO CAPITAL PARTNERS LP 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Goodman Bennett J C/O GSO CAPITAL PARTNERS LP 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Smith J Albert III C/O GSO CAPITAL PARTNERS LP 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Ostrover Douglas I C/O GSO CAPITAL PARTNERS LP 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Blackstone Group L.P. C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
GSO Advisor Holdings L.L.C. C/O THE BLACKSTONE GROUP 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Blackstone Holdings I L.P. C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Blackstone Holdings I/II GP Inc C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
Blackstone Group Management L.L.C. C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X | |||
SCHWARZMAN STEPHEN A C/O THE BLACKSTONE GROUP L.P. 345 PARK AVENUE NEW YORK, NY 10154 |
X |
GSO CAPITAL PARTNERS LP, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 04/16/2015 | |
**Signature of Reporting Person | Date | |
BENNETT J. GOODMAN, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Attorney-in-Fact | 04/16/2015 | |
**Signature of Reporting Person | Date | |
J. ALBERT SMITH III, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Attorney-in-Fact | 04/16/2015 | |
**Signature of Reporting Person | Date | |
DOUGLAS I. OSTROVER, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Attorney-in-Fact | 04/16/2015 | |
**Signature of Reporting Person | Date | |
THE BLACKSTONE GROUP L.P., By: Blackstone Group Management L.L.C., its general partner By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer | 04/16/2015 | |
**Signature of Reporting Person | Date | |
GSO ADVISOR HOLDINGS L.L.C., By: Blackstone Holdings I L.P., its sole member, By: Blackstone Holdings I/II GP Inc., its general partner, By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer | 04/16/2015 | |
**Signature of Reporting Person | Date | |
BLACKSTONE HOLDINGS I L.P., By: Blackstone Holdings I/II GP Inc., its general partner, By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer | 04/16/2015 | |
**Signature of Reporting Person | Date | |
BLACKSTONE HOLDINGS I/II GP INC., By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer | 04/16/2015 | |
**Signature of Reporting Person | Date | |
BLACKSTONE GROUP MANAGEMENT L.L.C., By: /s/ John G. Finley, Name: John G. Finley, Title: Chief Legal Officer | 04/16/2015 | |
**Signature of Reporting Person | Date | |
STEPHEN A. SCHWARZMAN, By: /s/ Stephen A. Schwarzman | 04/16/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | GSO Cactus Credit Opportunities Fund LP directly holds these securities. |
(2) | GSO Special Situations Fund LP directly holds these securities. |
(3) | GSO Special Situations Overseas Master Fund Ltd. directly holds these securities. GSO Special Situations Overseas Master Fund Ltd. is a wholly-owned subsidiary of GSO Special Situations Overseas Fund Ltd. |
(4) | GSO Palmetto Opportunistic Investment Partners LP directly holds these securities. GSO Palmetto Opportunistic Associates LLC is the general partner of GSO Palmetto Opportunistic Investment Partners LP. GSO Holdings I L.L.C. is the managing member of GSO Palmetto Opportunistic Associates LLC. |
(5) | GSO Credit-A Partners LP directly holds these securities (together with GSO Special Situations Fund LP, GSO Special Situations Overseas Master Fund Ltd. and GSO Palmetto Opportunistic Investment Partners LP, the "GSO Funds"). GSO Credit-A Associates LLC is the general partner of GSO Credit-A Partners LP. GSO Holdings I L.L.C. is the managing member of GSO Credit-A Associates LLC. |
(6) | GSO Capital Partners LP is the investment manager of each of GSO Cactus Credit Opportunities Fund LP, GSO Special Situations Fund LP, GSO Special Situations Overseas Fund Ltd. and GSO Special Situations Overseas Master Fund Ltd. GSO Advisor Holdings L.L.C. is the general partner of GSO Capital Partners LP. |
(7) | FS Investment Corporation directly holds these shares of Common Stock. |
(8) | Locust Street Funding LLC directly holds these shares of Common Stock. |
(9) | FS Investment Corporation II directly holds these shares of Common Stock (together with FS Investment Corporation and Locust Street Funding LLC, the "FS Funds"). |
(10) | FB Income Advisor, LLC and FSIC II Advisor, LLC are the investment managers of FS Investment Corporation and FS Investment Corporation II, respectively. FS Investment Corporation is the sole member of Locust Street Funding LLC. In addition, each of Michael C. Forman, David J. Adelman, Gerald F. Stahlecker and Zachary Klehr may be deemed to have shared investment control with respect to the shares of Common Stock held by the FS Funds. |
(11) | Blackstone Holdings I L.P. is the sole member of GSO Advisor Holdings L.L.C. and a managing member of GSO Holdings I L.L.C. Blackstone Holdings I/II GP Inc. is the general partner of Blackstone Holdings I L.P. The Blackstone Group L.P. is the controlling shareholder of Blackstone Holdings I/II GP Inc. Blackstone Group Management L.L.C. is the general partner of The Blackstone Group L.P. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman. Blackstone Group Management L.L.C. In addition, each of Bennett J. Goodman, J. Albert Smith III and Douglas I. Ostrover may be deemed to have shared investment control with respect to the securities held by the GSO Funds. |
(12) | Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
(13) | Each of the Reporting Persons (other than each of the GSO Funds and the FS Funds to the extent they directly hold securities of the Issuer), disclaims beneficial ownership of the securities held by each of the GSO Funds and the FS Funds, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than each of the GSO Funds and the FS Funds to the extent they directly hold securities of the Issuer) states that the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |