organization · Reporting owner
WHITEBOX ADVISORS LLC
Disclosed activity across 11 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| A. M. Castle & Co.CTAM · Entity 144324 | 10% owner | March 27, 2020 | March 31, 2020 |
| Alpha Metallurgical Resources, Inc.CTRA · Entity 4251 | 10% owner | September 19, 2019 | September 20, 2019 |
| Garrett Motion Inc.GTXMQ · Entity 1720 | Member of 10% owner group | October 20, 2020 | October 30, 2020 |
| HORNBECK OFFSHORE SERVICES, INC.HOS · Entity 705 | 10% owner | September 01, 2026 | September 11, 2026 |
| KLX Energy Services Holdings, Inc.KLXE · Entity 7414 | 10% owner | September 29, 2026 | October 09, 2026 |
| SAExploration Holdings, Inc.SAEX · Entity 147534 | 10% owner | July 28, 2020 | July 30, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
A. M. Castle & Co.
Report date March 27, 2020 · Filed March 31, 2020
Jointly reported with WHITEBOX GENERAL PARTNER LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 21,346,747 |
Reported balance
After 2020-03-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-27 · Other · Acquired 20,945,875 · Balance 21,346,747 F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F5: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds. F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 20,610,221 |
Reported balance
After 2020-03-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-03-27 · Other · Acquired 20,229,264 · Balance 20,610,221 F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F6: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds. F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. |
| 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022SEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-03-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-03-27 · Other · Disposed Not disclosed · Balance 0 F1: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F5: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds. F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. |
| 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022SEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-03-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-03-27 · Other · Disposed Not disclosed · Balance 0 F1: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F6: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds. F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. |
| 3.00% / 5.00% Convertible Senior Secured Notes due 2024SEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
After 2020-03-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-03-27 · Other · Acquired Not disclosed · Balance Not disclosed F1: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F4: Upon conversion of the New Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock. F5: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds. F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. |
| 3.00% / 5.00% Convertible Senior Secured Notes due 2024SEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
After 2020-03-27 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-03-27 · Other · Acquired Not disclosed · Balance Not disclosed F1: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F4: Upon conversion of the New Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock. F6: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds. F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act").
F2: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon.
F3: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances).
F4: Upon conversion of the New Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock.
F5: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds.
F6: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds.
F7: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose.
Alpha Metallurgical Resources, Inc.
Report date September 19, 2019 · Filed September 20, 2019
Jointly reported with WHITEBOX GENERAL PARTNER LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par valueSEC Table I · non-derivative | IndirectSee Footnotes | 1,784,025 |
Reported balance
After 2019-09-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-19 · Sale · Disposed 500,000 · Balance 1,784,025 F1: These securities were sold to Contura Energy, Inc. (the "Issuer") pursuant to a common stock repurchase agreement entered into with the Issuer. F2: These securities are directly beneficially owned by certain private investment funds (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F3: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities were sold to Contura Energy, Inc. (the "Issuer") pursuant to a common stock repurchase agreement entered into with the Issuer.
F2: These securities are directly beneficially owned by certain private investment funds (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds.
F3: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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.
Garrett Motion Inc.
Report date October 20, 2020 · Filed October 30, 2020
Jointly reported with WHITEBOX GENERAL PARTNER LLC, Whitebox Multi-Strategy Partners LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | IndirectSee Footnotes | 750,000 |
Reported balance
Holding disclosure · report date 2020-10-20 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 750,000 F1: Includes 750,000 shares of Common Stock, $0.001 par value per share ("Common Stock") directly owned by Whitebox Multi-Strategy Partners, L.P. ("WMP") and that may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of WMP and Whitebox General Partner LLC by virtue of its role as the general partner of WMP. The Reporting Persons with certain other parties may be deemed to constitute a group for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Reference is made to the Schedule 13D filed with the Securities and Exchange Commission by the Reporting Persons on October 30, 2020. F2: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act or for any other purpose. This filing should not be construed to be an admission that any of the Reporting Persons are members of a "group" for the purposes of Sections 13(d) of the Exchange Act. |
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | Direct | 750,000 |
Reported balance
Holding disclosure · report date 2020-10-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 750,000 F3: These securities are directly beneficially owned by WMP. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 750,000 shares of Common Stock, $0.001 par value per share ("Common Stock") directly owned by Whitebox Multi-Strategy Partners, L.P. ("WMP") and that may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of WMP and Whitebox General Partner LLC by virtue of its role as the general partner of WMP. The Reporting Persons with certain other parties may be deemed to constitute a group for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Reference is made to the Schedule 13D filed with the Securities and Exchange Commission by the Reporting Persons on October 30, 2020.
