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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 | ||||||||
Warrants to Purchase Common Stock, par value $0.01 | $ 25.686 | 08/13/2015 | P(1) | 900 | 11/18/2014 | 12/15/2019 | Common Stock, par value $0.01 | 900 | $ 14.98 | 6,497,268 | I | See Footnote (3) | |||
Warrants to Purchase Common Stock, par value $0.01 | $ 25.686 | 08/14/2015 | P(1) | 53,747 | 11/18/2014 | 12/15/2019 | Common Stock, par value $0.01 | 53,747 | $ 15.25 | 6,551,015 | I | See Footnote (3) | |||
Warrants to Purchase Common Stock, par value $0.01 | $ 25.686 | 08/14/2015 | P(1) | 70 | 11/18/2014 | 12/15/2019 | Common Stock, par value $0.01 | 70 | $ 15 | 6,551,085 | I | See Footnote (3) | |||
Warrants to Purchase Common Stock, par value $0.01 | $ 25.686 | 08/14/2015 | P(1) | 2,079 | 11/18/2014 | 12/15/2019 | Common Stock, par value $0.01 | 2,079 | $ 14.85 | 6,553,164 | I | See Footnote (3) | |||
Warrants to Purchase Common Stock, par value $0.01 | $ 25.686 | 08/17/2015 | P(1) | 4,093 | 11/18/2014 | 12/15/2019 | Common Stock, par value $0.01 | 4,093 | $ 15 | 6,557,257 | I | See Footnote (3) | |||
Warrants to Purchase Common Stock, par value $0.01 | $ 25.686 | 11/18/2014 | 12/15/2016 | Common Stock, par value $0.01 | 0 | 14,801 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERKOWITZ BRUCE R C/O FAIRHOLME CAPITAL MANAGEMENT, L.L.C. 4400 BISCAYNE BOULEVARD, 9TH FLOOR MIAMI, FL 33137 |
X |
Bruce R. Berkowitz, By: /s/ Paul Thomson, Attorney-in-fact | 08/17/2015 | |
**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) | The securities are held in a private fund managed indirectly by Mr. Bruce R. Berkowitz (the "Reporting Person"). The Reporting Person disclaims beneficial ownership in the private fund except to the extent of his pecuniary interest, if any, therein. |
(2) | The securities sold and repurchased are held in an account managed indirectly by the Reporting Person and were transacted in pursuant to client instructions. The Reporting Person does not have any direct or indirect pecuniary interest in the managed account because the Reporting Person (i) does not receive any incentive compensation from the managed account and (ii) does not have a direct or indirect interest in the managed account. |
(3) | The securities may be deemed to be beneficially owned by the Reporting Person because he controls the sole member of a registered investment adviser, which may be deemed to have beneficial ownership of the securities because it serves as the investment manager to a registered investment company and certain private funds and managed accounts. The Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |