| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/01/2015 | 3. Issuer Name and Ticker or Trading Symbol DUNE ENERGY INC [ DUNR ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock(1)(2)(3) | 2,846,056 | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. The filing of this Form 3 shall not be construed as an admission that BMM GP (as defined below) is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise the beneficial owner of any shares of Common Stock, par value $0.001 per share (the "Common Stock"), of Dune Energy, Inc. (the "Issuer"). Pursuant to Rule 16a-1(a)(4) of the Exchange Act, BMM GP disclaims such beneficial ownership, except to the extent of its pecuniary interest. BlueMountain Montenvers GP S.a r.l. ("BMM GP") is the general partner of BlueMountain Montenvers Master Fund SCA SICAV-SIF ("BMM") and has an indirect profits interest in the Common Stock beneficially owned by it. |
| 2. On June 1, 2015, BMM acquired 2,846,056 shares of Common Stock from BlueMountain Long/Short Credit Master Fund L.P. ("BMLSC"). BlueMountain Capital Management, LLC ("BMCM") is the investment manager of BMM and BMLSC, and in that capacity directs the voting and disposition of securities held by each of them and receives an asset-based fee with respect to their investment activities. As BMCM acts as investment manager for each of BMM and BMLSC, its pecuniary interest in the Common Stock did not change. Pursuant to Rule 16a-1(a)(4) of the Exchange Act, BMCM disclaims any beneficial ownership of the Common Stock, except to the extent of its pecuniary interest. |
| 3. The Reporting Persons are jointly filing this Form 3 pursuant to Rule 16(a)-3(j) under the Exchange Act. |
| Remarks: |
| BlueMountain Montenvers Master Fund SCA SICAV-SIF, By: BlueMountain Montenvers GP S.a r.l., By: /s/ Paul Friedman, Authorized Person | 06/03/2015 | |
| BlueMountain Montenvers GP S.a r.l., By: /s/ Paul Friedman, Authorized Person | 06/03/2015 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
