**
| UNITED STATES |
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| SECURITIES AND EXCHANGE COMMISSION |
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| Washington, D.C. 20549 |
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|
SCHEDULE 13G
(Amendment No. )*
Under the Securities Exchange Act of 1934
Laureate Education, Inc.
(Name of Issuer)
Class A Common Stock, $0.001 par value per share
(Title of Class of Securities)
518613203
(CUSIP Number)
April 23, 2018
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o | Rule 13d-1(b) |
x | Rule 13d-1(c) |
o | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
SEC 1745 (3-06)
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
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| 4 | Citizenship or Place of Organization | ||
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Number of | 5 | Sole Voting Power | ||
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6 | Shared Voting Power | |||
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7 | Sole Dispositive Power | |||
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8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
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|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
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7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
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|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | x | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
CUSIP No. 518613203 | ||||
| ||||
| 1 | Name of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). | ||
| ||||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
|
| (a) | o | |
|
| (b) | o | |
| ||||
| 3 | SEC Use Only | ||
| ||||
| 4 | Citizenship or Place of Organization | ||
|
|
| ||
Number of | 5 | Sole Voting Power | ||
| ||||
6 | Shared Voting Power | |||
| ||||
7 | Sole Dispositive Power | |||
| ||||
8 | Shared Dispositive Power | |||
| ||||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| ||||
| 10 | Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) x | ||
| ||||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| ||||
| 12 | Type of Reporting Person (See Instructions) | ||
Item 1. | ||
| (a) | Name of Issuer |
| (b) | Address of Issuer’s Principal Executive Offices |
| ||
Item 2. | ||
| (a) | Name of Person Filing
AESI, Centre Street, Zeus LP, Opportunity Trading Fund, AP IE III, Hercules LP, Union Street LP, Thunder Partners, Kings Alley, Lincoln Fund, A-N Credit, Tower Credit, and Special Situations each hold shares of Common Stock of the Issuer.
Euro Management serves as the investment manager of AESI. Euro Management GP serves as the general partner of Euro Management. Centre Street Management serves as the investment manager of Centre Street. |
|
| Zeus Advisors LP serves as the general partner of Zeus LP, and Zeus Advisors GP serves as the general partner of Zeus Advisors LP. APH Holdings (DC) serves as the sole member of Zeus Advisors GP. Principal IV GP serves as the general partner of APH Holdings (DC).
Credit Opportunity Fund and Credit Opportunity Fund (Offshore) each serve as general partners of Opportunity Trading Fund. Credit Opportunity Management serves as the investment manager of Opportunity Trading Fund.
Euro Management III serves as the investment manager of AP IE III. Hercules Management serves as the investment manager of Hercules LP. Union Street Management serves as the investment manager of Union Street LP. Thunder Management serves as the investment manager of Thunder Partners. Kings Alley Management serves as the investment manager of Kings Alley.
Lincoln Management serves as the investment manager of Lincoln Fund. A-N Credit Management serves as the investment manager for A-N Credit. Tower Credit Management serves as the investment manager of Tower Credit. Special Situations Management serves as the investment manager of Special Situations.
Capital Management serves as the sole member of each of Euro Management GP, Centre Street Management, Apollo Zeus Strategic Management, LLC, Credit Opportunity Management, Euro Management GP, Euro Management III, Apollo Hercules Management, LLC, Apollo Union Street Management, LLC, Thunder Management, Kings Alley Management, Lincoln Management, A-N Credit Management, Tower Credit Management and Special Situations Management. Capital Management GP serves as the general partner of Capital Management. Management Holdings serves as the sole member-manager of Capital Management GP, and Management Holdings GP serves as the general partner of Management Holdings. |
|
|
|
| (b) | Address of Principal Business Office or, if none, Residence |
| (c) | Citizenship
Euro Management, Centre Street, Credit Opportunity Fund, Credit Opportunity Fund (Offshore), Thunder Partners, Kings Alley, Lincoln Fund, A-N Credit, Tower Credit, Special Situations, Special Situations Management, Capital Management and Management Holdings are each Delaware limited partnerships.
Euro Management GP, Centre Street Management, Zeus Advisors GP, Credit Opportunity Management, Euro Management III, Hercules Management, Union Street Management, Thunder Management, Kings Alley Management, Lincoln Management, A-N Credit Management, Tower Credit Management, Capital Management GP and Management Holdings GP are each Delaware limited liability companies.
