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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 | ||||||||
Convertible Senior Notes | $ 8.7438 | 01/10/2017 | 08/01/2018 | P | $ 650,000 | 01/13/2017(1) | 08/01/2018 | Common Stock | 74,338 | $ 607,993.75 (2) | $ 11,810,000 | I | See footnotes (3) (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oasis Management Co Ltd. 21/F MAN YEE BUILDING 68 DES VOEUX ROAD CENTRAL CENTRAL, K3 00000 |
X | |||
Oasis Investments II Master Fund Ltd. UGLAND HOUSE PO BOX 309 GRAND CAYMAN, E9 KY1-1104 |
X | |||
Fischer Seth C/O OASIS MANAGEMENT (HONG KONG) LLC 21/F MAN YEE BUILDING, 68 DES VOEUX ROAD CENTRAL, K3 0 |
X |
/s/ Oasis Management Company Ltd., By: Phillip Meyer, its General Counsel | 01/12/2017 | |
**Signature of Reporting Person | Date | |
/s/ Oasis Investments II Master Fund Ltd., By: Phillip Meyer, its Director | 01/12/2017 | |
**Signature of Reporting Person | Date | |
/s/ Seth Fischer | 01/12/2017 | |
**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 trade reported on this line is expected to settle on January 13, 2017. |
(2) | Includes $12,431.25 of accrued and unpaid interest. |
(3) | The securities to which this filing relates are held directly by Oasis Investments II Master Fund Ltd., a Cayman Islands exempted company (the "Oasis II Fund"). Oasis Management Company Ltd., a Cayman Islands exempted company (the "Investment Manager"), is the investment manager of Oasis II Fund. Seth Fischer, is responsible for the supervision and conduct of all investment activities of the Investment Manager, including all investment decisions with respect to the assets of the Oasis II Fund. |
(4) | The filing of this statement shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. |