<SEC-DOCUMENT>0001099409-11-000066.txt : 20111228
<SEC-HEADER>0001099409-11-000066.hdr.sgml : 20111228
<ACCEPTANCE-DATETIME>20111228150354
ACCESSION NUMBER: 0001099409-11-000066
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20111228
DATE AS OF CHANGE: 20111228
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERICAN AXLE & MANUFACTURING HOLDINGS INC
CENTRAL INDEX KEY: 0001062231
STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714]
IRS NUMBER: 383161171
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-59781
FILM NUMBER: 111283778
BUSINESS ADDRESS:
STREET 1: ONE DAUCH DRIVE
CITY: DETROIT
STATE: MI
ZIP: 48211-1198
BUSINESS PHONE: 3137583600
MAIL ADDRESS:
STREET 1: ONE DAUCH DRIVE
CITY: DETROIT
STATE: MI
ZIP: 48211-1198
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: GMT CAPITAL CORP
CENTRAL INDEX KEY: 0001106191
IRS NUMBER: 582021147
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: GMT CAPITAL CORP
STREET 2: 2300 WINDY RIDGE PARKWAY SUITE 550 SOUTH
CITY: ATLANTA
STATE: GA
ZIP: 30339
BUSINESS PHONE: 7709898250
MAIL ADDRESS:
STREET 1: GMT CAPITAL CORP
STREET 2: 2300 WINDY RIDGE PARKWAY SUITE 550 SOUTH
CITY: ATLANTA
STATE: GA
ZIP: 30339
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13G/A
<SEQUENCE>1
<FILENAME>americanaxleamendtwo.txt
<TEXT>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No.2)*
AMERICAN AXLE & MANUFACTURING HOLDINGS, INC.
-------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, $0.01 Par Value
-------------------------------------------------------------------------------
(Title of Class of Securities)
024061103
-------------------------------------------------------------------------------
(CUSIP Number)
December 27, 2011
-------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE
IS FILED:
[ ] RULE 13D-1(B)
[X] RULE 13D-1(C)
[ ] RULE 13D-1(D)
*THE REMAINDER OF THIS COVER PAGE SHALL BE FILLED OUT FOR A REPORTING
PERSON'S INITIAL FILING ON THIS FORM WITH RESPECT TO THE SUBJECT CLASS OF
SECURITIES, AND FOR ANY SUBSEQUENT AMENDMENT CONTAINING INFORMATION WHICH
WOULD ALTER DISCLOSURES PROVIDED IN A PRIOR COVER PAGE.
THE INFORMATION REQUIRED ON 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 (THE "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).
Page 1 of 10 Pages
<PAGE>
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Bay Resource Partners, L.P.
- --------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
- --------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF NONE
SHARES
BENEFICIALLY -------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 922,500
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
922,500
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
922,500
- --------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ] (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.2%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
- --------------------------------------------------------------------------
Page 2 of 10 Pages
<PAGE>
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Bay II Resource Partners, L.P.
- --------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
- --------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF NONE
SHARES
BENEFICIALLY -------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 1,192,400
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,192,400
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,192,400
- --------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ] (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------
11 PERCENTAGE OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.6%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
- --------------------------------------------------------------------------
Page 3 of 10 Pages
<PAGE>
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Bay Resource Partners Offshore Master Fund, L.P.
- --------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
- --------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- --------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF NONE
SHARES
BENEFICIALLY -------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 3,134,100
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
3,134,100
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,134,100
- --------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ] (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.2%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
- --------------------------------------------------------------------------
Page 4 of 10 Pages
<PAGE>
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GMT Capital Corp.
- --------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
- --------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
State of Georgia
- --------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF NONE
SHARES
BENEFICIALLY -------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 5,499,400
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
5,499,400
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,499,400
- --------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ] (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.3%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
- --------------------------------------------------------------------------
Page 5 of 10 Pages
<PAGE>
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas E. Claugus
- --------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [X]
(b) [ ]
- --------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 129,300
SHARES
BENEFICIALLY -------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 5,499,400
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
129,300
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
5,499,400
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,628,700
- --------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[ ] (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.5%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
- --------------------------------------------------------------------------
Page 6 of 10 Pages
<PAGE>
ITEM 1(A) NAME OF ISSUER:
-----------------
AMERICAN AXLE & MANUFACTURING HOLDINGS, INC.
ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
------------------------------------------------
One Dauch Drive
Detroit, Michigan 48211-1198
ITEM 2(a) NAME OF PERSON FILING:
-----------------------
(i) Bay Resource Partners, L.P. (Bay), with respect to
shares of Common Stock directly owned by it.
(ii) Bay II Resource Partners, L.P. (Bay II), with
respect to shares of Common Stock directly owned by it.
(iii) Bay Resource Partners Offshore Master Fund, L.P. (Offshore
Fund) with respect to shares of Common Stock directly
owned by it, as the successor to Bay Resource Partners
Offshore Fund, Ltd.
(iv) GMT Capital Corp. (GMT Capital) with respect to
shares of Common Stock beneficially owned by it.
(v) Thomas E. Claugus, (Mr. Claugus), with respect to the
shares of Common Stock directly owned by him and
directly owned by each of Bay, Bay II, and the
Offshore Fund and GMT Capital separate account clients.
The foregoing persons are hereinafter sometimes
collectively referred to as the Reporting Persons. Any
disclosures herein with respect to persons other than the
Reporting Persons are made on information and believe after
making inquiry to the appropriate party.
ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE:
------------------------------------------------------------
The address of the business office of each of the Reporting
Persons is 2300 Windy Ridge Parkway, Suite 550 South, Atlanta
Georgia 30339
ITEM 2(c) CITIZENSHIP:
------------
Bay and Bay II are limited partnerships organized under the
laws of the State of Delaware. The Offshore Fund is an
exempted limited partnership organized under the laws of the
Cayman Islands. GMT Capital is a Georgia corporation. Mr.
Claugus is a United States citizen.
ITEM 2(d) TITLE OF CLASS OF SECURITIES:
-----------------------------
Common Stock, $0.01 par value
Page 7 of 10 Pages
<PAGE
ITEM 2(e) CUSIP NUMBER: 024061103
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.240.13D-1(B) OR SS.
240.13d-2(B) or (C), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with
ss.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
ss.240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(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 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP:
----------
This Amendment No. 2 (Amendment No. 2) amends and supplements
Amendment No. 1 (Amendment No. 1) to Schedule 13G filed with the
Securities and Exchange Commission (SEC) on December 2, 2011
which amended and supplemented the Schedule 13G originally filed
with the SEC on September 28, 2011 by the Reporting Persons.
The aggregate percentage of Shares reported as owned by each
Reporting Person is based upon 75,308,888 shares of Common Stock
outstanding as of October 26, 2011, as disclosed in the Issuers
Form 10-Q filing for the quarterly period ended September 30, 2011,
filed with the SEC on October 28, 2011. This Statement is being
filed with respect to an aggregate of 5,628,700 shares of Common
Stock, resulting in beneficial ownership of Common Stock as
follows:
1. Bay Resource Partners, L.P.,
(a) Amount Beneficially owned: 922,500
(b) Percent of Class: 1.2%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 922,500
Page 8 of 10 Pages
<PAGE>
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition: 922,500
2. Bay II Resource Partners, L.P.
(a) Amount Beneficially owned: 1,192,400
(b) Percent of Class: 1.6%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 1,192,400
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition: 1,192,400
3. Bay Resource Partners Offshore Master Fund, L.P.
(a) Amount Beneficially owned: 3,134,100
(b) Percent of Class: 4.2%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 3,134,100
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition:
3,134,100
4. GMT Capital Corp.
(a) Amount Beneficially owned: 5,499,400
(b) Percent of Class: 7.3%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 5,499,400
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition:
5,499,400
5. Thomas E. Claugus
(a) Amount Beneficially owned: 5,628,700
(b) Percent of Class: 7.5%
(c) (i) Sole power to vote or direct the vote: 129,300
(ii) Shared power to vote or direct the vote: 5,499,400
(iii) Sole power to dispose or direct the disposition: 129,300
(iv) Shared power to dispose or direct the disposition:
5,499,400
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
---------------------------------------------
N/A
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON.
--------------------------------------------------------
GMT Capital, the general partner of Bay and Bay II, has the
power to direct the affairs of Bay and Bay II, including
the voting and disposition of shares. As the discretionary
investment manager of the Offshore Fund and certain other
accounts, GMT Capital has power to direct the voting and
disposition of shares held by the Offshore Fund and such
accounts. Mr. Claugus is the President of GMT Capital and
in that capacity directs the operations of each of Bay
and Bay II and the voting and disposition of shares held
by the Offshore Fund and separate client accounts managed
by GMT Capital.
Page 9 of 10 Pages
<PAGE>
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT
HOLDING COMPANY OR CONTROL PERSON.
---------------------------------------------------------
N/A
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
----------------------------------------------------------
See Item 2.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
---------------------------------
N/A
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above 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 hereby certify that the information set forth in this statement is
true, complete and correct.
December 28, 2011
/s/ Thomas E. Claugus
----------------------------------
Thomas E. Claugus, for himself
and as President of GMT Capital
Corp., for itself and as the
general partner of (i) Bay
Resource Partners, L.P. and (ii)
Bay II Resource Partners, L.P.,
and as the investment manager
of (iii) Bay Resource Partners
Offshore Master Fund, L.P. and
(iv) certain other accounts.
Page 10 of 10 Pages
<PAGE>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>