Opportunity Trading Fund is a Delaware general partnership.
Principal IV GP is an exempted company incorporated in the Cayman Islands with limited liability. |
| (d) | Title of Class of Securities |
| (e) | CUSIP Number |
|
| |
Item 3. | If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: | |
| Not applicable. |
Item 4. | Ownership. | |
| ||
| (a) | Amount beneficially owned: |
|
| As of |
| As of the date |
|
AESI |
| 214,167 |
| 143,719 |
|
Euro Management |
| 214,167 |
| 143,719 |
|
Euro Management GP |
| 214,167 |
| 143,719 |
|
Centre Street |
| 592,960 |
| 397,954 |
|
Centre Street Management |
| 592,960 |
| 397,954 |
|
Zeus LP |
| 319,227 |
| 214,250 |
|
Zeus Advisors LP |
| 319,227 |
| 214,250 |
|
Zeus Advisors GP |
| 319,227 |
| 214,250 |
|
APH Holdings (DC) |
| 319,227 |
| 214,250 |
|
Principal IV GP |
| 319,227 |
| 214,250 |
|
Opportunity Trading Fund |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Fund |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Fund (Offshore) |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Management |
| 2,696,544 |
| 1,809,743 |
|
AP IE III |
| 179,318 |
| 120,338 |
|
Euro Management III |
| 179,318 |
| 120,338 |
|
Hercules LP |
| 241,992 |
| 162,408 |
|
Hercules Management |
| 241,992 |
| 162,408 |
|
Union Street |
| 176,001 |
| 118,127 |
|
Union Street Management |
| 176,001 |
| 118,127 |
|
Thunder Partners |
| 201,660 |
| 135,336 |
|
Thunder Management |
| 201,660 |
| 135,336 |
|
Kings Alley |
| 201,660 |
| 135,405 |
|
Kings Alley Management |
| 201,660 |
| 135,405 |
|
Lincoln Fund |
| 196,750 |
| 132,049 |
|
Lincoln Management |
| 196,750 |
| 132,049 |
|
A-N Credit |
| 12,818 |
| 8,590 |
|
A-N Credit Management |
| 12,818 |
| 8,590 |
|
Tower Credit |
| 511,606 |
| 343,360 |
|
Tower Credit Management |
| 511,606 |
| 343,360 |
|
Special Situations |
| 5,744,824 |
| 3,921,281 |
|
Special Situations Management |
| 5,744,824 |
| 3,921,281 |
|
Capital Management |
| 11,289,643 |
| 7,642,560 |
|
Capital Management GP |
| 11,289,643 |
| 7,642,560 |
|
Management Holdings |
| 11,289,643 |
| 7,642,560 |
|
Management Holdings GP |
| 11,289,643 |
| 7,642,560 |
|
|
| Each of the Reporting Persons disclaims beneficial ownership of all shares of the Common Stock included in this report other than the shares of Common Stock held of record by such Reporting Person, and the filing of this report shall not be construed as an admission that any such person or entity is the beneficial owner of any such securities for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the other Reporting Persons, and Messrs. Leon Black, Joshua Harris and Marc Rowan, the directors of Principal IV GP, and the managers, as well as executive officers, of |
|
| Management Holdings GP, disclaims beneficial ownership of all shares of Common Stock included in this report, and the filing of this report shall not be construed as an admission that any such person or entity is the beneficial owner of any such securities for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
|
|
|
| (b) | Percent of class: |
|
| As of |
| As of the |
|
AESI |
| 0.2 | % | 0.2 | % |
Euro Management |
