|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
6.25% Series A Preferred Stock | (2) | 05/03/2010 | J | 1,162,737 | (2) | (2) | Class A Common Stock | 2,837,078.28 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 0.9 | 05/03/2010 | J/K | 100,000 | 10/13/2009 | 02/22/2011 | Class A Common Stock | 100,000 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.515 | 05/03/2010 | J/K | 65,700 | 10/19/2009 | 02/22/2011 | Class A Common Stock | 65,700 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.437 | 05/03/2010 | J/K | 101,100 | 10/21/2009 | 02/22/2011 | Class A Common Stock | 101,100 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.465 | 05/03/2010 | J/K | 54,400 | 10/22/2009 | 02/22/2011 | Class A Common Stock | 54,400 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.513 | 05/03/2010 | J/K | 23,800 | 10/23/2009 | 02/22/2011 | Class A Common Stock | 23,800 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.544 | 05/03/2010 | J/K | 69,300 | 10/26/2009 | 02/22/2011 | Class A Common Stock | 69,300 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.412 | 05/03/2010 | J/K | 54,900 | 10/27/2009 | 02/22/2011 | Class A Common Stock | 54,900 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.192 | 05/03/2010 | J/K | 51,600 | 10/28/2009 | 02/22/2011 | Class A Common Stock | 51,600 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.187 | 05/03/2010 | J/K | 7,800 | 11/03/2009 | 02/22/2011 | Class A Common Stock | 7,800 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.291 | 05/03/2010 | J/K | 81,560 | 11/04/2009 | 02/22/2011 | Class A Common Stock | 81,560 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.321 | 05/03/2010 | J/K | 47,900 | 11/05/2009 | 02/22/2011 | Class A Common Stock | 47,900 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.341 | 05/03/2010 | J/K | 20,300 | 11/06/2009 | 02/22/2011 | Class A Common Stock | 20,300 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.286 | 05/03/2010 | J/K | 31,200 | 11/09/2009 | 02/22/2011 | Class A Common Stock | 31,200 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.05 | 05/03/2010 | J/K | 13,500 | 11/11/2009 | 02/22/2011 | Class A Common Stock | 13,500 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.05 | 05/03/2010 | J/K | 7,200 | 11/12/2009 | 02/22/2011 | Class A Common Stock | 7,200 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.1 | 05/03/2010 | J/K | 51,700 | 11/13/2009 | 02/22/2011 | Class A Common Stock | 51,700 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.099 | 05/03/2010 | J/K | 6,700 | 11/16/2009 | 02/22/2011 | Class A Common Stock | 6,700 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.165 | 05/03/2010 | J/K | 41,200 | 12/04/2009 | 02/22/2011 | Class A Common Stock | 41,200 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.305 | 05/03/2010 | J/K | 95,700 | 12/07/2009 | 02/22/2011 | Class A Common Stock | 95,700 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.245 | 05/03/2010 | J/K | 8,329 | 12/09/2009 | 02/22/2011 | Class A Common Stock | 8,329 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.246 | 05/03/2010 | J/K | 7,453 | 12/10/2009 | 02/22/2011 | Class A Common Stock | 7,453 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.279 | 05/03/2010 | J/K | 12,548 | 12/11/2009 | 02/22/2011 | Class A Common Stock | 12,548 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.215 | 05/03/2010 | J/K | 17,900 | 12/21/2009 | 02/22/2011 | Class A Common Stock | 17,900 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.188 | 05/03/2010 | J/K | 15,500 | 12/22/2009 | 02/22/2011 | Class A Common Stock | 15,500 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.178 | 05/03/2010 | J/K | 5,000 | 12/23/2009 | 02/22/2011 | Class A Common Stock | 5,000 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.196 | 05/03/2010 | J/K | 5,000 | 12/24/2009 | 02/22/2011 | Class A Common Stock | 5,000 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.14 | 05/03/2010 | J/K | 38,808 | 01/21/2010 | 02/25/2011 | Class A Common Stock | 38,808 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.164 | 05/03/2010 | J/K | 103,583 | 01/22/2010 | 02/25/2011 | Class A Common Stock | 103,583 | (1) | 0 | D | ||||
Cash-Settled Equity Swap (3) | $ 1.16 | 05/03/2010 | J/K | 30,549 | 01/25/2010 | 03/02/2011 | Class A Common Stock | 30,549 | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ALDEN GLOBAL DISTRESSED OPPORTUNITIES FUND LP C/O ALDEN GLOBAL CAPITAL 885 THIRD AVENUE NEW YORK, NY 10022 |
X | |||
AGDOF SLP, LLC C/O ALDEN GLOBAL CAPITAL 885 THIRD AVENUE NEW YORK, NY 10022 |
X | |||
SMITH RANDALL D C/O ALDEN GLOBAL CAPITAL 885 THIRD AVENUE NEW YORK, NY 10022 |
X |
/s/ Jim Plohg, Authorized Signatory, Alden Global Distressed Opportunities Fund, LP | 05/24/2010 | |
**Signature of Reporting Person | Date | |
/s/ Jim Plohg, Vice President, AGDOF SLP, LLC (f/k/a Alden Global Distressed Opportunities Fund GP, LLC) | 05/24/2010 | |
**Signature of Reporting Person | Date | |
/s/ Randall D. Smith | 05/24/2010 | |
**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) | As a result of an internal reorganization of Alden Global's fund entities, securities previously held directly by Alden Global Distressed Opportunities Fund, LP are now held by Alden Global Distressed Opportunities Master Fund, L.P., of which Alden Global Distressed Opportunities Fund, LP is a limited partner. This transaction resulted in no change to the aggregate number of securities owned by Alden Global fund entities. |
(2) | The convertible preferred stock is convertible at any time, at the holder's election and has no expiration date. As disclosed in the Issuer's Annual Report on Form 10-K for the fiscal year ended February 28, 2010, each share of convertible preferred stock is convertible into a number of shares of common stock which is determined by dividing the liquidation preference of the shares of preferred stock ($50.00 per share) by the conversion price. The conversion price is $20.495, which results in a conversion ratio of 2.44 shares of common stock per share of preferred stock. |
(3) | Swaps are not counted for purposes of determining 10% beneficial ownership. These contracts do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer. Accordingly, the Reporting Persons disclaim any beneficial ownership in securities that may be referenced in such contracts or that may be held from time to time by any counterparties to the contracts. |
Remarks: Form 1 of 2 |