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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 | $ 10 | 01/07/2008 | 01/06/2018 | Common Stock | 0 | 6,096,026 (1) | D | ||||||||
Warrants | $ 10 | 01/07/2008 | 01/06/2018 | Common Stock | 0 | 6,096,026 (2) | I | By Harbinger Capital Partners Master Fund I, Ltd. | |||||||
Series 1-A Warrants | $ 4.2 (7) | 04/09/2008 | P | 175,975 | 06/04/1999 | 06/04/2009 | Common Stock | 489,534 | $ 100,000 (8) | 175,975 (1) | D | ||||
Series 1-A Warrants | $ 4.2 (7) | 04/09/2008 | P | 0 | 06/04/1999 | 06/04/2009 | Common Stock | 0 | $ 0 | 175,975 (2) | I | By Harbinger Capital Partners Master Fund I, Ltd. | |||
Series 2-A Warrants | $ 7 | 04/09/2008 | P | 7,357,525 | 06/04/1999 | 06/04/2009 | Common Stock | 1,920,137 | $ 100,000 (8) | 7,357,525 (1) | D | ||||
Series 2-A Warrants | $ 7 | 04/09/2008 | P | 0 | 06/04/1999 | 06/04/2009 | Common Stock | 0 | $ 0 | 7,357,525 (2) | I | By Harbinger Capital Partners Master Fund I, Ltd. | |||
Warrants | $ 10 | 01/07/2008 | 01/06/2018 | Common Stock | 0 | 3,048,012 (4) | D | ||||||||
Warrants | $ 10 | 01/07/2008 | 01/06/2018 | Common Stock | 0 | 3,048,012 (5) | I | By Harbinger Capital Partners Special Situations Fund, L.P. | |||||||
Series 1-A Warrants | $ 4.2 (7) | 04/09/2008 | P | 58,658 | 06/04/1999 | 06/04/2009 | Common Stock | 163,177 | $ 100,000 (8) | 58,658 (4) | D | ||||
Series 1-A Warrants | $ 4.2 (7) | 04/09/2008 | P | 0 | 06/04/1999 | 06/04/2009 | Common Stock | 0 | $ 0 | 58,658 (5) | I | By Harbinger Capital Partners Special Situations Fund, L.P. | |||
Series 2-A Warrants | $ 7 | 04/09/2008 | P | 2,452,508 | 06/04/1999 | 06/04/2009 | Common Stock | 640,045 | $ 100,000 (8) | 2,452,508 (4) | D | ||||
Series 2-A Warrants | $ 7 | 04/09/2008 | P | 0 | 06/04/1999 | 06/04/2009 | Common Stock | 0 | $ 0 | 2,452,508 (5) | I | By Harbinger Capital Partners Special Situations Fund, L.P. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD. C/O INTERNATIONAL FUND SERVICES LIMITED THIRD FL, BISHOP'S SQUARE REDMOND'S HILL DUBLIN, L2 00000 |
X | |||
HARBINGER CAPITAL PARTNERS OFFSHORE MANAGER, L.L.C. ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM, AL 35244 |
X | |||
HMC INVESTORS, L.L.C. ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM, AL 35244 |
X | |||
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. 555 MADISON AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS GP, LLC 555 MADISON AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
HMC - NEW YORK, INC. 555 MADISON AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
HARBERT MANAGEMENT CORP ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM, AL 35244 |
X | |||
FALCONE PHILIP 555 MADISON AVE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
HARBERT RAYMOND J ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM, AL 35244 |
X | |||
LUCE MICHAEL D ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM, AL 35244 |
X |
Harbinger Capital Partners Master Fund I, Ltd., By: Harbinger Capital Partners Offshore Manager, L.L.C., By: HMC Investors, L.L.C., Managing Member, By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
Harbinger Capital Partners Offshore Manager, L.L.C., By: HMC Investors, L.L.C., Managing Member, By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
HMC Investors, L.L.C., By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
Harbinger Capital Partners Special Situations Fund, L.P., By: Harbinger Capital Partners Special Situations GP, LLC, By: HMC-New York, Inc., Managing Member, By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
Harbinger Capital Partners Special Situations GP, LLC, By: HMC-New York, Inc., Managing Member, By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
HMC-New York, Inc., By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
Harbert Management Corporation, By: /s/ William R. Lucas, Jr. | 04/11/2008 | |
**Signature of Reporting Person | Date | |
/s/ Philip Falcone | 04/11/2008 | |
**Signature of Reporting Person | Date | |
/s/ Raymond J. Harbert | 04/11/2008 | |
**Signature of Reporting Person | Date | |
/s/ Michael D. Luce | 04/11/2008 | |
**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) | These securities are owned by Harbinger Capital Partners Master Fund I, Ltd. (the "Master Fund"), which is a Reporting Person. |
(2) | These securities may be deemed to be beneficially owned by Harbinger Capital Partners Offshore Manager, L.L.C. ("Harbinger Management"), the investment manager of the Master Fund, HMC Investors, L.L.C., its managing member ("HMC Investors"), Harbert Management Corporation ("HMC"), Philip Falcone, a shareholder of HMC and the portfolio manager of the Master Fund, Raymond J. Harbert, a shareholder of HMC, and Michael D. Luce, a shareholder of HMC. Each such Reporting Person disclaims beneficial ownership of the reported securities except 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 the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(3) | These securities are owned by Harbinger Capital Partners Fund I, L.P. (the "Onshore Fund"). These securities may be deemed to be beneficially owned by Harbinger Capital Partners GP, LLC ("Harbinger Capital GP"), the general partner of the Onshore Fund, HMC-New York, Inc. ("HMCNY"), the managing member of Harbinger Capital GP, HMC, Philip Falcone, a shareholder of HMC and the portfolio manager of the Onshore Fund, Raymond J. Harbert, a shareholder of HMC, and Michael D. Luce, a shareholder of HMC. Each such Reporting Person disclaims beneficial ownership of the reported securities except 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 the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(4) | These securities are owned by Harbinger Capital Partners Special Situations Fund, L.P. (the "Special Situations Fund"), which is a Reporting Person. |
(5) | These securities may be deemed to be beneficially owned by HMC, Philip Falcone, Raymond J. Harbert and Michael Luce. HMC wholly owns the managing member of the Special Situations Fund's general partner. Philip Falcone is the portfolio manager of the Special Situations Fund and is a shareholder of HMC. Raymond J. Harbert and Michael D. Luce are shareholders of HMC. Each such Reporting Person disclaims beneficial ownership of the reported securities except 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 the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(6) | This amount does not include 442,825 shares held by the Master Fund and the Special Situations Fund that were placed in escrow and may only be transferred, delivered or registered in accordance with the Escrow Agreement and Securities Purchase Agreement (as defined and described in the Schedule 13D/A filed by the Reporting Persons on April 9, 2008). |
(7) | The exercise price of the Series 1-A Warrants reported above may vary and is subject to adjustment upon the occurrence of certain events as set forth in the warrant. |
(8) | The Series 1-A Warrants and Series 2-A Warrants were purchased by the Master Fund and the Special Situations Fund pursuant to the Securities Purchase Agreement for an aggregate price of $100,000. |