| 0.2 | % | 0.2 | % |
Euro Management GP |
| 0.2 | % | 0.2 | % |
Centre Street |
| 0.6 | % | 0.4 | % |
Centre Street Management |
| 0.6 | % | 0.4 | % |
Zeus LP |
| 0.3 | % | 0.2 | % |
Zeus Advisors LP |
| 0.3 | % | 0.2 | % |
Zeus Advisors GP |
| 0.3 | % | 0.2 | % |
APH Holdings (DC) |
| 0.3 | % | 0.2 | % |
Principal IV GP |
| 0.3 | % | 0.2 | % |
Opportunity Trading Fund |
| 2.9 | % | 2.0 | % |
Credit Opportunity Fund |
| 2.9 | % | 2.0 | % |
Credit Opportunity Fund (Offshore) |
| 2.9 | % | 2.0 | % |
Credit Opportunity Management |
| 2.9 | % | 2.0 | % |
AP IE III |
| 0.2 | % | 0.1 | % |
Euro Management III |
| 0.2 | % | 0.1 | % |
Hercules LP |
| 0.3 | % | 0.2 | % |
Hercules Management |
| 0.3 | % | 0.2 | % |
Union Street |
| 0.2 | % | 0.1 | % |
Union Street Management |
| 0.2 | % | 0.1 | % |
Thunder Partners |
| 0.2 | % | 0.1 | % |
Thunder Management |
| 0.2 | % | 0.1 | % |
Kings Alley |
| 0.2 | % | 0.1 | % |
Kings Alley Management |
| 0.2 | % | 0.1 | % |
Lincoln Fund |
| 0.2 | % | 0.1 | % |
Lincoln Management |
| 0.2 | % | 0.1 | % |
A-N Credit |
| 0.0 | % | 0.0 | % |
A-N Credit Management |
| 0.0 | % | 0.0 | % |
Tower Credit |
| 0.6 | % | 0.4 | % |
Tower Credit Management |
| 0.6 | % | 0.4 | % |
Special Situations |
| 6.3 | % | 4.3 | % |
Special Situations Management |
| 6.3 | % | 4.3 | % |
Capital Management |
| 12.3 | % | 8.4 | % |
Capital Management GP |
| 12.3 | % | 8.4 | % |
Management Holdings |
| 12.3 | % | 8.4 | % |
Management Holdings GP |
| 12.3 | % | 8.4 | % |
|
| The percentage amounts are based on 55,275,228 shares of Common Stock outstanding as of April 20, 2018 and giving effect to the 36,142,759 shares of Common Stock issued in connection with the conversion of all the issued and outstanding shares of the Issuer’s Series A Convertible Redeemable Preferred |
|
| Stock on April 23, 2018, as reported in the Issuer’s Registration Statement on Form S-3ASR filed with the SEC on April 23, 2018. |
|
|
|
| (c) | Number of shares as to which the person has:
| |
|
| (i) | Sole power to vote or to direct the vote: 0 for all Reporting Persons |
|
| (ii) | Shared power to vote or to direct the vote: |
|
| As of |
| As of the date |
|
AESI |
| 214,167 |
| 143,719 |
|
Euro Management |
| 214,167 |
| 143,719 |
|
Euro Management GP |
| 214,167 |
| 143,719 |
|
Centre Street |
| 592,960 |
| 397,954 |
|
Centre Street Management |
| 592,960 |
| 397,954 |
|
Zeus LP |
| 319,227 |
| 214,250 |
|
Zeus Advisors LP |
| 319,227 |
| 214,250 |
|
Zeus Advisors GP |
| 319,227 |
| 214,250 |
|
APH Holdings (DC) |
| 319,227 |
| 214,250 |
|
Principal IV GP |
| 319,227 |
| 214,250 |
|
Opportunity Trading Fund |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Fund |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Fund (Offshore) |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Management |
| 2,696,544 |
| 1,809,743 |
|
AP IE III |
| 179,318 |
| 120,338 |
|
Euro Management III |
| 179,318 |
| 120,338 |
|
Hercules LP |
| 241,992 |
| 162,408 |
|
Hercules Management |
| 241,992 |
| 162,408 |
|
Union Street |
| 176,001 |
| 118,127 |
|
Union Street Management |
| 176,001 |
| 118,127 |
|
Thunder Partners |
| 201,660 |
| 135,336 |