F2: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act or for any other purpose. This filing should not be construed to be an admission that any of the Reporting Persons are members of a "group" for the purposes of Sections 13(d) of the Exchange Act.
F3: These securities are directly beneficially owned by WMP.
HORNBECK OFFSHORE SERVICES, INC.
Report date September 01, 2026 · Filed September 11, 2026
Jointly reported with WHITEBOX GENERAL PARTNER LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 8,239,303 |
Reported balance
Holding disclosure · report date 2026-09-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 8,239,303 F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. |
| Warrants (right to buy)SEC Table II · derivative / convertible security | IndirectSee Footnotes | Not disclosed |
Reported balance
Holding disclosure · report date 2026-09-01 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F6: The exercise price of these warrants is $0.00001 per share. F3: These warrants (the "Jones Act Warrants") are immediately exercisable, subject to certain restrictions on ownership of the Issuer's capital stock by non-U.S. citizens, including a beneficial ownership limitation (the "Beneficial Ownership Limitation") that prevents any holder that cannot establish to the Issuer's reasonable satisfaction that it is a "U.S. Citizen" within the meaning of the U.S. citizenship and cabotage laws commonly referred to as the "Jones Act" (principally 46 U.S.C. Section 50501(a), (b), and (d) and 46 U.S.C. Chapters 121 and 551) from exercising the Jones Act Warrants to the extent that, after giving effect to the issuance of shares of Common Stock upon such exercise, the holder would beneficially own more than 4.9% of the shares of Common Stock outstanding. F4: These warrants have no expiration date. F5: The Private Funds own an aggregate 2,885,061 Jones Act Warrants, each exercisable for 10.27167 shares of Common Stock, without giving effect to the Beneficial Ownership Limitation. Based solely on the application of the Beneficial Ownership Limitation to each Private Fund individually, and based on 222,166,587 shares of Common Stock outstanding as of September 9, 2026, provided by the Issuer, the Jones Act Warrants held by the Private Funds would be exercisable for up to an aggregate 21,435,064 shares of Common Stock. F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds.
F2: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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.
F3: These warrants (the "Jones Act Warrants") are immediately exercisable, subject to certain restrictions on ownership of the Issuer's capital stock by non-U.S. citizens, including a beneficial ownership limitation (the "Beneficial Ownership Limitation") that prevents any holder that cannot establish to the Issuer's reasonable satisfaction that it is a "U.S. Citizen" within the meaning of the U.S. citizenship and cabotage laws commonly referred to as the "Jones Act" (principally 46 U.S.C. Section 50501(a), (b), and (d) and 46 U.S.C. Chapters 121 and 551) from exercising the Jones Act Warrants to the extent that, after giving effect to the issuance of shares of Common Stock upon such exercise, the holder would beneficially own more than 4.9% of the shares of Common Stock outstanding.
F4: These warrants have no expiration date.
F5: The Private Funds own an aggregate 2,885,061 Jones Act Warrants, each exercisable for 10.27167 shares of Common Stock, without giving effect to the Beneficial Ownership Limitation. Based solely on the application of the Beneficial Ownership Limitation to each Private Fund individually, and based on 222,166,587 shares of Common Stock outstanding as of September 9, 2026, provided by the Issuer, the Jones Act Warrants held by the Private Funds would be exercisable for up to an aggregate 21,435,064 shares of Common Stock.
F6: The exercise price of these warrants is $0.00001 per share.
KLX Energy Services Holdings, Inc.
Report date September 29, 2026 · Filed October 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 13,055,633 |
Reported balance
Holding disclosure · report date 2026-09-29 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 13,055,633 F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds. F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds.
F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the 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.
SAExploration Holdings, Inc.
Report date July 28, 2020 · Filed July 30, 2020
Jointly reported with WHITEBOX GENERAL PARTNER LLC, Whitebox Multi-Strategy Partners LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | IndirectSee Footnote | 2,336,520 |
Last balance in matching sequence
After 2020-07-28 transaction · row 14
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
8 source rowsRow 1 · 2020-07-28 · Other · Acquired 122,299 · Balance 282,779 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 2 · 2020-07-28 · Other · Disposed 13 · Balance 282,766 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 5 · 2020-07-28 · Other · Acquired 249,889 · Balance 532,655 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 6 · 2020-07-28 · Other · Disposed 25 · Balance 532,630 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 9 · 2020-07-28 · Other · Acquired 1,461,688 · Balance 1,994,318 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 10 · 2020-07-28 · Other · Disposed 135 · Balance 1,994,183 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 13 · 2020-07-28 · Other · Acquired 342,369 · Balance 2,336,552 F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Row 14 · 2020-07-28 · Other · Disposed 32 · Balance 2,336,520 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 1,431,072 |
Last balance in matching sequence
After 2020-07-28 transaction · row 16
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
8 source rowsRow 3 · 2020-07-28 · Other · Acquired 72,921 · Balance 171,016 F2: These securities are directly beneficially owned by WMP. Row 4 · 2020-07-28 · Other · Disposed 7 · Balance 171,009 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. Row 7 · 2020-07-28 · Other · Acquired 148,995 · Balance 320,004 F2: These securities are directly beneficially owned by WMP. Row 8 · 2020-07-28 · Other · Disposed 14 · Balance 319,990 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. Row 11 · 2020-07-28 · Other · Acquired 871,354 · Balance 1,191,344 F2: These securities are directly beneficially owned by WMP. Row 12 · 2020-07-28 · Other · Disposed 80 · Balance 1,191,264 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. Row 15 · 2020-07-28 · Other · Acquired 239,830 · Balance 1,431,094 F2: These securities are directly beneficially owned by WMP. Row 16 · 2020-07-28 · Other · Disposed 22 · Balance 1,431,072 F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2: These securities are directly beneficially owned by WMP. |
| Series C WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-07-28 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2020-07-28 · Other · Disposed 2,446,026 · Balance 0 F4: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
| Series C WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2020-07-28 · Other · Disposed 1,458,434 · Balance 0 F4: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F2: These securities are directly beneficially owned by WMP. |
| Series D WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-07-28 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2020-07-28 · Other · Disposed 4,997,800 · Balance 0 F5: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
| Series D WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2020-07-28 · Other · Disposed 2,979,904 · Balance 0 F5: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F2: These securities are directly beneficially owned by WMP. |
| Series E WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-07-28 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2020-07-28 · Other · Disposed 29,233,812 · Balance 0 F6: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
| Series E WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2020-07-28 · Other · Disposed 17,427,095 · Balance 0 F6: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F2: These securities are directly beneficially owned by WMP. |
| Series F WarrantsSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-07-28 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2020-07-28 · Other · Disposed 342,369 · Balance 0 F7: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
| Series F WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2020-07-28 · Other · Disposed 239,830 · Balance 0 F7: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F2: These securities are directly beneficially owned by WMP. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
F2: These securities are directly beneficially owned by WMP.
F3: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons.
F4: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split").
F5: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split.
F6: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split.
F7: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference.
Past disclosures · reporting ended (5)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CIVITAS RESOURCES, INC.
Report date November 15, 2017 · Filed November 17, 2017
Jointly reported with WHITEBOX GENERAL PARTNER LLC
Section 16 reporting ended · disclosed 2017-11-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.01 par value per shareSEC Table I · non-derivative | IndirectSee Footnotes | 1,820,588 |
Last balance in matching sequence
After 2017-11-17 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2017-11-15 · Sale · Disposed 300,000 · Balance 2,020,588 F1: The Common Stock, $0.01 par value per share is directly owned by the following entities: Whitebox Asymmetric Partners, L.P.; Whitebox Relative Value Partners, L.P.; Whitebox Multi-Strategy Partners, L.P.; Whitebox Credit Partners, L.P.; Whitebox GT Fund, L.P.; Pandora Select Partners, L.P.; Whitebox Institutional Partners, L.P. (together, the "Private Funds"). The Common Stock may also be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of their 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. Row 2 · 2017-11-16 · Sale · Disposed 100,000 · Balance 1,920,588 F1: The Common Stock, $0.01 par value per share is directly owned by the following entities: Whitebox Asymmetric Partners, L.P.; Whitebox Relative Value Partners, L.P.; Whitebox Multi-Strategy Partners, L.P.; Whitebox Credit Partners, L.P.; Whitebox GT Fund, L.P.; Pandora Select Partners, L.P.; Whitebox Institutional Partners, L.P. (together, the "Private Funds"). The Common Stock may also be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of their 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. Row 3 · 2017-11-17 · Sale · Disposed 100,000 · Balance 1,820,588 F1: The Common Stock, $0.01 par value per share is directly owned by the following entities: Whitebox Asymmetric Partners, L.P.; Whitebox Relative Value Partners, L.P.; Whitebox Multi-Strategy Partners, L.P.; Whitebox Credit Partners, L.P.; Whitebox GT Fund, L.P.; Pandora Select Partners, L.P.; Whitebox Institutional Partners, L.P. (together, the "Private Funds"). The Common Stock may also be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of their 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The Common Stock, $0.01 par value per share is directly owned by the following entities: Whitebox Asymmetric Partners, L.P.; Whitebox Relative Value Partners, L.P.; Whitebox Multi-Strategy Partners, L.P.; Whitebox Credit Partners, L.P.; Whitebox GT Fund, L.P.; Pandora Select Partners, L.P.; Whitebox Institutional Partners, L.P. (together, the "Private Funds"). The Common Stock may also be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds.
