0001181431-13-037657.txt : 20130701
0001181431-13-037657.hdr.sgml : 20130701
20130701211644
ACCESSION NUMBER: 0001181431-13-037657
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130628
FILED AS OF DATE: 20130701
DATE AS OF CHANGE: 20130701
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: DUNE ENERGY INC
CENTRAL INDEX KEY: 0001092839
STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389]
IRS NUMBER: 954737507
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: TWO SHELL PLAZA
STREET 2: 777 WALKER STREET SUITE 2300
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 7132296300
MAIL ADDRESS:
STREET 1: TWO SHELL PLAZA
STREET 2: 777 WALKER STREET SUITE 2300
CITY: HOUSTON
STATE: TX
ZIP: 77002
FORMER COMPANY:
FORMER CONFORMED NAME: IP FACTORY INC
DATE OF NAME CHANGE: 19990809
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlueMountain Credit Opportunities GP I, LLC
CENTRAL INDEX KEY: 0001564703
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946262
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-905-3900
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlueMountain Credit Opportunities Master Fund I L.P.
CENTRAL INDEX KEY: 0001564705
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946263
BUSINESS ADDRESS:
STREET 1: C/O MAPLES CORPORATE SERVICES LIMITED
STREET 2: PO BOX 309
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1104
BUSINESS PHONE: 212-905-3900
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlueMountain Kicking Horse Fund GP, LLC
CENTRAL INDEX KEY: 0001557778
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946264
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-905-3900
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund PLC
CENTRAL INDEX KEY: 0001546863
STATE OF INCORPORATION: L2
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946266
BUSINESS ADDRESS:
STREET 1: BEAUX LANE HOUSE, MERCER STREET LOWER
CITY: DUBLIN
STATE: L2
ZIP: DUBLIN 2
BUSINESS PHONE: 212-905-3900
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Humphreys Peak, LLC
CENTRAL INDEX KEY: 0001543689
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946267
BUSINESS ADDRESS:
STREET 1: 2711 CENTERVILLE ROAD
STREET 2: SUITE 400
CITY: WILMINGTON
STATE: DE
ZIP: 19808
BUSINESS PHONE: 212-905-3900
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlueMountain GP Holdings, LLC
CENTRAL INDEX KEY: 0001540859
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946268
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE, 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-905-3900
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE, 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlueMountain Kicking Horse Fund L.P.
CENTRAL INDEX KEY: 0001557943
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27897
FILM NUMBER: 13946265
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-905-3990
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE
STREET 2: 5TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
rrd384986.xml
FORM 4
X0306
4
2013-06-28
0
0001092839
DUNE ENERGY INC
DUNR
0001540859
BlueMountain GP Holdings, LLC
280 PARK AVENUE, 5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
0001543689
Humphreys Peak, LLC
280 PARK AVENUE
5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
0001546863
BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund PLC
280 PARK AVENUE
5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
0001557943
BlueMountain Kicking Horse Fund L.P.
280 PARK AVENUE
5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
0001557778
BlueMountain Kicking Horse Fund GP, LLC
280 PARK AVENUE
5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
0001564705
BlueMountain Credit Opportunities Master Fund I L.P.
280 PARK AVENUE
5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
0001564703
BlueMountain Credit Opportunities GP I, LLC
280 PARK AVENUE
5TH FLOOR EAST
NEW YORK
NY
10017
0
0
1
0
Common Stock
2013-06-28
4
P
0
1375684
1.60
A
15088416
I
See explanations and responses
Common Stock
2013-06-28
4
P
0
22202
1.60
A
243510
D
Common Stock
2013-06-28
4
P
0
793
1.60
A
8695
D
Common Stock
2013-06-28
4
P
0
127748
1.60
A
1401134
D
Call Option (right to buy)
1.60
2013-06-28
4
E
0
1375684
D
Common Stock
1375684
0
I
See explanations and responses
The filing of this Form 4 shall not be construed as an admission that BlueMountain Capital Management, LLC ("BMCM"), GP Holdings (as defined in Footnote 7 below) or any of the General Partners (as defined in Footnote 6 below) is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise the beneficial owner of any of the shares of Common Stock, par value $0.001 per share (the "Common Stock") of Dune Energy Inc. (the "Issuer"). Pursuant to Rule 16a-1(a)(4) of the Exchange Act, BMCM, GP Holdings and the General Partners disclaim such beneficial ownership, except to the extent of their pecuniary interest.