|
Thunder Partners Management |
| 201,660 |
| 135,336 |
|
Kings Alley |
| 201,660 |
| 135,405 |
|
Kings Alley Management |
| 201,660 |
| 135,405 |
|
Lincoln Fund |
| 196,750 |
| 132,049 |
|
Lincoln Management |
| 196,750 |
| 132,049 |
|
A-N Credit |
| 12,818 |
| 8,590 |
|
A-N Credit Management |
| 12,818 |
| 8,590 |
|
Tower Credit |
| 511,606 |
| 343,360 |
|
Tower Credit Management |
| 511,606 |
| 343,360 |
|
Special Situations |
| 5,744,824 |
| 3,921,281 |
|
Special Situations Management |
| 5,744,824 |
| 3,921,281 |
|
Capital Management |
| 11,289,643 |
| 7,642,560 |
|
Capital Management GP |
| 11,289,643 |
| 7,642,560 |
|
Management Holdings |
| 11,289,643 |
| 7,642,560 |
|
Management Holdings GP |
| 11,289,643 |
| 7,642,560 |
|
|
|
|
|
|
| (iii) | Sole power to dispose or to direct the disposition of: 0 for all Reporting Persons |
|
| (iv) | Shared power to dispose or to direct the disposition of: |
|
| As of |
| As of the date |
|
AESI |
| 214,167 |
| 143,719 |
|
Euro Management |
| 214,167 |
| 143,719 |
|
Euro Management GP |
| 214,167 |
| 143,719 |
|
Centre Street |
| 592,960 |
| 397,954 |
|
Centre Street Management |
| 592,960 |
| 397,954 |
|
Zeus LP |
| 319,227 |
| 214,250 |
|
Zeus Advisors LP |
| 319,227 |
| 214,250 |
|
Zeus Advisors GP |
| 319,227 |
| 214,250 |
|
APH Holdings (DC) |
| 319,227 |
| 214,250 |
|
Principal IV GP |
| 319,227 |
| 214,250 |
|
Opportunity Trading Fund |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Fund |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Fund (Offshore) |
| 2,696,544 |
| 1,809,743 |
|
Credit Opportunity Management |
| 2,696,544 |
| 1,809,743 |
|
AP IE III |
| 179,318 |
| 120,338 |
|
Euro Management III |
| 179,318 |
| 120,338 |
|
Hercules LP |
| 241,992 |
| 162,408 |
|
Hercules Management |
| 241,992 |
| 162,408 |
|
Union Street |
| 176,001 |
| 118,127 |
|
Union Street Management |
| 176,001 |
| 118,127 |
|
Thunder Partners |
| 201,660 |
| 135,336 |
|
Thunder Partners Management |
| 201,660 |
| 135,336 |
|
Kings Alley |
| 201,660 |
| 135,405 |
|
Kings Alley Management |
| 201,660 |
| 135,405 |
|
Lincoln Fund |
| 196,750 |
| 132,049 |
|
Lincoln Management |
| 196,750 |
| 132,049 |
|
A-N Credit |
| 12,818 |
| 8,590 |
|
A-N Credit Management |
| 12,818 |
| 8,590 |
|
Tower Credit |
| 511,606 |
| 343,360 |
|
Tower Credit Management |
| 511,606 |
| 343,360 |
|
Special Situations |
| 5,744,824 |
| 3,921,281 |
|
Special Situations Management |
| 5,744,824 |
| 3,921,281 |
|
Capital Management |
| 11,289,643 |
| 7,642,560 |
|
Capital Management GP |
| 11,289,643 |
| 7,642,560 |
|
Management Holdings |
| 11,289,643 |
| 7,642,560 |
|
Management Holdings GP |
| 11,289,643 |
| 7,642,560 |
|
|
|
|
|
Item 5. | Ownership of Five Percent or Less of a Class. |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o | |
| |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. |
Not applicable. | |
| |
Item 8. | Identification and Classification of Members of the Group. |
Not applicable. | |
| |
Item 9. | Notice of Dissolution of Group. |
Not applicable. | |
| |
Item 10. | Certification. |
Not applicable. |
[The remainder of this page intentionally left blank.]
