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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
UniTek Global Services, Inc.
(Name of Issuer)
Common Stock, par value $0.00002
(Title of Class of Securities)
91324T302
(CUSIP Number)
Cetus Capital II, LLC
Littlejohn Opportunities Master Fund LP
SG Distressed Fund, LP
8 Sound Shore Drive
Suite 303
Greenwich, CT 06830
(203) 552-3500
Copy to:
Shon Glusky, Esq.
Jason Schendel, Esq.
Sheppard Mullin Richter & Hampton LLP
30 Rockefeller Plaza
New York, NY 10112
(212) 634-3000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
December 31, 2013
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
x |
Rule 13d-1(c) |
o |
Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 91324T302 | |||||
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1. |
Name of Reporting Person: | |||
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2. |
Check the Appropriate Box if a Member of a Group | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization: | |||
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Number of |
5. |
Sole Voting Power: | |||
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6. |
Shared Voting Power: | ||||
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7. |
Sole Dispositive Power: | ||||
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8. |
Shared Dispositive Power: | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | |||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9): | |||
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12. |
Type of Reporting Person (See Instructions): | |||
(1) Consists of 497,571 shares of common stock plus 642,844 warrants to purchase shares of common stock which are fully vested and currently exercisable.
(2) Based on 18,971,550 shares of common stock outstanding as of November 12, 2013, as reported in the Form S-1 filed by the Issuer on November 26, 2013, plus the 642,844 warrants to purchase shares of common stock held by the Reporting Person which are fully vested and currently exercisable.
CUSIP No. 91324T302 | |||||
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1. |
Name of Reporting Person: | |||
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2. |
Check the Appropriate Box if a Member of a Group | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization: | |||
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Number of |
5. |
Sole Voting Power: | |||
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6. |
Shared Voting Power: | ||||
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7. |
Sole Dispositive Power: | ||||
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8. |
Shared Dispositive Power: | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | |||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9): | |||
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12. |
Type of Reporting Person (See Instructions): | |||
(1) Consists of 131,304 shares of common stock plus 115,766 warrants to purchase shares of common stock which are fully vested and currently exercisable.
(2) Based on 18,971,550 shares of common stock outstanding as of November 12, 2013, as reported in the Form S-1 filed by the Issuer on November 26, 2013, plus the 115,766 warrants to purchase shares of common stock held by the Reporting Person which are fully vested and currently exercisable.
CUSIP No. 91324T302 | |||||
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1. |
Name of Reporting Person: | |||
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2. |
Check the Appropriate Box if a Member of a Group | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization: | |||
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Number of |
5. |
Sole Voting Power: | |||
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6. |
Shared Voting Power: | ||||
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7. |
Sole Dispositive Power: | ||||
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8. |
Shared Dispositive Power: | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person: | |||
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10. |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9): | |||
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12. |
Type of Reporting Person (See Instructions): | |||
(1) Consists of 62,195 shares of common stock plus 56,738 warrants to purchase shares of common stock which are fully vested and currently exercisable.
(2) Based on 18,971,550 shares of common stock outstanding as of November 12, 2013, as reported in the Form S-1 filed by the Issuer on November 26, 2013, plus the 56,738 warrants to purchase shares of common stock held by the Reporting Person which are fully vested and currently exercisable.
CUSIP No. 91324T302 |
Item 1(a). |
Name of Issuer: | |
Item 1(b). |
Address of Issuers Principal Executive Offices: Gwynedd Hall, Suite 302 Blue Bell, PA 19422 | |
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Item 2(a). |
Name of Person(s) Filing: | |
This statement is filed by the entities listed below, all of whom together are referred to herein as the Reporting Persons. | ||
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(i) Cetus Capital II, LLC, a Delaware limited liability company, a single member LLC whose only member is Littlejohn Fund IV, L.P., a Delaware limited partnership, and whose manager is Littlejohn Managers LLC, a Delaware limited liability company. (ii) Littlejohn Opportunities Master Fund LP, a Cayman Islands limited partnership, whose general partner is Littlejohn Opportunities GP LLC, a Delaware limited liability company. (iii) SG Distressed Fund, LP, a Delaware limited partnership, whose general partner is Littlejohn Opportunities GP LLC, a Delaware limited liability company. | |
Item 2(b). |
Address of Principal Business Office or, if none, Residence: | |
Item 2(c). |
Citizenship: | |
Item 2(d). |
Title of Class of Securities: | |
Item 2(e). |
CUSIP Number: | |
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Item 3. |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | |
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Not applicable. | |
CUSIP No. 91324T302 |
Item 4. |
Ownership. | ||
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(a) |
Amount beneficially owned: See Item 9 of each cover page. | |
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(b) |
Percent of class: See Item 11 of each cover page. | |
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(c) |
Number of shares as to which the person has:
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(i) |
Sole power to vote or to direct the vote: See Item 5 of each cover page. |
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(ii) |
Shared power to vote or to direct the vote: See Item 6 of each cover page. |
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(iii) |
Sole power to dispose or to direct the disposition of: See Item 7 of each cover page. |
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(iv) |
Shared power to dispose or to direct the disposition of: See Item 8 of each cover page. |
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Item 5. |
Ownership of Five Percent or Less of a Class. | ||
If the statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o. | |||
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Item 6. |
Ownership of More than Five Percent on Behalf of Another Person. | ||
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Not applicable. | ||
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Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. | ||
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Not applicable. | ||
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Item 8. |
Identification and Classification of Members of the Group. | ||
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Not applicable. | ||
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Item 9. |
Notice of Dissolution of Group. | ||
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Not applicable. |
CUSIP No. 91324T302 |
Item 10. |
Certification. |
By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: February 14, 2014 |
Cetus Capital II, LLC | |
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By: Littlejohn Fund IV, L.P., manager | |
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By: Littlejohn Associates IV, L.L.C., its general partner | |
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Name: |
/s/ Robert E. Davis |
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By: |
Robert E. Davis, authorized signatory |
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Dated: February 14, 2014 |
Littlejohn Opportunities Master Fund LP | |
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By: Littlejohn Opportunities GP LLC, its general partner | |
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Name: |
/s/ Robert E. Davis |
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By: |
Robert E. Davis, authorized signatory |
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Dated: February 14, 2014 |
SG Distressed Fund, LP | |
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By: Littlejohn Opportunities GP LLC, its general partner | |
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Name: |
/s/ Robert E. Davis |
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By: |
Robert E. Davis, authorized signatory |
CUSIP No. 91324T302 |
EXHIBIT A
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.0002 per share, of UniTek Global Services, Inc., and further agree that this Joint Filing Agreement shall be included as an Exhibit to such joint filings.
The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.
This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of February 14, 2014.
Dated: February 14, 2014 |
Cetus Capital II, LLC | |
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By: Littlejohn Fund IV, L.P., manager | |
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By: Littlejohn Associates IV, L.L.C., its general partner | |
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Name: |
/s/ Robert E. Davis |
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By: |
Robert E. Davis, authorized signatory |
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Dated: February 14, 2014 |
Littlejohn Opportunities Master Fund LP | |
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By: Littlejohn Opportunities GP LLC, its general partner | |
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Name: |
/s/ Robert E. Davis |
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By: |
Robert E. Davis, authorized signatory |
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Dated: February 14, 2014 |
SG Distressed Fund, LP | |
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By: Littlejohn Opportunities GP LLC, its general partner | |
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Name: |
/s/ Robert E. Davis |
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By: |
Robert E. Davis, authorized signatory |