-----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, JPZoKhzP4MtjHrDlvy1Jdnp/9lzwW+Yhwf9hn9TBTc4G5uYFXqIU1L2jzq1DsDij hiB1Hj82tkrpWdAngAnaEg== 0001181431-05-021010.txt : 20050406 0001181431-05-021010.hdr.sgml : 20050406 20050406144439 ACCESSION NUMBER: 0001181431-05-021010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20031230 FILED AS OF DATE: 20050406 DATE AS OF CHANGE: 20050406 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 Partners, L.P. CENTRAL INDEX KEY: 0001311923 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736613 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 ADVISORS LLC CENTRAL INDEX KEY: 0001257391 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736614 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736616 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: Whitebox Convertible Arbitrage Advisors, LLC CENTRAL INDEX KEY: 0001311160 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736618 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 Hedged High Yield Advisors, LLC CENTRAL INDEX KEY: 0001311159 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736619 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 FUND LTD CENTRAL INDEX KEY: 0001263713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736621 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 6122536025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitebox Intermarket Advisors, LLC CENTRAL INDEX KEY: 0001306165 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736620 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 Fund, L.P. CENTRAL INDEX KEY: 0001307360 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736612 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736617 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 Hedged High Yield Fund, L.P. CENTRAL INDEX KEY: 0001311164 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 05736615 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 4 1 rrd73345.xml FORM 4 X0202 4 2003-12-30 0 0000814181 PENN TREATY AMERICAN CORP PTA 0001257391 WHITEBOX ADVISORS LLC 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 0001307360 Pandora Select Fund, 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 0001306165 Whitebox Intermarket Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311159 Whitebox Hedged High Yield 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 0001311163 Whitebox Convertible Arbitrage Fund, Ltd. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311164 Whitebox Hedged High Yield Fund, L.P. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 Convertible Subordinated Notes (Right to Purchase) 1.75 2004-11-24 4 P 0 400000 400000 A 2008-10-01 Common Stock 228571 9421448 I Refer to Footnote Reporting Person is Whitebox Convertible Arbitrage Partners, L.P. ("WCAP"). 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 general partner of WHHYP is Whitebox Hedged High Yield Advisors, LLC ("WHHYA"), which manages accounts for the benefit of its clients WHHYP, Whitebox Hedged High Yield Fund, L.P. ("WHYYFLP") and Whitebox Hedged High Yield Fund, Ltd. ("WHHYFLTD"); the general partner of WIP is Whitebox Intermarket Advisors, LLC ("WIA"), which manages accounts for the benefit of its clients WIP, Whitebox Intermarket Fund, L.P. ("WIFLP") and Whitebox Intermarket Fund, Ltd. ("WIFLTD"). The managing member and controlling owner of each of WCAA, WHHYA and WIA is Whitebox Advisors, LLC. (Cont. in footnote 3) 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 general partner of WDCAP is Whitebox Diversified Convertible Arbitrage Advisors, LLC ("WDCAA"), which manages accounts for the benefit of its clients WDCAP Whitebox Diversified Convertible Arbitrage Fund, L.P. ("WDCAFLP") and Whitebox Diversified Convertible Arbitrage Fund, Ltd. ("WDCAFLTD"). The managing member and controlling owner of each of PSA and WDCAA is AJR Financial, 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, WHHYA, WIA, PSA, WDCAA, WCAP, WHHYP, WIP, PSP, WDCAP, WCAFLP, WHHYFLP, WIFLP, PSFLP, WDCAFLP, WCAFLTD, WHHYFLTD, WIFLTD, PSFLTD and WDCAFLTD are a group, or have agreed to act as a group. Whitebox Advisors, LLC, AJR Financial, LLC, WCCA, WHHYA, WIA, PSA, WDCAA, WCAP, WHHYP, WIP, PSP, WDCAP, WCAFLP, WHHYFLP, WIFLP, PSFLP, WDCAFLP, WCAFLTD, WHHYFLTD, WIFLTD, PSFLTD and WDCAFLTD each disclaim beneficial ownership of such shares of common stock except to the extent of their pecuniary interest in such shares. Immediately Exercisable. Reported on an as converted basis. For additional transactions, also refer to the three Form 4's filed concurrently herewith by the Reporting Persons. /s/ Whitebox Diversified Convertible Partners, LLC 2005-04-04 /s/ Whitebox Diversified Convertible Arbitrage Fund, L.P. 2005-04-04 /s/ Whitebox Diversified Convertible Arbitrage Fund, Ltd. 2005-04-04 /s/ Pandora Select Advisors, LLC 2005-04-04 /s/ Pandora Select Partners, L.P. 2005-04-04 /s/ Pandora Select Fund, L.P. 2005-04-04 /s/ Pandora Select Fund, Ltd. 2005-04-04 EX-99. 2 rrd62469_70377.htm JOINT FILER AGREEMENT rrd62469_70377.html 

EXHIBIT 99 TO FORM 4

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1.  Name and Address of Reporting Person*

Whitebox Convertible Arbitrage Advisors, LLC

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    (Last)                 (First)               (Middle)

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

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1.  Name and Address of Reporting Person*

Whitebox Hedged High Yield 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 Hedged High Yield 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 Hedged High Yield 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 Hedged High Yield Fund, Ltd.

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

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

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

Whitebox Intermarket Advisors, LLC

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    (Last)                 (First)               (Middle)

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

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

Whitebox Intermarket 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 Intermarket 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 Intermarket Fund, Ltd.

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

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

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1.  Name and Address of Reporting Person*

AJR Financial, LLC

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    (Last)                 (First)               (Middle)

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

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1.  Name and Address of Reporting Person*

Whitebox Diversified Convertible Advisors, LLC

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    (Last)                 (First)               (Middle)

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

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

Whitebox Diversified 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 Diversified 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 Diversified 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*

Pandora Select Advisors, LLC

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    (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.

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    (Last)                 (First)               (Middle)

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

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EX-99.1 3 rrd62469_72052.htm JOINT FILER INFORMATION rrd62469_72052.html 
/s/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.
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