F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of their 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.
HYCROFT MINING HOLDING CORP
Report date March 08, 2022 · Filed March 10, 2022
Jointly reported with WHITEBOX GENERAL PARTNER LLC
Section 16 reporting ended · disclosed 2022-03-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, $0.0001 par valueSEC Table I · non-derivative | IndirectSee Footnotes | 735,117 |
Reported balance
After 2022-03-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-03-08 · Sale · Disposed 7,817,401 · Balance 735,117 F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-05-29 | IndirectSee Footnotes | 0 |
Reported balance
After 2022-03-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-08 · Sale · Disposed 137,252 · Balance 0 F3: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds.
F2: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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.
F3: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer.
F4: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference.
PAR PACIFIC HOLDINGS, INC.
Report date October 30, 2015 · Filed October 20, 2017 · Amendment
Jointly reported with WHITEBOX GENERAL PARTNER LLC
Section 16 reporting ended · disclosed 2017-10-20. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 8,419,376 |
Reported balance
After 2015-10-30 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2015-10-30 · Sale · Disposed 96,600 · Balance 8,419,376 F3: The original Form filed erroneously reported the disposition of 96,000 shares of Common Stock of the Issuer. F1: These securities are directly owned by Whitebox Asymmetric Partners, L.P. ("WAP"), Whitebox Multi-Strategy Partners, L.P. ("WMSP"), Whitebox Credit Partners, L.P. (f/k/a Whitebox Credit Arbitrage Partners, L.P.) ("WCRAP"), Whitebox Relative Value Partners, L.P. (f/k/a Whitebox Concentrated Convertible Arbitrage Partners, L.P.) ("WCCAP"), Pandora Select Partners, L.P. ("PSP"), Whitebox Special Opportunities Fund, L.P. - Series O ("WSOF"), Whitebox Institutional Partners, L.P. ("WIP") (together, the "Private Funds") and Whitebox Tactical Opportunities Fund ("WTOF" and together with the Private Funds, the "Whitebox Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC ("WA") by virtue of its role as the investment manager of the Whitebox Funds, and (b) Whitebox General Partner LLC ("WGP") by virtue of its role as the general partner of the Private Funds.. F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of their 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly owned by Whitebox Asymmetric Partners, L.P. ("WAP"), Whitebox Multi-Strategy Partners, L.P. ("WMSP"), Whitebox Credit Partners, L.P. (f/k/a Whitebox Credit Arbitrage Partners, L.P.) ("WCRAP"), Whitebox Relative Value Partners, L.P. (f/k/a Whitebox Concentrated Convertible Arbitrage Partners, L.P.) ("WCCAP"), Pandora Select Partners, L.P. ("PSP"), Whitebox Special Opportunities Fund, L.P. - Series O ("WSOF"), Whitebox Institutional Partners, L.P. ("WIP") (together, the "Private Funds") and Whitebox Tactical Opportunities Fund ("WTOF" and together with the Private Funds, the "Whitebox Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC ("WA") by virtue of its role as the investment manager of the Whitebox Funds, and (b) Whitebox General Partner LLC ("WGP") by virtue of its role as the general partner of the Private Funds..
F2: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of their 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.
F3: The original Form filed erroneously reported the disposition of 96,000 shares of Common Stock of the Issuer.
PARKER DRILLING CO /DE/
Report date April 09, 2019 · Filed April 10, 2019
Jointly reported with WHITEBOX GENERAL PARTNER LLC
Section 16 reporting ended · disclosed 2019-04-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectSee Footnote | 1,415,462 |
Reported balance
After 2019-04-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-04-09 · Sale · Disposed 116,000 · Balance 1,415,462 F1: These securities are directly beneficially owned by certain private investment funds (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are directly beneficially owned by certain private investment funds (together, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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.
