UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RED MOUNTAIN CAPITAL PARTNERS LLC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
RED MOUNTAIN PARTNERS, L.P. 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
RMCP GP LLC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
RED MOUNTAIN INVESTORS I LLC - SERIES A 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
RMCP MANAGER LLC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
RED MOUNTAIN CAPITAL MANAGEMENT INC 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
MESDAG WILLEM 10100 SANTA MONICA BOULEVARD SUITE 925 LOS ANGELES, CA 90067 |
 |  X |  |  |
Willem Mesdag (on behalf of himself and each of the reporting persons hereunder) | 12/23/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 2,124,267 of these shares are held directly by Red Mountain Partners, L.P. ("RMP"), and 852,658 of these shares are held directly by Red Mountain Investors I LLC - Series A ("RMI Series A"). |
 Remarks: This Form 3 is jointly filed by (i) RMP, (ii) RMCP GP LLC ("RMCP GP"), (iii) RMI Series A, (iv) RMCP Manager LLC ("RMCP Manager"), (v) Red Mountain Capital Partners LLC ("RMCP"), (vi) Red Mountain Capital Management, Inc. ("RMCM") and (vii) Willem Mesdag. RMCP GP is the general partner of RMP. RMCP Manager is the managing member of RMI Series A. RMCP LLC is the managing member of RMCP GP and the sole member of RMCP Manager. RMCM is the managing member of RMCP LLC. Willem Mesdag is the president, sole executive officer, sole director and sole shareholder of RMCM. Each of RMCP, RMCP GP, RMCM and Mr. Mesdag by virtue of their direct or indirect control of RMP may be deemed to beneficially own some or all of the securities reported as being held directly by RMP in Footnote 1 above, and each of RMCP, RMCP Manager, RMCM and Mr. Mesdag by virtue of their direct or indirect control of RMI Series A may be deemed to beneficially own some or all of the securities reported as being held directly by RMI Series A in Footnote 1 above. Each of the reporting persons hereunder disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein. This Form 3 shall not be deemed to be an admission that any reporting person hereunder is the beneficial owner of any of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |