0000919574-20-000641.txt : 20200129
0000919574-20-000641.hdr.sgml : 20200129
20200129173032
ACCESSION NUMBER: 0000919574-20-000641
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200114
FILED AS OF DATE: 20200129
DATE AS OF CHANGE: 20200129
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Whitebox Multi-Strategy Partners LP
CENTRAL INDEX KEY: 0001452149
STATE OF INCORPORATION: D8
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35471
FILM NUMBER: 20559212
BUSINESS ADDRESS:
STREET 1: WATERFRONT DRIVE
STREET 2: WICKHAM'S CAY 1
CITY: ROAD TOWN, TORTOLA
STATE: D8
ZIP: 00000
BUSINESS PHONE: 612-253-6001
MAIL ADDRESS:
STREET 1: 3033 EXCELSIOR BOULEVARD
STREET 2: SUITE 300
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55416
FORMER NAME:
FORMER CONFORMED NAME: Whitebox Combined Partners LP
DATE OF NAME CHANGE: 20081215
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WHITEBOX GENERAL PARTNER LLC
CENTRAL INDEX KEY: 0001650272
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35471
FILM NUMBER: 20559213
BUSINESS ADDRESS:
STREET 1: 3033 EXCELSIOR BLVD.
STREET 2: SUITE 300
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55416
BUSINESS PHONE: 612-253-6001
MAIL ADDRESS:
STREET 1: 3033 EXCELSIOR BLVD.
STREET 2: SUITE 300
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55416
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC
CENTRAL INDEX KEY: 0001257391
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35471
FILM NUMBER: 20559214
BUSINESS ADDRESS:
STREET 1: 3033 EXCELSIOR BLVD.
STREET 2: SUITE 300
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55416
BUSINESS PHONE: 612-253-6001
MAIL ADDRESS:
STREET 1: 3033 EXCELSIOR BLVD.
STREET 2: SUITE 300
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55416
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SAExploration Holdings, Inc.
CENTRAL INDEX KEY: 0001514732
STANDARD INDUSTRIAL CLASSIFICATION: OIL AND GAS FIELD EXPLORATION SERVICES [1382]
IRS NUMBER: 274867100
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1160 DAIRY ASHFORD RD.
STREET 2: SUITE 160
CITY: HOUSTON
STATE: TX
ZIP: 77079
BUSINESS PHONE: 281-258-4400
MAIL ADDRESS:
STREET 1: 1160 DAIRY ASHFORD RD.
STREET 2: SUITE 160
CITY: HOUSTON
STATE: TX
ZIP: 77079
FORMER COMPANY:
FORMER CONFORMED NAME: Trio Merger Corp.
DATE OF NAME CHANGE: 20110307
4
1
ownership.xml
X0306
4
2020-01-14
0
0001514732
SAExploration Holdings, Inc.
SAEX
0001257391
WHITEBOX ADVISORS LLC
3033 EXCELSIOR BOULEVARD, SUITE 500
MINNEAPOLIS
MN
55416
0
0
1
0
0001650272
WHITEBOX GENERAL PARTNER LLC
3033 EXCELSIOR BOUELVARD, SUITE 500
MINNEAPOLIS
MN
55416
0
0
1
0
0001452149
Whitebox Multi-Strategy Partners LP
ESTERA CORPORATE SERVICES (BVI) LTD.
JAYLA PLACE, WICKHAMS CAY 1, BOX 3190
ROAD TOWN, TORTOLA
D8
VG1110
VIRGIN ISLANDS, BRITISH
0
0
1
0
Series F Warrants
2020-01-14
4
A
0
171270
A
Common Stock
2176245
I
See Footnote
Series F Warrants
2020-01-14
4
A
0
119975
A
Common Stock
1333100
D
The Reporting Persons were not aware of complete information regarding the transactions reported herein until receiving the transaction confirmation from the transfer agent by mail on January 28, 2020.
These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
These securities are directly beneficially owned by WMP.
These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference.
Whitebox Advisors LLC By: /s/ Daniel Altabef, General Counsel - Regulatory Affairs & Compliance
2020-01-29
Whitebox General Partner LLC By: /s/ Daniel Altabef, General Counsel - Regulatory Affairs & Compliance
2020-01-29
Whitebox Multi-Strategy Partners LP By: Whitebox General Partner LLC. By: /s/ Daniel Altabef, General Counsel - Regulatory Affairs & Compliance
2020-01-29