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: May 29, 2018
| AESI II, L.P. |
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| By: | AES Advisors II, L.P. |
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| its general partner |
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| By: | AES Advisors II GP, LLC |
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| its general partner |
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| By: | /s/ Joseph D. Glatt | ||||||
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO EUROPEAN STRATEGIC MANAGEMENT, L.P. | |||||||||
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| By: | Apollo European Strategic Management GP, LLC | ||||||||
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| its general partner |
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| By: | /s/ Joseph D. Glatt | |||||||
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| Name: | Joseph D. Glatt | |||||||
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| Title: | Vice President | |||||||
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| APOLLO EUROPEAN STRATEGIC MANAGEMENT GP, LLC | |||||||||
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| By: | /s/ Joseph D. Glatt | ||||||||
| Name: | Joseph D. Glatt | ||||||||
| Title: | Vice President | ||||||||
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| APOLLO CENTRE STREET PARTNERSHIP, L.P. | |||||||||
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| By: | Apollo Centre Street Advisors (APO DC), L.P. | ||||||||
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| its general partner | ||||||||
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| By: | Apollo Centre Street Advisors (APO DC-GP), LLC | |||||||
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| Its general partner | |||||||
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO CENTRE STREET MANAGEMENT, LLC | |||||
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| By: | /s/ Joseph D. Glatt | ||||
| Name: | Joseph D. Glatt | ||||
| Title: | Vice President | ||||
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| ZEUS INVESTMENTS, L.P. | |||||
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| By: | Apollo Zeus Strategic Advisors, L.P. | ||||
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| its general partner | ||||
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| By: | Apollo Zeus Strategic Advisors, LLC | |||
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| its general partner | |||
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| By: | /s/ Joseph D. Glatt | ||
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO ZEUS STRATEGIC ADVISORS, L.P. | |||||
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| By: | Apollo Zeus Strategic Advisors, LLC | ||||
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| its general partner | ||||
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| By: | /s/ Joseph D. Glatt | |||
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| Name: | Joseph D. Glatt | |||
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| Title: | Vice President | |||
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| APOLLO ZEUS STRATEGIC ADVISORS, LLC | |||||
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| By: | /s/ Joseph D. Glatt | ||||
| Name: | Joseph D. Glatt | ||||
| Title: | Vice President | ||||
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| APH HOLDINGS (DC), L.P. | |||||
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| By: | Apollo Principal Holdings IV GP, Ltd. | ||||
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| its general partner | ||||
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| By: | /s/ Joseph D. Glatt | |||
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| Name: | Joseph D. Glatt | |||
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| Title: | Vice President | |||
| APOLLO PRINCIPAL HOLDINGS IV GP, LTD. | |||||
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| By: | /s/ Joseph D. Glatt | ||||
| Name: | Joseph D. Glatt | ||||
| Title: | Vice President | ||||
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| APOLLO CREDIT OPPORTUNITY TRADING FUND III | |||||
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| By: | Apollo Credit Opportunity Fund III LP | ||||
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| its general partner | ||||
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| By: | Apollo Credit Opportunity Advisors III (APO FC) LP | |||
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| its general partner | |||
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| By: | Apollo Credit Opportunity Advisors III (APO FC–GP) LLC | ||
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| By: | /s/ Joseph D. Glatt | |
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| Name: | Joseph D. Glatt | |
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| Title: | Vice President | |
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| By: | Apollo Credit Opportunity Fund (Offshore) III LP | ||||
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| its general partner | ||||
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| By: | Apollo Credit Opportunity Advisors III (APO FC) LP | |||
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| its general partner | |||
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| By: | Apollo Credit Opportunity Advisors III (APO FC–GP) LLC | ||
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| By: | /s/ Joseph D. Glatt | |
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| Name: | Joseph D. Glatt | |
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| Title: | Vice President | |
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| APOLLO CREDIT OPPORTUNITY FUND III LP | |||||
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| By: | Apollo Credit Opportunity Advisors III (APO FC) LP | ||||
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| its general partner | ||||
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| By: | Apollo Credit Opportunity Advisors III (APO FC–GP) LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
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| Name: | Joseph D. Glatt | ||
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| Title: | Vice President | ||
| APOLLO CREDIT OPPORTUNITY FUND (OFFSHORE) III LP | |||
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| By: | Apollo Credit Opportunity Advisors III (APO FC) LP | ||
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| its general partner | ||
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| By: | Apollo Credit Opportunity Advisors III (APO FC—GP) LLC | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO CREDIT OPPORTUNITY MANAGEMENT III LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President | ||
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| AP INVESTMENT EUROPE III, L.P. | |||
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| By: | Apollo Europe Advisors III, L.P. | ||
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| its investment manager | ||
