SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(RULE 13D - 101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(Amendment No. 3)*
RCS Capital Corporation
(Name of Issuer)
Class A common stock, par value $0.001 per share
(Title of Class of Securities)
74937W102
(CUSIP Number)
Jamie Nash, Esq.
Kleinberg, Kaplan, Wolff & Cohen, P.C.
551 Fifth Avenue, New York, New York 10176
Tel: (212) 986-6000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
June 30, 2014
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ].
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
*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 disclosures provided in a prior cover page.
The information required on 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 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).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Partners, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 8,987,517 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 8,987,517 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 8,987,517 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 4,912,240 Shares and 2,088,385 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively, and 884,030 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Wavefront, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 2,134,640 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 2,134,640 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 2,134,640 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 3.3% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 1,298,081 Shares and 551,841 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Partners Offshore Master Fund, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 10,139,662 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 10,139,662 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 10,139,662 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 6,163,012 Shares and 2,620,113 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
.
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Partners Offshore, Ltd. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 10,139,662 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 10,139,662 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 10,139,662 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 6,163,012 Shares and 2,620,113 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person, other than the Offshore Master Fund, or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Spectrum Offshore Master Fund, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 754,560 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 754,560 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 754,560 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 1.2% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 458,663 Shares and 195,042 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Spectrum Offshore, Ltd. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Cayman Islands |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 754,560 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 754,560 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 754,560 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 1.2% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 458,663 Shares and 195,042 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person, other than the Spectrum Master Fund, or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands LLC |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 1,109,661 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 1,109,661 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 1,109,661 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 1.7% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| OO |
(1) Includes 1,109,661 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands B Inc. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 82,608 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 82,608 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 82,608 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 82,608 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands C Inc. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 233,029 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 233,029 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 233,029 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 233,029 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Blue Sands D Inc. |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| WC |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 90,006 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 90,006 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 90,006 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| Less than 1% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| CO |
(1) Includes 90,006 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions assuming no other Reporting Person or the Separately Managed Account has converted or exercised any securities beneficially owned by it. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| LCG Holdings, LLC |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 23,441,677 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 23,441,677 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 23,441,677 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| OO |
(1) Includes 12,831,996 Shares and 5,455,382 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively, and 2,309,328 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Capital Group, LP |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF, OO |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 24,345,355 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 24,345,355 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 24,345,355 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| PN |
(1) Includes 13,326,752 Shares and 5,665,722 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively, and 2,399,334 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Luxor Management, LLC |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| Delaware |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 24,345,355 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 24,345,355 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 24,345,355 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| OO |
(1) Includes 13,326,752 Shares and 5,665,722 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively, and 2,399,334 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions. See Item 5(a).
1. | NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
| |
| Christian Leone |
| |
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
| |
| (a) [x] |
| (b) [ ] |
| |
3. | SEC USE ONLY |
| |
4. | SOURCE OF FUNDS |
| |
| AF |
| |
5. | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] |
| |
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
| |
| USA |
| |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
| |
7. | SOLE VOTING POWER |
| |
| 0 |
| |
8. | SHARED VOTING POWER |
| |
| 24,345,355 (1) |
| |
9. | SOLE DISPOSITIVE POWER |
| |
| 0 |
| |
10. | SHARED DISPOSITIVE POWER |
| |
| 24,345,355 (1) |
| |
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| |
| 24,345,355 (1) |
| |
12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] |
| |
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
| |
| 9.9% (2) |
| |
14. | TYPE OF REPORTING PERSON |
| |
| IN |
(1) Includes 13,326,752 Shares and 5,665,722 Shares issuable upon the conversion of Convertible Preferred Stock and the Convertible Notes, respectively, and 2,399,334 Shares issuable upon exercise of the Put/Call Agreement. See Item 5(a).
(2) Calculated in accordance with the Ownership Restrictions. See Item 5(a).
The following constitutes Amendment No. 3 to the Schedule 13D filed by the undersigned (“Amendment No. 3”). This Amendment No. 3 amends the Schedule 13D as specifically set forth herein.
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 3 is hereby amended and restated to read as follows:
A total of approximately $398,135,390 was paid to acquire the securities reported as beneficially owned by the Reporting Persons herein. The funds used to purchase these securities were obtained from the general working capital of the Onshore Fund, the Wavefront Fund, the Offshore Master Fund, the Spectrum Master Fund, the Separately Managed Account and the Blue Sands Entities and margin account borrowings made in the ordinary course of business, although the Reporting Persons cannot determine whether any funds allocated to purchase such securities were obtained from any margin account borrowings.
Item 5. | Interest in Securities of the Issuer. |
Item 5(a) is hereby amended and restated to read as follows:
(a) The aggregate percentage of Shares reported owned by each person named herein is based upon 63,204,642 Shares outstanding.
As of the close of business on July 1, 2014, the Onshore Fund may be deemed to have beneficially owned 8,987,517 Shares, including 4,912,240 Shares issuable upon the conversion of Convertible Preferred Stock, 2,088,385 Shares issuable upon the conversion of the Convertible Note and 884,030 Shares issuable upon exercise of the Put/Call Agreement, the Offshore Master Fund may be deemed to have beneficially owned 10,139,662 Shares, including 6,163,012 Shares issuable upon the conversion of Convertible Preferred Stock and 2,620,113 Shares issuable upon the conversion of the Convertible Note, the Wavefront Fund may be deemed to have beneficially owned 2,134,640 Shares, including 1,298,081 Shares issuable upon the conversion of Convertible Preferred Stock and 551,841 Shares issuable upon the conversion of the Convertible Note, and the Spectrum Master Fund may be deemed to have beneficially owned 754,560 Shares, including 458,663 Shares issuable upon the conversion of Convertible Preferred Stock and 195,042 Shares issuable upon the conversion of the Convertible Note, constituting approximately 9.9%, 9.9%, 3.3% and 1.2%, respectively, of the Shares calculated in accordance with the Ownership Restrictions assuming no other Luxor Fund, the Separately Managed Account or any of the Blue Sands Entities has converted or exercised any securities owned by it.
The Offshore Feeder Fund, as the owner of a controlling interest in the Offshore Master Fund, may be deemed to beneficially own the 10,139,662 Shares beneficially owned by the Offshore Master Fund, including 6,163,012 Shares issuable upon the conversion of Convertible Preferred Stock and 2,620,113 Shares issuable upon the conversion of the Convertible Note, constituting approximately 9.9% of the Shares outstanding calculated in accordance with the Ownership Restrictions assuming no Luxor Fund, other than the Offshore Master Fund, the Separately Managed Account or any of the Blue Sands Entities has converted or exercised any securities owned by it.
The Spectrum Feeder Fund, as the owner of a controlling interest in the Spectrum Master Fund, may be deemed to beneficially own the 754,560 Shares beneficially owned by the Spectrum Master Fund, including 458,663 Shares issuable upon the conversion of Convertible Preferred Stock and 195,042 Shares issuable upon the conversion of the Convertible Note, constituting approximately 1.2% of the Shares outstanding calculated in accordance with the Ownership Restrictions, assuming no Luxor Fund, other than the Spectrum Master Fund, the Separately Managed Account or any of the Blue Sands Entities has converted or exercised any securities owned by it.
As of the close of business on July 1, 2014, Blue Sands, Blue Sands B, Blue Sands C and Blue Sands D may be deemed to have beneficially owned 1,109,661, 82,608, 233,029 and 90,006 Shares, respectively, issuable upon exercise of the Put/Call Agreement, constituting approximately 1.7%, less than 1%, less than 1% and less than 1%, respectively, of the Shares calculated in accordance with the Ownership Restrictions assuming no other Blue Sands entity, Luxor Fund or the Separately Managed Account has converted or exercised any securities owned by it.
The Offshore Master Fund holds an approximately 99% ownership interest in Blue Sands and, as such, may be deemed to have an economic interest in the Shares beneficially owned by Blue Sands. The Spectrum Offshore Master Fund holds a 100% ownership interest in Blue Sands B and, as such, may be deemed to have an economic interest in the Shares beneficially owned by Blue Sands B. The Wavefront Fund holds a 100% ownership interest in Blue Sands C and, as such, may be deemed to have an economic interest in the Shares beneficially owned by Blue Sands C. The Separately Managed Account holds a 100% ownership interest in Blue Sands D and, as such, may be deemed to have an economic interest in the Shares beneficially owned by Blue Sands D.
