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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 | ||||||||
4.875% Convertible Senior Notes due 2020 (1) | (7) | 04/27/2016 | P | 1,500,000 | (7) | 06/01/2020 | Common Stock | 155,642 | $ 95.25 | $ 4,400,000 | I | See footnotes 2,3 (2) (3) | |||
4.875% Convertible Senior Notes due 2020 (1) | (7) | 05/06/2016 | P | 1,003,000 | (7) | 06/01/2020 | Common Stock | 104,073 | $ 93.3618 | $ 5,403,000 | I | See footnotes 2,3 (2) (3) | |||
4.875% Convertible Senior Notes due 2020 (1) | (7) | 05/11/2016 | P | 893,000 | (7) | 06/01/2020 | Common Stock | 92,659 | $ 93.1957 | $ 6,296,000 | I | See footnotes 2,3 (2) (3) | |||
4.875% Convertible Senior Notes due 2020 (1) | (7) | 05/13/2016 | P | 1,488,000 | (7) | 06/01/2020 | Common Stock | 154,397 | $ 92.982 | $ 7,784,000 | I | See footnotes 2,3 (2) (3) | |||
4.875% Convertible Senior Notes due 2020 (1) | (7) | 06/09/2016 | P | 690,000 | (7) | 06/01/2020 | Common Stock | 71,595 | $ 98.3131 | $ 8,474,000 | I | See footnotes 2,3 (2) (3) | |||
4.25% Convertible Senior Notes due 2018 (1) | (8) | 06/15/2016 | P | 5,250,000 | (8) | 08/01/2018 | Common Stock | 600,429 | $ 106.1887 | $ 22,590,000 | I | See footnotes 2,3 (2) (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pine River Capital Management L.P. 601 CARLSON PARKWAY 7TH FLOOR MINNETONKA, MN 55305 |
X | |||
Pine River MASTER FUND LTD. C/O PINE RIVER CAPITAL MANAGEMENT L.P. 601 CARLSON PARKWAY, 7TH FLOOR MINNETONKA, MN 55305 |
X | |||
TAYLOR BRIAN C/O PINE RIVER CAPITAL MANAGEMENT 601 CARLSON PARKWAY, 7TH FLOOR MINNETONKA, MN 55305 |
X | |||
Pine River Capital Management LLC 601 CARLSON PARKWAY, 7TH FLOOR MINNETONKA, MN 55305 |
X |
Pine River Capital Management L.P., By: Pine River Capital Management LLC, General Partner, By: Brian Taylor, Managing Member | 09/21/2016 | |
**Signature of Reporting Person | Date | |
Pine River Capital Management LLC, By: Brian Taylor, Managing Member | 09/21/2016 | |
**Signature of Reporting Person | Date | |
Pine River Master Fund Ltd., By: Brian Taylor, Director | 09/21/2016 | |
**Signature of Reporting Person | Date | |
Brian Taylor | 09/21/2016 | |
**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 Reporting Persons understand that the transactions reported herein may arguably be deemed to create profits subject to disgorgement under Section 16(b) of the Exchange Act. The Reporting Persons have paid to the Issuer the full amount of such profits to the extent of their pecuniary interest therein. |
(2) | These securities are held directly by Pine River Master Fund Ltd. (the "Master Fund"), for which Pine River Capital Management L.P. (the "Partnership")is the Investment Manager. Mr. Taylor is the sole member of Pine River Capital Management LLC, the general partner of the Partnership. |
(3) | Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, other than to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
(4) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.27 to $7.45, inclusive. The Reporting Persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (4) through (6) to this Form 4. |
(5) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.14 to $7.23, inclusive. |
(6) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.18 to $7.28, inclusive. |
(7) | The 4.875% Convertible Senior Notes due 2020 are convertible into shares of the issuer's Common Stock ("Common Stock") at any time, at an initial conversion rate of 103.7613 shares of Common Stock per $1,000 principal amount of notes, equivalent to an initial conversion price of approximately $9.64 per share of Common Stock, subject to adjustment in certain events. |
(8) | The 4.25% Convertible Senior Notes due 2018 are convertible into shares of Common Stock at any time, at an initial conversion rate of 114.3674 shares of Common Stock per $1,000 principal amount of notes, equivalent to an initial conversion price of approximately $8.74 per share of Common Stock, subject to adjustment in certain events. |