-----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, PcyycT8uFzuHLuvIja+yNdxa0vifMqVRCzhBWD6S7j7hNAyBvJy8cAGU7jznmJ8n lvz3XILcJn1pCzmFH68JXg== 0001181431-05-045763.txt : 20050810 0001181431-05-045763.hdr.sgml : 20050810 20050810143707 ACCESSION NUMBER: 0001181431-05-045763 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050803 FILED AS OF DATE: 20050810 DATE AS OF CHANGE: 20050810 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: 051013118 BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. CITY: MINNEAPOLIS STATE: MN ZIP: 55416 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: 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: 051013119 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: 051013113 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 051013117 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 051013115 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 051013116 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 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: 051013114 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 Partners, L.P. CENTRAL INDEX KEY: 0001311165 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 051013112 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, Ltd. CENTRAL INDEX KEY: 0001311166 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14681 FILM NUMBER: 051013111 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 rrd88860.xml FORM 4 X0202 4 2005-08-03 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 0001311159 Whitebox Hedged High Yield Advisors, LLC 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 0001311165 Whitebox Hedged High Yield Partners, L.P. 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 0001311166 Whitebox Hedged High Yield Fund, Ltd. 3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS MN 55416 0 0 1 0 Convertible Subordinated Notes (Right to Purchase) 7.00 2005-08-03 4 S 0 150000 224625 D 2008-10-01 Common Stock 21428 2175288 I Refer to Footnote Convertible Subordinated Notes (Right to Purchase) 7.00 2005-08-03 4 S 0 150000 224325 D 2008-10-01 Common Stock 21428 2153860 I Refer to Footnote Reporting Person is Whitebox Convertible Arbitrage Partners, L.P. ("WCAP"). Reporting Person is Whitebox Hedged High Yield Partners, L.P. ("WHHYP"). This amount reflects a four for one reverse stock split of shares of common stock of the Issuer, effective July 8, 2005. Immediately Exercisable. Reported on an as converted basis. 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 7) 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 8) 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. For additional information also refer to the two Form 4s filed concurrently herewith by the Reporting Persons. /s/ Jonathan D. Wood, Chief Financial Officer for Whitebox Advisors, LLC 2005-08-10 /s/ Whitebox Convertible Arbitrage Advisors, LLC 2005-08-10 /s/ Whitebox Convertible Arbitrage Partners, LP 2005-08-10 /s/ Whitebox Convertible Arbitrage Fund, L.P. 2005-08-10 /s/ Whitebox Convertible Arbitrage Fund, Ltd. 2005-08-10 /s/ Whitebox Hedged High Yield Advisors, LLC 2005-08-10 /s/ Whitebox Hedged High Yield Partners, LP 2005-08-10 /s/ Whitebox Hedged High Yield Fund, L.P. 2005-08-10 /s/ Whitebox Hedged High Yield Fund, Ltd. 2005-08-10 EX-99. 2 rrd76545_86133.htm JOINT FILER INFORMATION rrd76545_86133.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)
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                           (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 Convertible Arbitrage Partners, LP
----------------------------------------------------------------
    (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 Convertible Arbitrage Fund, L.P.
----------------------------------------------------------------
    (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 Fund, Ltd.
----------------------------------------------------------------
    (Last)&nb
sp;                (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 Advisors, LLC
----------------------------------------------------------------
    (Last)                 (First)               (Middle)
----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneap
olis                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)
----------------------------------------------------------------
      &nb
sp;                    (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)            &
nbsp;    (First)               (Middle)
----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
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1.   Name and Addr
ess 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              &nbs
p; MN                    55416
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1.   Name and Address of Reporting Person*
Whitebox Diversified Convertible Arbitrage Advisors, LLC
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    (Last)                 (First)               (Middle)
----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
----------------------------------------------------------------
    (City)       &
nbsp;         (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)  &nb
sp;            (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 Dive
rsified Convertible Arbitrage Fund, Ltd.
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    (Last)                 (First)               (Middle)
----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
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    (City)                 (State)               (Zip)
Minneapolis                MN &nb
sp;                  55416
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1.   Name and Address of Reporting Person*
Pandora Select 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*
Pandora Select Partners, L.P.
----------------------------------------------------------------
    (Last)                 (First)               (Middle)
----------------------------------------------------------------
                          &n
bsp;(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
--------
- --------------------------------------------------------
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, 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, L.P.
----------------------------------------------------------------
    (Last)                 (First)               (Middle)
----------------------------------------------------------------
     &nb
sp;                     (Street)
3033 Excelsior Boulevard, Suite 300
----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
----------------------------------------------------------------
1.   Name and Address of Reporting Person*
Whitebox Intermarket Fund, Ltd.
----------------------------------------------------------------
    (Last)            &n
bsp;    (First)               (Middle)
----------------------------------------------------------------
                           (Street)
3033 Excelsior Boulevard, Suite 300
----------------------------------------------------------------
    (City)                 (State)               (Zip)
Minneapolis                MN                    55416
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