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| By: | Apollo Zeus Strategic Advisors, LLC | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO EUROPE MANAGEMENT III, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President | ||
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| APOLLO HERCULES PARTNERS, L.P. | |||
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| By: | Apollo Hercules Advisors, L.P. | ||
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| its general partner | ||
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| By: | Apollo Hercules Advisors GP, LLC | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
| APOLLO HERCULES MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President | ||
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| APOLLO UNION STREET PARTNERS, L.P. | |||
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| By: | Apollo Union Street Advisors, L.P. | ||
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| its general partner | ||
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| By: | Apollo Union Street Capital Management, LLC | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO UNION STREET MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President | ||
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| APOLLO THUNDER PARTNERS, L.P. | |||
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| By: | Apollo Thunder Advisors, L.P. | ||
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| its general partner | ||
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| By: | Apollo Thunder Advisors GP, Ltd. | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO THUNDER MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President and Secretary |
| APOLLO KINGS ALLEY CREDIT FUND, L.P. | |||
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| By: | Apollo Kings Alleys Credit Advisors, L.P. | ||
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| its general partner | ||
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| By: | Apollo Kings Alley Credit Capital Management, LLC | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO KINGS ALLEY CREDIT FUND MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President and Secretary | ||
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| APOLLO LINCOLN PRIVATE CREDIT FUND, L.P. | |||
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| By: | Apollo Lincoln Private Credit Advisors (APO DC), L.P. | ||
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| its general partner | ||
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| By: | Apollo Lincoln Private Credit Advisors (APO DC-GP), LLC | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
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| APOLLO LINCOLN PRIVATE CREDIT MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President | ||
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| APOLLO A-N CREDIT FUND (DELAWARE), L.P. | |||
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| By: | Apollo A-N Credit Advisors (APO FC Delaware), L.P. | ||
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| its general partner | ||
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| By: | Apollo A-N Credit Advisors (APO FC-GP), LLC | |
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| its general partner | |
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| By: | /s/ Joseph D. Glatt |
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| Name: | Joseph D. Glatt |
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| Title: | Vice President |
| APOLLO A-N CREDIT MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President | ||
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| APOLLO TOWER CREDIT FUND, L.P. | |||
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| By: | Apollo Tower Credit Advisors, L.P. | ||
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| its general partner | ||
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| By: | /s/ Joseph D. Glatt | |
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| Name: | Joseph D. Glatt | |
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| Title: | Vice President | |
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| APOLLO TOWER CREDIT MANAGEMENT, LLC | |||
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| By: | /s/ Joseph D. Glatt | ||
| Name: | Joseph D. Glatt | ||
| Title: | Vice President and Secretary | ||
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| APOLLO SPECIAL SITUATIONS FUND, L.P. | |||
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| By: | Apollo Special Situations Advisors, L.P. | ||
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| its general partner | ||
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| By: | Apollo Special Situations Advisors GP | |
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| its general partner | |
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| By: | /s/ Laurie D. Medley |
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| Name: | Laurie D. Medley |
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| Title: | Vice President |
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| APOLLO SPECIAL SITUATIONS MANAGEMENT, L.P. | |||
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| By: | Apollo Special Situations Management, LLC | ||
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| its general partner | ||
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| By: | /s/ Laurie D. Medley | |
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| Name: | Laurie D. Medley | |
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| Title: | Vice President |
| APOLLO CAPITAL MANAGEMENT, L.P. | ||||
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| ||||
| By: | Apollo Capital Management GP, LLC | |||
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| its general partner | |||
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| |||
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| By: | /s/ Joseph D. Glatt | ||
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| Name: | Joseph D. Glatt | ||
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| Title: | Vice President | ||
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| APOLLO CAPITAL MANAGEMENT GP, LLC | ||||
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| By: | /s/ Joseph D. Glatt | |||
| Name: | Joseph D. Glatt | |||
| Title: | Vice President | |||
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| APOLLO MANAGEMENT HOLDINGS, L.P. | ||||
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| By: | Apollo Management Holdings GP, LLC | |||
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| its general partner | |||
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| By: | /s/ Joseph D. Glatt | ||
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| Name: | Joseph D. Glatt | ||
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| Title: | Vice President | ||
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| APOLLO MANAGEMENT HOLDINGS GP, LLC | ||||
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| By: | /s/ Joseph D. Glatt | |||
| Name: | Joseph D. Glatt | |||
| Title: | Vice President |