SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol WARRIOR MET COAL, INC. [ HCC ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 05/10/2018 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 05/10/2018 | S | 524,749 | D | $24.2(1) | 1,137,128 | I | See Footnotes(2)(13)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 462,967 | D | $24.2(1) | 1,003,247 | I | See Footnotes(3)(13)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 53,348 | D | $24.2(1) | 115,606 | I | See Footnotes(4)(13)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 60,369 | D | $24.2(1) | 130,821 | I | See Footnotes(5)(13)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 111,564 | D | $24.2(1) | 241,761 | I | See Footnotes(6)(13)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 126,800 | D | $24.2(1) | 274,775 | I | See Footnotes(7)(12)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 48,711 | D | $24.2(1) | 105,558 | I | See Footnotes(8)(13)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 17,097 | D | $24.2(1) | 37,050 | I | See Footnotes(9)(12)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 167,405 | D | $24.2(1) | 362,766 | I | See Footnotes(10)(12)(14)(15)(16)(17) | ||
| Common Stock | 05/10/2018 | S | 296,669 | D | $24.2(1) | 642,881 | I | See Footnotes(11)(12)(14)(15)(16)(17) | ||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. This amount represents the $24.20 public offering price per share of Issuer common stock. |
| 2. GSO Special Situations Fund LP ("Special Situations Fund") directly holds these securities. |
| 3. GSO SSOMF Locomotive Blocker Ltd. ("SSOMF Fund") directly holds these securities. GSO Special Situations Overseas Master Fund Ltd. is the sole shareholder of SSOMF Fund. |
| 4. Steamboat Locomotive Blocker Ltd. ("Steamboat Fund") directly holds these securities. Steamboat Credit Opportunities Intermediate Fund LP is the sole shareholder of Steamboat Fund. |
| 5. GSO ADGM Locomotive Blocker Ltd. ("ADGM Fund") directly holds these securities. GSO Aiguille des Grands Montets Fund I LP, GSO Aiguille des Grands Montets Fund II LP and GSO Aiguille des Grands Montets Fund III LP are the shareholders of ADGM Fund. |
| 6. GSO Cactus Credit Opportunities Fund LP ("Cactus Fund") directly holds these securities. |
| 7. GSO Churchill Partners LP ("Churchill Fund") directly holds these securities. |
| 8. GSO Coastline Credit Partners LP ("Coastline Fund") directly holds these securities. |
| 9. GSO Credit-A Partners LP ("Credit-A Fund") directly holds these securities. |
| 10. GSO Palmetto Opportunistic Investment Partners LP ("Palmetto Fund") directly holds these securities. |
| 11. GSO Credit Alpha Fund AIV-2 LP ("COCA AIV-2 Fund", and collectively with Special Situations Fund, SSOMF Fund, Steamboat Fund, ADGM Fund, Cactus Fund, Churchill Fund, Coastline Fund, Credit-A Fund and Palmetto Fund, the "GSO Funds") directly holds these securities. |
| 12. GSO Churchill Associates LLC is the general partner of Churchill Fund. GSO Credit-A Associates LLC is the general partner of Credit-A Fund. GSO Palmetto Opportunistic Associates LLC is the general partner of Palmetto Fund. GSO Credit Alpha Associates LLC is the general partner of COCA AIV-2 Fund. GSO Holdings I L.L.C. is the managing member of each of GSO Churchill Associates LLC, GSO Credit-A Associates LLC, GSO Palmetto Opportunistic Associates LLC and GSO Credit Alpha Associates LLC. Blackstone Holdings I L.P. is the managing member of GSO Holdings I L.L.C. with respect to the shares beneficially owned by GSO Credit Alpha Associates LLC. Blackstone Holdings II L.P. is the managing member of GSO Holdings I L.L.C. with respect to shares beneficially owned by GSO Churchill Associates LLC, GSO Credit-A Associates LLC and GSO Credit Palmetto Opportunistic Associates LLC. |
| 13. GSO Capital Partners LP is the investment manager or advisor with respect to the shares of Issuer common stock held by Special Situations Fund, SSOMF Fund, Steamboat Fund, ADGM Fund, Cactus Fund and Coastline Fund. GSO Advisor Holdings L.L.C. is the special limited partner of GSO Capital Partners LP with the investment and voting power over the securities beneficially owned by GSO Capital Partners LP. Blackstone Holdings I L.P. is the sole member of GSO Advisor Holdings L.L.C. |
| 14. Blackstone Holdings I/II GP Inc. is the general partner of Blackstone Holdings I L.P. and Blackstone Holdings II L.P. The Blackstone Group L.P. is the controlling shareholder of Blackstone Holdings I/II GP Inc. Blackstone Group Management L.L.C. is the general partner of The Blackstone Group L.P. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman. In addition, each of Bennett J. Goodman and J. Albert Smith III may be deemed to have shared voting power and/or investment power with respect to the securities held by the GSO Funds. |
| 15. Due to the limitations of the electronic filing system certain Reporting Persons are filing a separate Form 4. |
| 16. Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. |
| 17. Each of the Reporting Persons (other than each of the GSO Funds to the extent they directly hold securities of the Issuer), disclaims beneficial ownership of the securities held by each of the GSO Funds, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than each of the GSO Funds to the extent they directly hold securities of the Issuer) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
| Remarks: |
| GSO SPECIAL SITUATIONS OVERSEAS MASTER FUND LTD., By: GSO Capital Partners LP, its investment manager, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| STEAMBOAT CREDIT OPPORTUNITIES INTERMEDIATE FUND LP, By: GSO Capital Partners LP, its investment manager, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO AIGUILLE DES GRANDS MONTETS FUND I LP., By: GSO Capital Partners LP, its investment manager, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO AIGUILLE DES GRANDS MONTETS FUND II LP, By: GSO Capital Partners LP, its investment manager, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO AIGUILLE DES GRANDS MONTETS FUND III LP, By: GSO Capital Partners LP, its investment manager, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO CHURCHILL ASSOCIATES LLC, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO CREDIT-A ASSOCIATES LLC, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO PALMETTO OPPORTUNISTIC ASSOCIATES LLC, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO CREDIT ALPHA ASSOCIATES LLC, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| GSO CAPITAL PARTNERS LP, By: /s/ Marisa Beeney, Name: Marisa Beeney, Title: Authorized Signatory | 05/14/2018 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||