TETRALOGIC PHARMACEUTICALS Corp
Report date November 14, 2016 · Filed November 14, 2016
Jointly reported with WHITEBOX GENERAL PARTNER LLC, Whitebox Relative Value Partners, L.P., Whitebox Multi-Strategy Partners LP, Pandora Select Partners, L.P., Whitebox GT Fund, LP
Section 16 reporting ended · disclosed 2016-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 8% Senior Convertible Notes due 2019SEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2016-11-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-11-14 · Other · Disposed Not disclosed · Balance 0 F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes. |
| Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 3,018,260 |
Reported balance
After 2016-11-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-11-14 · Other · Acquired 3,018,260 · Balance 3,018,260 F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes. |
| 8% Senior Convertible Notes due 2024SEC Table II · derivative / convertible security · Expires 2024-06-15 | IndirectSee Footnotes | Not disclosed |
Reported balance
After 2016-11-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-11-14 · Other · Acquired Not disclosed · Balance Not disclosed F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes. F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $543,287 in aggregate principal amount of the Senior Notes for 3,018,260 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $10,260,713 in aggregate principal amount Senior Notes (the "Remaining Senior Notes").
F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock.
F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock.
F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events.
F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes.
F6: These securities are directly beneficially owned by certain private investment funds, including Whitebox Relative Value Partners, LP ("WRP") Whitebox Multi-Strategy Partners, LP ("WMP"), Pandora Select Partners, LP ("PSP"), and Whitebox GT Fund, LP ("WGT" and collectively with, WRP, WMP and PSP, the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Immediately prior to the transactions reported herein, WRP directly beneficially owned $3,528,000 of Senior Notes, WMP directly beneficially owned $6,076,000 of Senior Notes, PSP directly beneficially owned $800,000 of Senior Notes and WGT directly beneficially owned $400,000 of Senior Notes.
F7: Following the transactions reported herein, WRP directly beneficially owns 985,600 shares of Preferred Stock and $3,350,592 in aggregate principal amount of Remaining Senior Notes, WMP directly beneficially owns 1,697,422 shares of Preferred Stock and $5,770,464 in aggregate principal amount of Remaining Senior Notes, PSP directly beneficially owns 223,494 shares of Preferred Stock and $759,771 in aggregate principal amount of Remaining Senior Notes, and WGT directly beneficially owns 111,744 shares of Preferred Stock and $379,886 in aggregate principal amount of Remaining Senior Notes.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 08, 2022 Filed Mar 10, 2022 21:31 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleWarrant · Derivative | 137,252 | $0.11 Strike: $11.50 | $15,180.07 |
DisclosureSEC source: 0001567619-22-006709 · doc1.xml · derivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Class A Common Stock, $0.0001 par value · 137,252 shares Expires 2025-05-29 F3 · derivative.exercise_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.exercise_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F3 · derivative.expiration_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.expiration_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:31 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 7,817,401 | $0.92 | $7,228,750.70 |
DisclosureSEC source: 0001567619-22-006709 · doc1.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 735,117 F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| November 12, 2021 Filed Nov 13, 2021 01:00 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleWarrant · Derivative | 50,000 | $0.15 Strike: $11.50 | $7,375.00 |
DisclosureSEC source: 0001140361-21-037715 · form4.xml · derivative · entry 5 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 137,252 Underlying: Class A Common Stock, $0.0001 par value · 50,000 shares Expires 2025-05-29 F3 · derivative.exercise_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.exercise_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F3 · derivative.expiration_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.expiration_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| November 12, 2021 Filed Nov 13, 2021 01:00 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 38,299 | $1.04 | $39,922.88 |
DisclosureSEC source: 0001140361-21-037715 · form4.xml · nonDerivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,552,518 F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| November 11, 2021 Filed Nov 13, 2021 01:00 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleWarrant · Derivative | 125,000 | $0.17 Strike: $11.50 | $20,675.00 |
DisclosureSEC source: 0001140361-21-037715 · form4.xml · derivative · entry 4 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 187,252 Underlying: Class A Common Stock, $0.0001 par value · 125,000 shares Expires 2025-05-29 F3 · derivative.exercise_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.exercise_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F3 · derivative.expiration_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.expiration_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| November 11, 2021 Filed Nov 13, 2021 01:00 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 81,125 | $1.06 | $85,732.90 |
DisclosureSEC source: 0001140361-21-037715 · form4.xml · nonDerivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,590,817 F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| November 10, 2021 Filed Nov 13, 2021 01:00 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 71,375 | $1.07 | $76,542.55 |
DisclosureSEC source: 0001140361-21-037715 · form4.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,671,942 F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| September 07, 2021 Filed Sep 7, 2021 22:38 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleWarrant · Derivative | 272,822 | $0.24 Strike: $11.50 | $66,404.87 |
DisclosureSEC source: 0000905148-21-000629 · form4.xml · derivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 312,252 Underlying: Class A Common Stock, $0.0001 par value · 272,822 shares Expires 2025-05-29 F3 · derivative.exercise_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.exercise_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F3 · derivative.expiration_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.expiration_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| September 03, 2021 Filed Sep 7, 2021 22:38 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleWarrant · Derivative | 327,943 | $0.32 Strike: $11.50 | $104,449.85 |
