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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 | ||||||||
Perpetual Convertible Preferred Stock, Series C | $ 25 (1) | 06/10/2008 | S | 300,000 | (2) | (2) | Common Stock | 12,000,000 | $ 1,596.95 (3) | 0 | I | See footnote (4) | |||
Perpetual Convertible Preferred Stock, Series D-1 | $ 30 (1) | 06/10/2008 | S | 100,000 | (2) | (2) | Common Stock | 3,333,333 | $ 1,330.79 (3) | 0 | I | See footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
APOLLO INVESTMENT FUND IV LP ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
APOLLO OVERSEAS PARTNERS IV LP ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
APOLLO MANAGEMENT IV LP ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
APOLLO ADVISORS IV LP ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
Apollo Management, L.P. ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
Apollo Management GP, LLC ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
Apollo Principal Holdings I, L.P. ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X | |||
Apollo Principal Holdings I GP, LLC ONE MANHATTANVILLE ROAD, SUITE 201 PURCHASE, NY 10577 |
X |
[see signatures attached as Exhibit 99.2] | 06/12/2008 | |
**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) | The conversion price of each of the Perpetual Convertible Preferred Stock, Series C (the "Series C Preferred") and the Perpetual Convertible Preferred Stock, Series D-1(the "Series D-1 Preferred") is based upon an initial liquidation preference of $1000 per share. |
(2) | The Series C Preferred and the Series D-1 Preferred were convertible into common stock at any time and had no expiration date. |
(3) | See Exhibit 99.1 |
(4) | See Exhibit 99.1 |