LCG Holdings, as the general partner of the Onshore Fund, the Wavefront Fund, the Offshore Master Fund, and the Spectrum Master Fund may be deemed to have beneficially owned the 23,441,677 Shares beneficially owned in the aggregate by the Onshore Fund, the Wavefront Fund, the Offshore Master Fund, and the Spectrum Master Fund, including 12,831,996 Shares issuable upon the conversion of Convertible Preferred Stock, 5,455,382 Shares issuable upon the conversion of the Convertible Note and 2,309,328 Shares issuable upon exercise of the Put/Call Agreement, constituting 9.9% of the Shares outstanding calculated in accordance with the Ownership Restrictions.
Luxor Capital Group, as the investment manager of the Luxor Funds and the Separately Managed Account, may be deemed to have beneficially owned the 23,441,677 Shares beneficially owned by the Luxor Funds, including 12,831,996 Shares issuable upon the conversion of Convertible Preferred Stock, 5,455,382 Shares issuable upon the conversion of the Convertible Note and 2,309,328 Shares issuable upon exercise of the Put/Call Agreement, and 813,672 Shares beneficially owned by the Separately Managed Account, including 494,756 Shares issuable upon the conversion of Convertible Preferred Stock and 210,340 Shares issuable upon the conversion of the Convertible Note, constituting 9.9% of the Shares outstanding calculated in accordance with the Ownership Restrictions.
Luxor Management, as the general partner of Luxor Capital Group, may be deemed to have beneficially owned the 24,345,355 Shares beneficially owned by Luxor Capital Group, including 13,326,752 Shares issuable upon the conversion of Convertible Preferred Stock, 5,665,722 Shares issuable upon the conversion of the Convertible Note and 2,399,334 Shares issuable upon exercise of the Put/Call Agreement, constituting approximately 9.9% of the Shares outstanding calculated in accordance with the Ownership Restrictions.
Mr. Leone, as the managing member of each of Luxor Management and LCG Holdings, may be deemed to have beneficially owned the 24,345,355 Shares owned by Luxor Management, including 13,326,752 Shares issuable upon the conversion of Convertible Preferred Stock, 5,665,722 Shares issuable upon the conversion of the Convertible Note and 2,339,334 Shares issuable upon exercise of the Put/Call Agreement, constituting approximately 9.9% of the Shares outstanding calculated in accordance with the Ownership Restrictions.
Item 5(c) is hereby amended to add the following:
(c) The transactions effected by the Reporting Persons since the filing of Amendment No. 2 to the Schedule 13D are set forth on Schedule B attached hereto.
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
| LUXOR CAPITAL PARTNERS, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR WAVEFRONT, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR CAPITAL PARTNERS OFFSHORE MASTER FUND, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR CAPITAL PARTNERS OFFSHORE, LTD. |
| | |
| By: | Luxor Capital Group, LP Investment Manager |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR SPECTRUM OFFSHORE MASTER FUND, LP |
| | |
| By: | LCG Holdings, LLC General Partner |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR SPECTRUM OFFSHORE, LTD. |
| | |
| By: | Luxor Capital Group, LP Investment Manager |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR CAPITAL GROUP, LP |
| | |
| By: | Luxor Management, LLC General Partner |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LCG HOLDINGS, LLC |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| LUXOR MANAGEMENT, LLC |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| /s/ Norris Nissim |
| NORRIS NISSIM, as Agent for Christian Leone |
| BLUE SANDS LLC |
| | |
| By: | LCG Holdings, LLC Managing Member |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | General Counsel |
| BLUE SANDS B INC. |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | Secretary |
| BLUE SANDS C INC. |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | Secretary |
| BLUE SANDS D INC. |
| | |
| By: | /s/ Norris Nissim |
| | Name: | Norris Nissim |
| | Title: | Secretary |
SCHEDULE B
TRANSACTIONS EFFECTED BY THE REPORTING PERSONS SINCE THE FILING OF AMENDMENT NO. 2 TO THE SCHEDULE 13D
Class of Security | Amount of Securities Purchased | Price ($) | Date of Purchase |
| | | |
LUXOR CAPITAL PARTNERS, LP |
| |
Common Stock | 1,000 | 22.2926 | 06/30/14 |