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