0000950142-15-001026.txt : 20150512
0000950142-15-001026.hdr.sgml : 20150512
20150512152746
ACCESSION NUMBER: 0000950142-15-001026
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150430
FILED AS OF DATE: 20150512
DATE AS OF CHANGE: 20150512
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: EXIDE TECHNOLOGIES
CENTRAL INDEX KEY: 0000813781
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
IRS NUMBER: 230552730
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 13000 DEERFIELD PARKWAY
STREET 2: BUILDING 200
CITY: ALPHARETTA
STATE: GA
ZIP: 30004
BUSINESS PHONE: 6785669000
MAIL ADDRESS:
STREET 1: 13000 DEERFIELD PARKWAY
STREET 2: BUILDING 200
CITY: ALPHARETTA
STATE: GA
ZIP: 30004
FORMER COMPANY:
FORMER CONFORMED NAME: EXIDE CORP
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MAINSTAY VP FUNDS TRUST
CENTRAL INDEX KEY: 0000887340
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11263
FILM NUMBER: 15854234
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 2125767000
MAIL ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
FORMER NAME:
FORMER CONFORMED NAME: MAINSTAY VP SERIES FUND INC
DATE OF NAME CHANGE: 20010518
FORMER NAME:
FORMER CONFORMED NAME: NEW YORK LIFE MFA SERIES FUND INC
DATE OF NAME CHANGE: 19920929
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MAINSTAY FUNDS
CENTRAL INDEX KEY: 0000787441
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11263
FILM NUMBER: 15854235
BUSINESS ADDRESS:
STREET 1: 51 MADISON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 2125767000
MAIL ADDRESS:
STREET 1: 51 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10010
FORMER NAME:
FORMER CONFORMED NAME: MACKAY SHIELDS MAINSTAY SERIES FUND /NY/
DATE OF NAME CHANGE: 19911126
FORMER NAME:
FORMER CONFORMED NAME: MACKAY SHIELDS SERIES FUND
DATE OF NAME CHANGE: 19860506
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MACKAY SHIELDS LLC
CENTRAL INDEX KEY: 0000061227
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11263
FILM NUMBER: 15854236
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-230-3811
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
FORMER NAME:
FORMER CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP
DATE OF NAME CHANGE: 19920929
3
1
es1500627_3-exide.xml
OWNERSHIP DOCUMENT
X0206
3
2015-04-30
0
0000813781
EXIDE TECHNOLOGIES
NONE
0000061227
MACKAY SHIELDS LLC
1345 AVENUE OF THE AMERICAS
NEW YORK
NY
10105
0
0
1
1
See footnotes(2)(3)
0000787441
MAINSTAY FUNDS
1345 AVENUE OF THE AMERICAS
NEW YORK
NY
10105
0
0
1
1
See footnotes(2)(3)
0000887340
MAINSTAY VP FUNDS TRUST
1345 AVENUE OF THE AMERICAS
NEW YORK
NY
10105
0
0
1
1
See footnotes(2)(3)
Common Stock, par value $0.01
2531535
I
See footnotes
7% Second Lien Senior Secured Convertible PIK Notes due 2025
2015-04-30
2025-04-30
Common Stock, par value $0.01
14125120
D
There is no trading symbol for the Common Stock, par value $0.01 (the "Shares"), or the 7% Second Lien Senior Secured Convertible PIK Notes due 2025 (the "Second Lien Notes" and, together with the Shares, the "Securities").
MacKay Shields LLC ("MacKay"), an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, may be deemed to be the beneficial owner of 2,531,535 Shares and $123,590,168 aggregate principal of Second Lien Notes, which are currently convertible into 14,125,120 Shares, as a result of acting as investment adviser to various clients. The MainStay Funds - MainStay High Yield Corporate Bond Fund ("MainStay"), an investment company registered under the Investment Company Act of 1940 and a client of MacKay, beneficially owns 1,416,537 Shares and $69,215,341 Second Lien Notes, which are currently convertible into 7,910,621 Shares. MainStay VP Funds Trust - MainStay VP High Yield Corporate Bond Portfolio ("VP"), an investment company registered under the Investment Company Act of 1940 and a client of MacKay, beneficially owns 447,050 Shares and $22,176,352 Second Lien Notes, which are currently convertible into 2,534,535 Shares.
In accordance with instruction 5(b)(iv), the entire number of Securities of the Issuer that may be deemed to be beneficially owned by MacKay is reported herein. MacKay disclaims any beneficial ownership of any security listed in this Form 3, except to the extent of any pecuniary interest therein.
The initial conversion price shall be $1 of principal amount divided by the conversion rate of 0.11429. The conversion rate shall be subject to adjustment.
By: Authorized Signatory, MacKay Sihelds LLC
2015-05-11
By: Authorized Signatory, The MainStay Funds - MainStay High Yield Corporate Bond Fund
2015-05-11
By: Authorized Signatory, Mainstay VP Funds Trust - Mainstay VP High Yield Corporate Bond Portfolio
2015-05-11