DisclosureSEC source: 0000905148-21-000629 · form4.xml · derivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 585,074 Underlying: Class A Common Stock, $0.0001 par value · 327,943 shares Expires 2025-05-29 F3 · derivative.exercise_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.exercise_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F3 · derivative.expiration_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.expiration_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| September 02, 2021 Filed Sep 7, 2021 22:38 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 3,200,000 | $1.85 | $5,920,000.00 |
DisclosureSEC source: 0000905148-21-000629 · form4.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,743,317 F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| April 08, 2021 Filed Apr 13, 2021 00:12 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleWarrant · Derivative | 600,765 | $0.48 Strike: $11.50 | $288,367.20 |
DisclosureSEC source: 0000919574-21-002925 · ownership.xml · derivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 312,252 Underlying: Class A Common Stock, $0.0001 par value · 600,765 shares Expires 2025-05-29 F3 · derivative.exercise_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.exercise_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F3 · derivative.expiration_date: Each Warrant, also known as a PIPE Warrant (as defined in the Issuer's 8-K12B filed on June 4, 2020 (the "8-K12B")), gives the holder thereof the right to purchase one share of common stock, subject to certain exceptions. The PIPE Warrants have an initial exercise price of $11.50 per share of Class A Common Stock. The PIPE Warrants became exercisable on June 28, 2020 and expire May 29, 2025 or earlier upon their redemption or the liquidation of the Issuer. F4 · derivative.expiration_date: Once exercisable, the PIPE Warrants may be redeemed, at a price of $0.01 per warrant, if the last sale price of the Class A Common Stock equals or exceeds $18.00 per share for any 20 trading days within a 30 trading day period ending on the third business day before the notice of redemption is sent to the warrant holders. The foregoing description of the PIPE warrants does not purport to be complete and are subject to and qualified in their entirety by reference to the Warrant Agreement included as Exhibit 4.3 of the Issuer's 8-K12B filed on June 4, 2020, which is incorporated by reference. F1 · ownership.nature: These securities are directly owned by certain private investment funds (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. F2 · ownership.nature: Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| March 01, 2021 Filed Mar 1, 2021 22:53 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 600 | $7.02 | $4,212.00 |
DisclosureSEC source: 0000919574-21-002143 · ownership.xml · nonDerivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,943,317 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| February 26, 2021 Filed Mar 1, 2021 22:53 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 6,695 | $7.09 | $47,478.26 |
DisclosureSEC source: 0000919574-21-002143 · ownership.xml · nonDerivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,943,917 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 22:53 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 2,605 | $7.18 | $18,703.90 |
DisclosureSEC source: 0000919574-21-002143 · ownership.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,950,612 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| December 22, 2020 Filed Dec 22, 2020 23:07 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 21,796 | $8.03 | $175,065.47 |
DisclosureSEC source: 0000919574-20-007660 · ownership.xml · nonDerivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,953,217 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 23:07 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 28,075 | $8.66 | $242,997.55 |
DisclosureSEC source: 0000919574-20-007660 · ownership.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,975,013 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| December 03, 2020 Filed Dec 3, 2020 23:49 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 8,613 | $7.40 | $63,736.20 |
DisclosureSEC source: 0000919574-20-007403 · ownership.xml · nonDerivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 12,003,088 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| December 02, 2020 Filed Dec 3, 2020 23:49 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 33,757 | $7.41 | $250,105.61 |
DisclosureSEC source: 0000919574-20-007403 · ownership.xml · nonDerivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 12,011,701 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 23:49 UTC | HYCROFT MINING HOLDING CORP HYMC · Entity 2340 | SaleClass A Common Stock, $0.0001 par value | 54,041 | $7.61 | $411,392.52 |
DisclosureSEC source: 0000919574-20-007403 · ownership.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 12,045,458 F1 · ownership.nature: These securities are directly owned by certain private funds and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such entities. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of 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. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries F Warrants · Derivative | 239,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 24 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 239,830 shares Expires not disclosed F7 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F7 · price: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F7 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F7 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries F Warrants · Derivative | 342,369 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 23 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 342,369 shares Expires not disclosed F7 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F7 · price: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F7 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F7 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series F Warrant gives the holder thereof the right to purchase one share of Common Stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries E Warrants · Derivative | 17,427,095 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 22 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 871,354 shares Expires not disclosed F6 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F6 · price: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F6 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F6 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries E Warrants · Derivative | 29,233,812 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 21 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 1,461,688 shares Expires not disclosed F6 