UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants (right to buy) | Â (1) | 05/06/2018 | Common Stock | 23,091,811 | $ 0.01 | I | By OCM Marine Investments CTB, Ltd. (2) (3) (4) (5) (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oaktree Capital Group Holdings GP, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
Oaktree Capital Group Holdings, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
Oaktree Capital Group, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
OAKTREE HOLDINGS, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
OCM HOLDINGS I, LLC C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
Oaktree Capital I, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
OAKTREE FUND GP I, L.P. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
Oaktree Holdings, Inc. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
OAKTREE CAPITAL MANAGEMENT LP C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
Oaktree Principal Fund V GP Ltd. C/O OAKTREE CAPITAL MANAGEMENT, L.P. 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
OAKTREE CAPITAL GROUP HOLDINGS GP, LLC By: /s/ Todd Molz Name: Todd Molz Title: Managing Director and General Counsel By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL GROUP HOLDINGS, L.P. By: Oaktree Capital Group Holdings GP, LLC Its: GP By: /s/ Todd Molz Name: Todd Molz Title: Managing Director and General Counsel By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior VP | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL GROUP, LLC By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel and Secretary By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE HOLDINGS, LLC By: Oaktree Capital Group, LLC Its: Managing Member By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel and Secretary By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OCM HOLDINGS I, LLC By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL I, L.P. By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel and Secretary By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE FUND GP I, L.P. By: /s/ Todd Molz Name: Todd Molz Title: Authorized Signatory By: /s/ Martin Boskovich Name: Martin Boskovich Title: Authorized Signatory | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE HOLDINGS, INC. By: /s/ Todd Molz Name: Todd Molz Title: Managing Director, General Counsel and Secretary By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE CAPITAL MANAGEMENT, L.P. By: /s/ Todd Molz Name: Todd Molz Title: Managing Director and General Counsel By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President, Legal | 05/06/2011 | |
**Signature of Reporting Person | Date | |
OAKTREE PRINCIPAL FUND V GP LTD. By: Oaktree Capital Management, L.P. Its: Director By: /s/ Todd Molz Name: Todd Molz Title: Managing Director and General Counsel By: /s/ Martin Boskovich Name: Martin Boskovich Title: Senior Vice President, Legal | 05/06/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Warrants may be exercised at any time and from time to time prior to the expiration date, May 6, 2018. |
(2) | OCM Marine Holdings TP, L.P. ("Marine Holdings") is the sole shareholder of OCM Marine Investments CTB, Ltd. ("Investor"). OCM Marine GP CTB, Ltd. ("Marine Holdings GP") is the general partner of Marine Holdings. Oaktree Principal Fund V, L.P. ("PF5"), Oaktree Principal Fund V (Parallel), L.P. ("PF5 Parallel"), OCM Asia Principal Opportunities Fund, L.P. ("APOF") and Oaktree FF Investment Fund, L.P. - Class A ("FFA") collectively own 100% of the shares of Marine Holdings GP. |
(3) | Oaktree Principal Fund V GP, L.P. ("PF5 GP LP") is the general partner of PF5 and PF5 Parallel, OCM Asia Principal Opportunities Fund GP, L.P. ("APOF GP LP") is the general partner of APOF and Oaktree FF Investment Fund GP, L.P. ("FFA GP LP") is the general partner of FFA. Oaktree Principal Fund V GP Ltd. ("PF5 GP Ltd") is the general partner of PF5 GP LP, OCM Asia Principal Opportunities Fund GP Ltd. ("APOF GP Ltd") is the general partner of APOF GP LP and Oaktree FF Investment Fund GP Ltd. ("FFA GP Ltd") is the general partner of FFA GP Ltd. |
(4) | Oaktree Fund GP I, L.P. is the sole shareholder of PF5 GP Ltd, FFA GP Ltd and APOF GP Ltd. Oaktree Capital I, L.P. is the general partner of Oaktree Fund GP I, L.P. OCM Holdings I, LLC is the general partner of Oaktree Capital I, L.P. Oaktree Holdings, LLC is the managing member of OCM Holdings I, LLC. Oaktree Capital Management, L.P. ("Oaktree") is the director of Investor, Marine Holdings GP, PF5 GP Ltd, FFA GP Ltd and APOF GP Ltd and is the investment manager of PF5, PF5 Parallel, APOF and FFA. |
(5) | Oaktree Holdings, Inc. ("Oaktree GP") is the general partner of Oaktree. Oaktree Capital Group, LLC ("OCG") is the managing member of Oaktree Holdings, LLC and the sole shareholder of Oaktree GP. Oaktree Capital Group Holdings, L.P. ("OCGH") controls OCG. Oaktree Capital Group Holdings GP, LLC ("OCGH GP") is the general partner of OCGH. OCGH GP is managed by Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer, and Kevin L. Clayton. |
(6) | By virtue of the ownership structure described above, each of Marine Holdings, Marine Holdings GP, PF5, PF5 Parallel, APOF, FFA, PF5 GP LP, FFA GP LP, APOF GP LP, PF5 GP Ltd, FFA GP Ltd, APOF GP Ltd, Oaktree Fund GP I, L.P., Oaktree Capital I, L.P., OCM Holdings I, LLC, Oaktree Holdings, LLC, Oaktree, Oaktree GP, OCG, OCGH, OCGH GP, Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer and Kevin L. Clayton (collectively, the "Oaktree Group") may be deemed to have indirect beneficial ownership of the warrants held directly by Investor. Each person in the Oaktree Group expressly disclaims beneficial ownership of the warrants held directly by Investor, except to the extent of their respective pecuniary interests therein. |
 Remarks: This Form 3 is being filed in three parts due to the large number of reporting persons. This filing is being filed by Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group, LLC, Oaktree Holdings, LLC, OCM Holdings I, LLC, Oaktree Capital I, L.P., Oaktree Fund GP I, L.P., Oaktree Holdings, Inc, Oaktree Capital Management, L.P. and Oaktree Principal Fund V GP Ltd. Accompanying filings are being filed, on the date hereof, by OCM Marine Holdings TP, L.P., OCM Marine GP CTB, Ltd., Oaktree Principal Fund V, L.P., Oaktree Principal Fund V GP, L.P., Oaktree Principal Fund V (Parallel), L.P., Oaktree FF Investment Fund, L.P. - Class A, Oaktree FF Investment Fund GP, L.P., Oaktree FF Investment Fund GP Ltd., OCM Asia Principal Opportunities Fund, L.P., OCM Marine Investments CTB, Ltd, OCM Asia Principal Opportunities Fund GP, L.P. and OCM Asia Principal Opportunities Fund GP Ltd. All filings relate to the same holdings described above. |