-----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, Vd02S45GBeZVTAGTrr2DLtAziU1YWUPRDZhlVGq01zXjYR3WhlghV+7cTHykDJ9T 4iXndezrfoTkTyc78YTc1w== 0001181431-05-006430.txt : 20050202 0001181431-05-006430.hdr.sgml : 20050202 20050202155011 ACCESSION NUMBER: 0001181431-05-006430 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20031229 FILED AS OF DATE: 20050202 DATE AS OF CHANGE: 20050202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569421 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PANDORA SELECT FUND LTD CENTRAL INDEX KEY: 0001263713 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569412 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 6122536025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PENN TREATY AMERICAN CORP CENTRAL INDEX KEY: 0000814181 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 231664166 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3440 LEHIGH ST CITY: ALLENTOWN STATE: PA ZIP: 18103 BUSINESS PHONE: 6109652222 MAIL ADDRESS: STREET 1: 3440 LEHIGH ST CITY: ALLENTOWN STATE: PA ZIP: 18103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandora Select Fund, L.P. CENTRAL INDEX KEY: 0001307360 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569414 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandora Select Advisors, LLC CENTRAL INDEX KEY: 0001307361 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569415 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AJR Financial, LLC CENTRAL INDEX KEY: 0001307362 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569416 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: (612) 253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Convertible Arbitrage Advisors, LLC CENTRAL INDEX KEY: 0001311160 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569420 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Convertible Arbitrage Fund, L.P. CENTRAL INDEX KEY: 0001311161 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569418 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Convertible Arbitrage Partners, L.P. CENTRAL INDEX KEY: 0001311162 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569419 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Convertible Arbitrage Fund, Ltd. CENTRAL INDEX KEY: 0001311163 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569417 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pandora Select Partners, L.P. CENTRAL INDEX KEY: 0001311923 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05569413 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BOULEVARD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 3 1 rrd66936.xml FORM 3 X0202 3 2003-12-29 0 0000814181 PENN TREATY AMERICAN CORP PTA 0001257391 WHITEBOX ADVISORS LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311160 Whitebox Convertible Arbitrage Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311162 Whitebox Convertible Arbitrage Partners, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311161 Whitebox Convertible Arbitrage Fund, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311163 Whitebox Convertible Arbitrage Fund, Ltd. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001307362 AJR Financial, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001307361 Pandora Select Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001307360 Pandora Select Fund, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311923 Pandora Select Partners, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001263713 PANDORA SELECT FUND LTD 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 Common Stock 10848 I Refer Footnote Convertible Subordinated Notes (Right to Purchase) 1.75 2003-11-03 2008-10-01 Common Stock 221357 I Refer Footnote Convertible Subordinated Notes (Right to Purchase) 1.75 2003-11-07 2008-10-01 Common Stock 150566 I Refer Footnote Convertible Subordinated Notes (Right to Purchase) 1.75 2003-11-19 2008-10-01 Common Stock 57142 I Refer Footnote Convertible Subordinated Notes (Right to Purchase) 1.75 2003-11-20 2008-10-01 Common Stock 800000 I Refer Footnote Convertible Subordinated Notes (Right to Purchase) 1.75 2003-11-29 2008-10-01 Common Stock 611429 I Refer Footnote Convertible Subordinated Notes (Right to Purchase) 1.75 2003-11-29 2008-10-01 Common Stock 1714286 I Refer Footnote Reporting Person is Pandora Select Partners, L.P. ("PSP"). Reporting Person is Whitebox Convertible Arbitrage Partners, L.P. ("WCAP"). The general partner of PSP is Pandora Select Advisors, LLC ("PSA"), which manages accounts for the benefit of its clients PSP, Pandora Select Fund, L.P. ("PSFLP")and Pandora Select Fund, Ltd. ("PSFLTD"). The managing member and controlling owner of PSA is AJR Financial, LLC. The general partner of WCAP, is Whitebox Convertible Arbitrage Advisors, LLC ("WCAA"), which manages accounts for the benefit of its clients WCAP, Whitebox Convertible Arbitrage Fund, L.P. ("WCAFLP") and Whitebox Convertible Arbitrage Fund, Ltd. ("WCAFLTD"). The managing member and controlling owner of WCAA is Whitebox Advisors, LLC. Whitebox Advisors, LLC and AJR Financial, LLC each have the same sole owner and managing member. (Cont. in footnote 4) Based on the relationships described herein, these entities may be deemed to constitute a "group" within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as an admission that Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, PSA, WCAP, PSP, WCAFLP, PSFLP, WCAFLTD, and PSFLTD are a group, or have agreed to act as a group. Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, PSA, WCAP, PSP, WCAFLP, PSFLP, WCAFLTD, and PSFLTD each disclaim beneficial ownership of such shares of common stock except to the extent of their pecuniary interest in such shares. /s/ Jonathan D. Wood, Chief Financial Officer 2005-02-01 EX-99.1 2 rrd56494_63781.htm JOINT FILER INFORMATION rrd56494_63781.html 
Jonathan D. Wood as Chief Financial Officer
of Whitebox Advisors, LLC, Whitebox Convertible
Arbitrage Advisors, LLC, Whitebox Convertible
Arbitrage Partners, LP, Whitebox Convertible
Arbitrage Fund, L.P., Whitebox Convertible Arbitrage
Fund, Ltd., AJR Financial,LLC, Pandora Select Advisors, LLC,
Pandora Select Fund, L.P., Pandora Select Fund, Ltd. and
Pandora Select Partners, L.P.
EX-99. 3 rrd56494_63832.htm JOINT FILER INFORMATION rrd56494_63832.html 
Exhibit 99 to Form 3

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Advisors, LLC

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Partners, LP

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Fund, L.P.

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)


- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300

- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Fund, Ltd.

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

AJR Financial, LLC

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Advisors, LLC

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Partners, LP

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*



Pandora Select Fund, L.P.

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
1.  Name and Address of Reporting Person*

Pandora Select Fund, Ltd.

- --------------------------------------------------------------------------------
    (Last)                 (First)               (Middle)

- --------------------------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
- --------------------------------------------------------------------------------
    (City)                 (State)               (Zip)
  Minneapolis                MN                  55416

- --------------------------------------------------------------------------------
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