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F6 · price: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F6 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F6 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series E Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain. The Series E Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on September 11, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries D Warrants · Derivative | 2,979,904 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 20 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 148,995 shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F5 · price: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F5 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F5 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries D Warrants · Derivative | 4,997,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 19 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 249,889 shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F5 · price: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F5 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F5 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series D Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series D Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.1 attached thereto filed on March 8, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Reverse Stock Split. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries C Warrants · Derivative | 1,458,434 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 18 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 72,921 shares Expires not disclosed F4 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F4 · price: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F4 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F4 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherSeries C Warrants · Derivative | 2,446,026 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · derivative · entry 17 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock, $0.0001 par value · 122,299 shares Expires not disclosed F4 · derivative.exercise_price: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F4 · price: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F4 · derivative.exercise_date: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F4 · derivative.expiration_date: Pursuant to the applicable warrant agreement, each Series C Warrant gives the holder thereof the right to purchase one share of Common Stock, subject to certain exceptions. The Series C Warrants have an initial exercise price of $0.0001 per share of Common Stock, subject to customary anti-dilution provisions. Reference is made to the Issuer's 8-K and Exhibit 10.2 attached thereto filed on February 1, 2018, which is incorporated by reference. The reported amount of Common Stock after exercise takes into account the Issuer's 20-to-1 reverse stock split as provided in the Issuer's 8-K filed on September 19, 2018, with shares of Common Stock rounded down in lieu of any fractional shares (the "Reverse Stock Split"). F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 22 | $1.10 | $24.09 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 16 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,431,072 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 239,830 | $0.00 | $23.98 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 15 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,431,094 F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 32 | $1.10 | $35.05 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 14 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,336,520 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 342,369 | $0.00 | $34.24 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 13 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,336,552 F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 80 | $1.10 | $87.62 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 12 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,191,264 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 871,354 | $0.00 | $87.14 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 11 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,191,344 F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 135 | $1.10 | $147.85 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 10 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,994,183 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 1,461,688 | $0.00 | $146.17 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 9 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,994,318 F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 14 | $1.10 | $15.33 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 8 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,990 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 148,995 | $0.00 | $14.90 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 7 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,004 F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 25 | $1.10 | $27.38 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 6 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 532,630 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 249,889 | $0.00 | $24.99 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 5 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 532,655 F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 7 | $1.10 | $7.67 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 4 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,009 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 72,921 | $0.00 | $7.29 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,016 F2 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 13 | $1.10 | $14.24 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 282,766 F3 · kind: Reflects shares of Common Stock, $0.0001 par value ("Common Stock") withheld at the 20-Day volume weighted average price of $1.0952 per share of Common Stock to fund the cashless exercise of the warrants held by the Reporting Persons. F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| July 28, 2020 Filed Jul 30, 2020 20:28 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | OtherCommon Stock, $0.0001 par value | 122,299 | $0.00 | $12.23 |
DisclosureSEC source: 0000919574-20-004743 · ownership.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 282,779 F1 · ownership.nature: These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:33 UTC | A. M. Castle & Co. CTAM · Entity 144324 | Other3.00% / 5.00% Convertible Senior Secured Notes due 2024 · Derivative | Not disclosed | Not disclosed | $27,390,975.00 |
