SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/30/2015 | 3. Issuer Name and Ticker or Trading Symbol EXIDE TECHNOLOGIES [ XIDEQ ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.01 | 761,750 | D(1)(2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
7% Second Lien Senior Secured Convertible PIK Notes due 2025 | 04/30/2015 | 04/30/2025 | Common Stock, par value $0.01 | 3,411,867 | (4) | D(1)(2)(3) |
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. The Common Stock, par value $0.01 (the "Shares"), and the 7% Second Lien Senior Secured Convertible PIK Notes due 2025 (the "Bonds," and, collectively the "Securities") reported in this Form 3 are directly held by D. E. Shaw Galvanic Portfolios, L.L.C. ("Galvanic Portfolios"), which holds 761,750 Shares and a principal amount of 29,852,722 of the Bonds, and may be deemed to be indirectly held by the other Reporting Persons. |
2. D. E. Shaw Adviser II, L.L.C. ("Adviser II"), as investment adviser to Galvanic Portfolios; D. E. Shaw Manager II, L.L.C. ("Manager II"), as the manager to Galvanic Portfolios; D. E. Shaw & Co., L.P. ("DESCO LP"), as managing member to Adviser II; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the managing member of Manager II; and Mr. David E. Shaw ("David E. Shaw"), as president and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as president and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the securities reported in this Form 3 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. |
3. In accordance with instruction 5(b)(iv), the entire number of securities of the Issuer that may be deemed to be beneficially owned by Galvanic Portfolios, Manager II, Adviser II, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of Manager II, Adviser II, DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 3, except to the extent of any pecuniary interest therein. |
4. The initial conversion price shall be $1 of principal amount divided by the conversion rate of 0.11429. The conversion rate is subject to adjustment. |
/s/ Nathan Thomas, Authorized Signatory, D. E. Shaw Galvanic Portfolios, L.L.C. | 05/11/2015 | |
/s/ Nathan Thomas, Authorized Signatory, D. E. Shaw Manager II, L.L.C. | 05/11/2015 | |
/s/ Nathan Thomas, Chief Compliance Officer, D. E. Shaw Adviser II, L.L.C. | 05/11/2015 | |
/s/ Nathan Thomas, Authorized Signatory, D. E. Shaw & Co., L.L.C. | 05/11/2015 | |
/s/ Nathan Thomas, Chief Compliance Officer, D. E. Shaw & Co., L.P. | 05/11/2015 | |
/s/ Nathan Thomas, Attorney-in-Fact for David E. Shaw | 05/11/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |