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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.3)*
Enteromedics Incorporated
(Name of Issuer)
Common Stock
(Title of Class of Securities)
29365M208
(CUSIP Number)
December 31, 2012
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1(b)
¨ Rule 13d-1(c)
¨ Rule 13d-1(d)
* | The remainder of this cover page shall be filled out for a reporting persons 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).
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Advisors, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
2,458,156 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
2,458,156 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,458,156 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
IA |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 2 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Advisors, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,585,685 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,585,685 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,585,685 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
IA |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 3 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Partners, L.P. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,585,685 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,585,685 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,585,6857 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
PN |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 4 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Fund, L.P. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,585,685 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,585,685 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,585,685 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
PN |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 5 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Fund, Ltd. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,585,685 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,585,685 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,585,685 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
CO |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 6 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Long Short Equity Fund, | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
19,964 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
19,964 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,964 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.0% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
IV |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 7 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Advisors, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
707,129 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
707,129 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
707,129 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
IA |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 8 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Partners LP | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
707,129 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
707,129 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
707,129 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
PN |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 9 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Fund, LP | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
707,129 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
707,129 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
707,129 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
PN |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 10 of 16
13G
CUSIP No. 29365M208 |
1 |
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Fund, Ltd | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x
| |||||
3 | SEC USE ONLY
| |||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
707,129 (See item 4) | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
707,129 (See item 4) | |||||
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
707,129 (See item 4) | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
| |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.6% (See item 4) | |||||
12 | TYPE OF REPORTING PERSON*
CO |
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 11 of 16
Item 1.
(a) | Name of Issuer |
Enteromedics Incorporated
(b) | Address of Issuers Principal Executive Offices |
2800 Patton Road
StPaul, MN 55113
Item 2.
(a) | Name of Person Filing |
This statement is filed by:
(i) | Whitebox Advisors, LLC, a Delaware limited liability company (WA); |
(ii) | Whitebox Multi-Strategy Advisors, LLC, a Delaware limited liability company (WMSA); |
(iii) | Whitebox Multi-Strategy Partners, L.P., a British Virgin Islands limited partnership (WMSP); |
(iv) | Whitebox Multi-Strategy Fund, L.P., a Delaware limited partnership (WMSFLP); |
(v) | Whitebox Multi-Strategy Fund, Ltd., a British Virgin Islands international business company (WMSFLTD); |
(vi) | Whitebox Long Short Equity Fund, a series of Whitebox Mutual Funds, a Delaware statutory trust (WLSEF); |
(vii) | Pandora Select Advisors, LLC, a Delaware limited liability company (PSA); |
(viii) | Pandora Select Partners, L.P., a British Virgin Islands limited partnership (PSP); |
(ix) | Pandora Select Fund, L.P., a Delaware limited partnership (PSFLP); |
(x) | Pandora Select Fund, Ltd., a British Virgin Islands international business company (PSFLTD); |
(xi) | HFR RVA Combined Master Trust, a Bermuda limited partnership (HFR); |
(b) | Address of Principal Business Office or, if none, Residence |
The address of the business office of WA, WMSA, WMSFLP, WLSEF, PSA, and PSFLP is:
3033 Excelsior Boulevard
Suite 300
Minneapolis, MN 55416
The address of the business office of WMSP, WMSFLTD, PSP, and PSFLTD is:
Appleby Corporate Services (BVI) Limited
Jayla Place, P.O. Box 3190
Road Town, Tortola, British Virgin Islands
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 12 of 16
The address of the business office of HFR is:
HFR RVA Combined Master Trust
65 Front Street
Hamilton, HM 11, Bermuda
(c) | Citizenship |
WA, WMSA, WMSFLP, WLSEF, PSA, and PSFLP are organized under the laws of the State of Delaware; WMSP, WMSFLTD, PSP, and PSFLTD are organized under the laws of the British Virgin Islands; HFR is organized under the laws of Bermuda.
(d) | Title of Class of Securities |
Common Stock
(e) | CUSIP Number |
29365M208
Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
(a) |
¨ | Broker or dealer registered under section 15 of the Act. | ||
(b) |
¨ | Bank as defined in section 3(a)(6) of the Act. | ||
(c) |
¨ | Insurance company as defined in section 3(a)(19) of the Act. | ||
(d) |
¨ | Investment company registered under section 8 of the Investment Company Act of 1940. | ||
(e) |
x | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). | ||
(f) |
¨ | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F). | ||
(g) |
¨ | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G). | ||
(h) |
¨ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. | ||
(i) |
¨ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940. | ||
(j) |
¨ | Group, in accordance with § 240.13d-1(b)(1)(ii)(J). |
Item 4. | Ownership |
(a) | Amount Beneficially Owned |
WA, acting as an investment adviser to its client, is deemed to be the beneficial owner of 2,458,156 shares of
Common Stock of the Company.