DisclosureSEC source: 0000919574-20-002666 · ownership.xml · derivative · entry 6 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 60,094,788 shares Expires not disclosed F1 · security: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3 · derivative.exercise_price: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2 · kind: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F2 · price: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F3 · derivative.exercise_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F3 · derivative.expiration_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F4 · derivative.underlying: Upon conversion of the New Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock. F6 · ownership.nature: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:33 UTC | A. M. Castle & Co. CTAM · Entity 144324 | Other3.00% / 5.00% Convertible Senior Secured Notes due 2024 · Derivative | Not disclosed | Not disclosed | $28,361,286.00 |
DisclosureSEC source: 0000919574-20-002666 · ownership.xml · derivative · entry 5 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 62,223,614 shares Expires not disclosed F1 · security: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3 · derivative.exercise_price: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2 · kind: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F2 · price: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F3 · derivative.exercise_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F3 · derivative.expiration_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F4 · derivative.underlying: Upon conversion of the New Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock. F5 · ownership.nature: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:33 UTC | A. M. Castle & Co. CTAM · Entity 144324 | Other5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 · Derivative | Not disclosed | Not disclosed | $54,761,953.00 |
DisclosureSEC source: 0000919574-20-002666 · ownership.xml · derivative · entry 4 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3 · derivative.exercise_price: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2 · kind: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F2 · price: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F3 · derivative.exercise_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F3 · derivative.expiration_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2 · derivative.underlying_shares: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F6 · ownership.nature: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:33 UTC | A. M. Castle & Co. CTAM · Entity 144324 | Other5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 · Derivative | Not disclosed | Not disclosed | $56,701,867.00 |
DisclosureSEC source: 0000919574-20-002666 · ownership.xml · derivative · entry 3 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: The Reporting Persons do not acknowledge that the Issuer's 5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022 (the "Old Notes") and 3.00% / 5.00% Convertible Senior Secured PIK Toggle Notes due 2024 (the "New Notes") are derivative securities for purposes of Section 16 of the Exchange Act, as amended (the "Exchange Act"). F3 · derivative.exercise_price: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2 · kind: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F2 · price: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F3 · derivative.exercise_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F3 · derivative.expiration_date: The New Notes are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2024, the maturity date of the New Notes. The New Notes are convertible into shares of Common Stock at an initial conversion rate of 2.1939631 shares of Common Stock per $1.00 principal amount of New Notes (subject to adjustment in certain circumstances). F2 · derivative.underlying_shares: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F5 · ownership.nature: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:33 UTC | A. M. Castle & Co. CTAM · Entity 144324 | OtherCommon Stock | 20,229,264 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002666 · ownership.xml · nonDerivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,610,221 F2 · kind: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F6 · ownership.nature: These securities are directly owned by certain private funds in which Whitebox General Partner LLC serves as their general partner and may be deemed to be beneficially owned by Whitebox General Partner LLC by virtue of its role as the general partner of such private funds. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:33 UTC | A. M. Castle & Co. CTAM · Entity 144324 | OtherCommon Stock | 20,945,875 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002666 · ownership.xml · nonDerivative · entry 1 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 21,346,747 F2 · kind: On March 27, 2020, the Issuer completed an exchange transaction (the "Exchange"), whereby it issued the New Notes and shares of its Common Stock in exchange for its existing Old Notes. In connection with the Exchange, the Reporting Persons received an aggregate of 20,945,875 shares of Common Stock and $28,361,286 in aggregate principal amount of New Notes in exchange for $56,701,867 in aggregate principal amount of Old Notes beneficially owned by the Reporting Persons, plus accrued and unpaid interest thereon. F5 · ownership.nature: These securities are directly owned by certain private funds managed by Whitebox Advisors LLC and may be deemed to be beneficially owned by Whitebox Advisors LLC by virtue of its role as the investment manager of such private funds. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their 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 Exchange Act, or for any other purpose. Read SEC document |
| January 14, 2020 Filed Jan 29, 2020 17:30 UTC | SAExploration Holdings, Inc. SAEX · Entity 147534 | GrantSeries F Warrants · Derivative | 119,975 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-000641 · ownership.xml · derivative · entry 2 WHITEBOX ADVISORS LLC · CIK 0001257391 · 10% owner WHITEBOX GENERAL PARTNER LLC · CIK 0001650272 · 10% owner Whitebox Multi-Strategy Partners LP · CIK 0001452149 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,333,100 Underlying: Common Stock · Not disclosed shares Expires not disclosed F4 · derivative.exercise_price: These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F1 · date: The Reporting Persons were not aware of complete information regarding the transactions reported herein until receiving the transaction confirmation from the transfer agent by mail on January 28, 2020. F4 · price: These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F4 · derivative.exercise_date: These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F4 · derivative.expiration_date: These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F4 · derivative.underlying_shares: These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference. F3 · ownership.direct: These securities are directly beneficially owned by WMP. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.