SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol EXCO RESOURCES INC [ XCOO ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 01/03/2018 | ||||||||||||||||||||||||||
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 17,858(1) | D | $0.2 | 353,821 | I | See Footnotes(2)(3) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 17,872(1) | D | $0.2 | 354,098 | I | See Footnotes(2)(4) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 17,862(1) | D | $0.2 | 353,903 | I | See Footnotes(2)(5) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 17,859(1) | D | $0.2 | 353,839 | I | See Footnotes(2)(6) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 17,866(1) | D | $0.2 | 353,965 | I | See Footnotes(2)(7) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 17,864(1) | D | $0.2 | 353,928 | I | See Footnotes(2)(8) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 408(1) | D | $0.2 | 8,093 | I | See Footnotes(2)(9) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 26,487(1) | D | $0.2 | 524,758 | I | See Footnotes(2)(10) | ||
Common Stock, par value $0.001 per share | 01/03/2018 | S | 9,824(1) | D | $0.2 | 194,630 | I | See Footnotes(2)(11) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 18,615(1) | D | $0.2 | 335,206 | I | See Footnotes(2)(3) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 18,630(1) | D | $0.2 | 335,468 | I | See Footnotes(2)(4) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 18,620(1) | D | $0.2 | 335,283 | I | See Footnotes(2)(5) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 18,616(1) | D | $0.2 | 335,223 | I | See Footnotes(2)(6) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 18,623(1) | D | $0.2 | 335,342 | I | See Footnotes(2)(7) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 18,621(1) | D | $0.2 | 335,307 | I | See Footnotes(2)(8) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 426(1) | D | $0.2 | 7,667 | I | See Footnotes(2)(9) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 27,609(1) | D | $0.2 | 497,149 | I | See Footnotes(2)(10) | ||
Common Stock, par value $0.001 per share | 01/04/2018 | S | 10,240(1) | D | $0.2 | 184,390 | I | See Footnotes(2)(11) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | 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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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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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. Represents shares disposed of through over-the-counter transactions. |
2. WL Ross & Co. LLC ("WLR LLC") is the investment manager of Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five, Fund IV AIV Six, Parallel Fund, Co-Invest Fund AIV and WLR/GS Fund AIV. WLR Recovery Associates IV LLC ("Fund IV") is the general partner of Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five and Fund IV AIV Six. Fund IV is the general partner of Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five and Fund IV AIV Six. Invesco Private Capital, Inc. is the managing member of INVESCO WLR IV Associates LLC, which is in turn the general partner of Parallel Fund. WLR Select Associates LLC is the general partner of Co-Invest Fund AIV. WLR Master Co-Investment GP, LLC is the general partner of WLR/GS Fund AIV. |
3. These shares are held by WLR IV Exco AIV One, L.P. ("Fund IV AIV One"). |
4. These shares are held by WLR IV Exco AIV Two, L.P. ("Fund IV AIV Two"). |
5. These shares are held by WLR IV Exco AIV Three, L.P. ("Fund IV AIV Three"). |
6. These shares are held by WLR IV Exco AIV Four, L.P. ("Fund IV AIV Four"). |
7. These shares are held by WLR IV Exco AIV Five, L.P. ("Fund IV AIV Five"). |
8. These shares are held by WLR IV Exco AIV Six, L.P. ("Fund IV AIV Six"). |
9. These shares are held by WLR IV Parallel ESC, L.P. ("Parallel Fund"). |
10. These shares are held by WLR Select Co-Investment XCO AIV, L.P. ("Co-Invest Fund AIV"). |
11. These shares are held by WLR/GS Master Co-Investment XCO AIV, L.P. ("WLR/GS Fund AIV"). |
Remarks: |
This Form 4 is being filed in two parts due to the large number of Reporting Persons. Please reference the Form 4 filing filed on the date hereof separately by WLR LLC, Fund IV, Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five and Fund IV AIV Six. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each Reporting Person may be deemed to be the beneficial owner of the securities reported herein only to the extent of his pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that each Reporting Person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. |
WL ROSS & CO. LLC By: Benjamin Gruder, authorized person | 01/05/2018 | |
WLR SELECT ASSOCIATES LLC By: WL Ross & Co. LLC, its Managing Member By: Benjamin Gruder, authorized person | 01/05/2018 | |
WLR SELECT CO-INVESTMENT XCO AIV, L.P. By: WLR Select Associates LLC, its General Partner By: WL Ross & Co. LLC, its Managing Member By: Benjamin Gruder, authorized person | 01/05/2018 | |
WLR MASTER CO-INVESTMENT GP, LLC By: WL Ross & Co.. LLC, its Managing Member By: Benjamin Gruder, authorized person | 01/05/2018 | |
INVESCO WLR IV ASSOCIATES LLC By: INVESCO Private Capital, Inc., its Managing Member By: Benjamin Gruder, authorized person | 01/05/2018 | |
INVESCO PRIVATE CAPITAL, INC. By: Benjamin Gruder, authorized person | 01/05/2018 | |
WLR/GS MASTER CO-INVESTMENT XCO AIV, L.P. By: WLR Master Co-Investment GP, LLC, its General Partner By: WL Ross & Co. LLC, its Managing Member By: Benjamin Gruder, authorized person | 01/05/2018 | |
WLR IV PARALLEL ESC, L.P. By: INVESCO WLR IV ASSOCIATES LLC, its General Partner By: INVESCO Private Capital, Inc., its Managing Member By: Benjamin Gruder, authorized person | 01/05/2018 | |
** 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 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
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. |