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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/10/2008 |
3. Issuer Name and Ticker or Trading Symbol
Heckmann CORP [ HEK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 10/21/2008 |
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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) |
Heckmann Corporation Common Stock | 1,872,663 | I | See Footnote(1) |
Heckmann Corporation Common Stock | 677,937 | D(2) | |
Heckmann Corporation Common Stock | 35,949 | D(2) | |
Heckmann Corporation Common Stock | 890,664 | D(2) | |
Heckmann Corporation Common Stock | 30,501 | D(2) | |
Heckmann Corporation Common Stock | 166,720 | D(2) | |
Heckmann Corporation Common Stock | 2,686,273 | D(3) | |
Heckmann Corporation Common Stock | 2,701,285 | D(3) | |
Heckmann Corporation Common Stock | 222,779 | D(3) | |
Heckmann Corporation Common Stock | 70,892 | D(2) | |
Heckmann Corporation Common Stock | 7,483,000 | I | See Footnote(4) |
Heckmann Corporation Common Stock | 7,483,000 | I | See Footnote(5) |
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 | ||||
Heckmann Corporation Warrants | 11/09/2008 | 11/09/2011 | Common Stock | 34,892 | $6 | I | See Footnote(1) |
Heckmann Corporation Warrants | 11/09/2008 | 11/09/2011 | Common Stock | 70,000 | $6 | I | See Footnote(4) |
Heckmann Corporation Warrants | 11/09/2008 | 11/09/2011 | Common Stock | 70,000 | $6 | I | See Footnote(5) |
Heckmann Corporation Warrants | 11/09/2008 | 11/09/2011 | Common Stock | 5,672 | $6 | D(2) | |
Heckmann Corporation Warrants | 11/09/2008 | 11/09/2011 | Common Stock | 29,220 | $6 | D(2) | |
Heckmann Corporation Warrants | 11/09/2008 | 11/09/2011 | Common Stock | 35,108 | $6 | D(3) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. These securities are held by funds that are not, individually, 10% owners of the issuer's securities. Alydar Capital, LLC, the funds' General Partner, is reporting these securities because it may be deemed indirect beneficial owner of 10% or more of the issuer's securities, in the aggregate. The reporting person disclaims its beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
2. This transaction was made by a fund that is not, itself, a 10% owner of the issuer's securities. Alydar Partners, LLC, the fund's Investment Adviser, and John A. Murphy, its Manager, and the funds' Manager, are reporting these securities because they each may be deemed indirect beneficial owners of 10% or more of the issuer's securities, in the aggregate. The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. |
3. This transaction was made by a fund that is not, itself, a 10% owner of the issuer's securities. Alydar Partners, LLC, the fund's Investment Adviser, and John A. Murphy, its Manager, and the funds' Director, are reporting these securities because they each may be deemed indirect beneficial owners of 10% or more of the issuer's securities, in the aggregate. The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. |
4. These securities are held by funds that are not, individually, 10% owners of the issuer's securities. John A. Murphy, the funds' Manager/Director, is reporting these securities because he may be deemed indirect beneficial owner of 10% or more of the issuer's securities, in the aggregate. The reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
5. These securities are held by funds that are not, individually, 10% owners of the issuer's securities. Alydar Partners, LLC, the funds' Investment Adviser, is reporting these securities because it may be deemed indirect beneficial owner of 10% or more of the issuer's securities, in the aggregate. The reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
Alydar Partners, LLC, By: /s/ Paul J. Pitts, Attorney-in-Fact for John A. Murphy, its Manager | 11/04/2008 | |
Alysheba Fund, L.P., By: Alydar Capital, LLC, its General Partner, By: /s/ Paul J. Pitts, Attorney -in-Fact for John A. Murphy, its Manager | 11/04/2008 | |
John A. Murphy, By: /s/ Paul J. Pitts, Attorney-in-Fact for John A. Murphy | 11/04/2008 | |
** 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. |