BMCM is the investment manager of each of (i) Blue Mountain Credit Alternatives Master Fund L.P. ("BMCA"), which directly owns 3,486,242 shares of Common Stock (the "BMCA Shares"), (ii) BlueMountain Long/Short Credit Master Fund L.P. ("Long/Short Credit") which directly owns 3,402,118 shares of Common Stock (the "Long/Short Credit Shares"), (iii) BlueMountain Distressed Master Fund L.P. ("Distressed"), which directly owns 3,006,362 shares of Common Stock (the "Distressed Shares"), (iv) BlueMountain Strategic Credit Master Fund L.P. ("Strategic Credit"), which directly owns 464,253 shares of Common Stock (the "Strategic Credit Shares"), (cont'd in Footnote 3)
(v) BlueMountain Timberline Ltd. ("Timberline"), which directly owns 3,076,102 shares of Common Stock (the "Timberline Shares"); (vi) Humphreys Peak, LLC ("Humphreys"), which no longer directly owns any shares of Common Stock (the "Humphreys Shares"); (vii) BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund PLC ("AAI") which directly owns 243,510 shares of Common Stock (the "AAI Shares"), (viii) BlueMountain Kicking Horse Fund L.P. ("Kicking Horse") which directly owns 8,695 shares of Common Stock (the "Kicking Horse Shares") and BlueMountain Credit Opportunties Master Fund I, L.P. ("COF") which directly owns 1,401,134 shares of Common Stock (the "COF Shares"). The shareholding information set forth in Footnote 2 and this Footnote 3 is as of 6/28/2013.
BMCM, although it directs the voting and disposition of the shares held by the BlueMountain Funds, only receives an asset-based fee relating to such shares of Common Stock.
(i) Blue Mountain CA Master Fund GP, Ltd. ("BMCA GP") is the general partner of BMCA and has an indirect profits interest in the BMCA Shares owned by BMCA; (ii) BlueMountain Long/Short Credit GP, LLC ("Long/Short Credit GP") is the general partner of Long/Short Credit and has an indirect profits interest in the Long/Short Credit Shares owned by Long/Short Credit; (iii) BlueMountain Distressed GP, LLC ("Distressed GP") is the general partner of Distressed and has an indirect profits interest in the Distressed Shares owned by Distressed; (iv) BlueMountain Strategic Credit GP, LLC ("Strategic Credit GP") is the general partner of Strategic Credit and has an indirect profits interest in the Strategic Credit Shares owned by Strategic Credit (cont'd in Footnote 6)
(vii) BlueMountain Kicking Horse Fund GP, LLC ("Kicking Horse GP") is the general partner of Kicking Horse and has an indirect profits interest in the Kicking Horse Shares owned by Kicking Horse and (viii) BlueMountain Credit Opportunities GP I, LLC ("COF GP", and together with BMCA GP, Long/Short Credit GP, Distressed GP and Strategic Credit GP, the "General Partners") is the general partner of COF and has an indirect profits interest in the shares of Common Stock owned by BlueMountain Credit Opportunities Master Fund I, L.P. ("COF" and together with BMCA, Long/Short Credit, Distressed, Strategic Credit, Timberline, AAI and Kicking Horse (the "BlueMountain Funds")).
BlueMountain GP Holdings, LLC ("GP Holdings") is the ultimate general partner of each of BMCA, Long/Short Credit, Distressed, Kicking Horse, COF and Strategic Credit (the "Partnerships") and is the special member of Humphreys and has an indirect profits interest in the Common Stock owned by each of the Partnerships and Humphreys, if applicable.
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16(a)-3(j) under the Exchange Act. The Form 4 for BMCM, the General Partners and the BlueMountain Funds is being filed separately and simultaneously with this Form 4 due to the limitation of ten Reporting Persons per each filing.
On June 28, 2013, AAI purchased 22,202 shares of Common Stock.
On June 28, 2013, Kicking Horse purchased 793 shares of Common Stock.
On June 28, 2013, COF purchased 127,748 shares of Common Stock.
The Reporting Persons entered into a stock purchase agreement with Dune Energy, Inc. (the "Issuer") on December 20, 2012 (the "SPA"). Following the transactions described herein, the Reporting Persons no longer have a right to purchase shares of common stock of the Issuer pursuant to the terms of the SPA.
BlueMountain GP Holdings, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01
Humphreys Peak, LLC By: BlueMountain Capital Management, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01
BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund PLC By: BlueMountain Capital Management, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01
BlueMountain Kicking Horse Fund L.P. By: BlueMountain Capital Management, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01
BlueMountain Kicking Horse Fund GP, LLC By: BlueMountain GP Holdings, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01
BlueMountain Credit Opportunities Master Fund I L.P. By: BlueMountain Capital Management, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01
BlueMountain Credit Opportunities GP I, LLC By: BlueMountain GP Holdings, LLC By: /s/ Paul Friedman, Chief Compliance Officer
2013-07-01