WMSA, is deemed to beneficially own 1,585,685 Shares of Common Stock of the company.
WMSP is deemed to beneficially own 1,585,685 shares of Common Stock as a result of its indirect ownership of
Warrants and Common Stock of the company.
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 13 of 16
WMSFLP is deemed to beneficially own 1,585,685 shares of Common Stock as a result of its indirect ownership of
Warrants and Common Stock of the company.
WMSFLTD is deemed to beneficially own 1,585,685 shares of Common Stock as a result of its indirect ownership of Warrants and Common Stock of the company.
WLSEF is deemed to beneficially own 19,964 shares of warrants of the company.
PSA, is deemed to beneficially own 707,129 Shares of Common Stock of the company.
PSP is deemed to beneficially own 707,129 shares of Common Stock as a result of its indirect ownership of
Warrants and Common Stock of the company.
PSFLP is deemed to beneficially own 707,129 shares of Common Stock as a result of its indirect ownership of
Warrants and Common Stock of the company.
PSFLTD is deemed to beneficially own 707,129 shares of Common Stock as a result of its indirect ownership of
Warrants and Common Stock of the company.
HFR, is deemed to beneficially own 145,378 shares of Common Stock as a result of its indirect ownership of
Warrants and Common Stock of the company.
As a result of the relationship described in this statement, each of WA, WMSA, WMSFLP, WMSFLTD,
PSA, PSFLP, and PSFLTD may be deemed to possess indirect beneficial ownership of the shares of Common Stock
beneficially owned by each of WMSP, WLSEF, PSP, and HFR.
WA, WMSA, WMSFLP, WMSFLTD, PSA, PSFLP, and PSFLTD each disclaim indirect beneficial ownership of the shares of Common Stock except to the extent of their pecuniary interest in such shares.*
Based on the relationships described herein, these entities may be deemed to constitute a group within the meaning Of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as An admission that WA, WMSA, WMSP, WMSFLP, WMSFLTD, WLSEF, PSA, PSP, PSFLP, PSFLTD, and HFR are a group, Or have agreed to act as a group.*
(b) Percent of Class
WA beneficially owns 5.6 % of the companys Common Stock.*
WMSA is deemed to beneficially own 3.6 % of the companys Common Stock
WMSP is deemed to beneficially own 3.6 % of the companys Common Stock
WMSFLP is deemed to beneficially own 3.6 % of the companys Common Stock
WMSFLTD is deemed to beneficially own 3.6 % of the companys Common Stock
WLSEF is deemed to beneficially own 0.0 % of the companys Common Stock
PSA is deemed to beneficially own 1.6 % of the companys Common Stock
PSP is deemed to beneficially own 1.6 % of the companys Common Stock
PSFLP is deemed to beneficially own 1.6 % of the companys Common Stock
PSFLTD is deemed to beneficially own 1.6 % of the companys Common Stock
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 14 of 16
HFR beneficially owns 0.3 % of the companys Common Stock.*
The percentage of Common Stock reportedly owned by each entity herein is based on 41,700,000 shares of outstanding Common Stock of the Company, which is the total number of shares issued and outstanding on October 31st, 2012.
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
0
(ii) | Shared power to vote or to direct the vote |
WA has shared voting power with respect to 2,458,156 shares of the Issuers Common Stock.
WMSA, WMSP, WMSFLP, and WMSFLTD, have shared voting power with respect to 1,585,685 Shares of the Companys Common Stock.
WLSEF had shared voting power with respect to 19,964 Shares of the Companys Common Stock.
PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 707,129 Shares of the
Companys Common Stock.
(iii) | Sole power to dispose or to direct the disposition of |
0
(iv) | Shared power to dispose or to direct the disposition of |
WA has shared voting power with respect to 2,458,156 shares of the Issuers Common Stock.
WMSA, WMSP, WMSFLP, and WMSFLTD, have shared voting power with respect to 1,585,685 Shares of the Companys Common Stock.
WLSEF has shared voting power with respect to 19,964 Shares of the Companys Common Stock.
PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 707,129 Shares of the
Companys Common Stock.
Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).
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 ¨*.
Instruction. Dissolution of a group requires a response to this item.
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 15 of 16
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 or Control Person. |
Not Applicable
Item 8. | Identification and Classification of Members of the Group |
See Item 2
Item 9. | Notice of Dissolution of Group |
Not Applicable
Item 10. | Certification |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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.
02/13/13 | ||
Date | ||
/s/Clint B. Semm | ||
Signature Clint B. Semm as Chief Financial Officer of Whitebox Advisors, LLC. | ||
Name/Title |
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representatives authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
fb.us.1260302.03
** SEE INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 16 of 16