-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RM+iwt9tDvX+EVNeSGRK3khoFrFMrV91/jla5LTFcM04+YyigMIKyicv+8yhCvEW BNRCNrN1ZDjSYWApRfUN6A== 0000905148-04-002206.txt : 20040423 0000905148-04-002206.hdr.sgml : 20040423 20040423163754 ACCESSION NUMBER: 0000905148-04-002206 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040423 FILED AS OF DATE: 20040423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUGGENHEIM CAPITAL LLC CENTRAL INDEX KEY: 0001283072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09498 FILM NUMBER: 04751507 MAIL ADDRESS: STREET 1: C/O TODD BOEHLY STREET 2: 135 E. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STELLAR FUNDING LTD CENTRAL INDEX KEY: 0001282241 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09498 FILM NUMBER: 04751506 MAIL ADDRESS: STREET 1: C/O GUGGENHEIM CAPITAL LLC STREET 2: 135 E 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUGGENHEIM INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001282242 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09498 FILM NUMBER: 04751505 MAIL ADDRESS: STREET 1: C/O GUGGENHEIM CAPITAL LLC STREET 2: 135 E 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MISSION RESOURCES CORP CENTRAL INDEX KEY: 0000319459 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 760437769 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1331 LAMAR STREET 2: SUITE 1455 CITY: HOUSTON STATE: TX ZIP: 77010 BUSINESS PHONE: 7134953000 MAIL ADDRESS: STREET 1: 1221 LAMAR STREET 2: STE 1600 CITY: HOUSTON STATE: TX ZIP: 77010-3039 FORMER COMPANY: FORMER CONFORMED NAME: BELLWETHER EXPLORATION CO DATE OF NAME CHANGE: 19920703 4 1 efc4-0914_ex.xml X0201 4 2004-04-23 0 0000319459 MISSION RESOURCES CORP MSSN 0001282241 STELLAR FUNDING LTD C/O GUGGENHEIM INVESTMENT MNGMT, LLC 135 EAST 57TH STREET, 9TH FLOOR NEW YORK NY 10022 0 0 1 0 0001282242 GUGGENHEIM INVESTMENT MANAGEMENT LLC 135 EAST 57THSTREET, 9TH FLOOR NEW YORK NY 10022 0 0 0 1 Group Member 0001283072 GUGGENHEIM CAPITAL LLC 227 WEST MONROE STREET, SUITE 4000 CHICAGO IL 60606 0 0 0 1 Group Member Common Stock, par value $.01 per share ("Common Stock") 2004-04-23 4 P 0 1250000 2.4193 A 1250000 I by Guggenheim Capital, LLC Common Stock 2004-04-23 4 S 0 1250000 2.4193 D 5000000 D On April 23, 2004, Stellar Funding Ltd. ( "Stellar") sold 1,250,000 shares of Common Stock to Guggenheim Capital, LLC ("GC") for 2.419333336 per share in a private transaction. Stellar is a private investment vehicle managed by Guggenheim Investment Management, LLC ("GIM"), a wholly owned subsidiary of GC. After giving effect to the transaction that is the subject of this Form 4, Stellar is the direct beneficial owner of 5,000,000 shares of Common Stock and GC is the direct beneficial owner of 1,250,000 shares of Common Stock. GIM is authorized to vote and exercise dispositive power over the shares of Common Stock owned by Stellar and, accordingly, may be an indirect beneficial owner of the 5,000,000 shares of Common Stock owned by Stellar. GIM, as a registered investment advisor, is eligible for the exclusion provided in clause (v) of Rule 16a-1(a)(1), GC is the parent of GIM, owns 1,250,000 shares of Common Stock and may be considered to be acting as a group with Stellar. Accordingly GC may be deemed an indirect beneficial owner of the 5,000,000 shares owned by Stellar. Each reporting person disclaims beneficial ownership of such Common Stock except to the extent of its pecuniary interest therein, and the inclusion of such Common Stock in this report shall not be deemed an admission of the beneficial ownership of such reported Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or for any other purpose, and each reporting person disclaims membership in any group for purposes of Section 13 of the Exchange Act or for any other purpose. Please see attached Joint Filer Information. /s/ Todd Boehly, as Managing Director of Guggenheim Investment Management, LLC, the Collateral Manager for Stellar Funding, Ltd. 2004-04-23 EX-99 3 efc4-0914_5536113ex99.txt Exhibit 99--Form 4 Joint Filer Information The following filers have designated Stellar Funding, Ltd. as the "Designated Filer" for purposes of the attached Form 4. Name: Guggenheim Investment Management, LLC Address: Guggenheim Investment Management, LLC 135 East 57th Street, 9th Floor New York, NY 10022 Designated Filer: Stellar Funding, Ltd. Issuer and Ticker Symbol: Mission Resources Corporation (MSSN) Date of Event Requiring Statement: April 23, 2004 Signature: GUGGENHEIM INVESTMENT MANAGEMENT, LLC By: /s/ Todd S. Boehly --------------------------------- Name: Todd S. Boehly Title: Managing Director Name: Guggenheim Capital, LLC Address: 227 West Monroe Street, Suite 4000 Chicago Illinois 60606 Designated Filer: Stellar Funding, Ltd. Issuer and Ticker Symbol: Mission Resources Corporation (MSSN) Date of Event Requiring Statement: April 23, 2004 Signature: GUGGENHEIM CAPITAL, LLC By: /s/ Dominic Curcio --------------------------------- Name: Dominic Curcio Title: Managing Director -----END PRIVACY-ENHANCED MESSAGE-----