0000902664-21-004321.txt : 20210923 0000902664-21-004321.hdr.sgml : 20210923 20210923172358 ACCESSION NUMBER: 0000902664-21-004321 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210921 FILED AS OF DATE: 20210923 DATE AS OF CHANGE: 20210923 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gates Jeffrey L CENTRAL INDEX KEY: 0001394416 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12691 FILM NUMBER: 211273298 MAIL ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gates Capital Management, Inc. CENTRAL INDEX KEY: 0001312908 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12691 FILM NUMBER: 211273299 BUSINESS ADDRESS: STREET 1: 1177 AVE. OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-626-1421 MAIL ADDRESS: STREET 1: 1177 AVE. OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: Gates Capital Management Inc. DATE OF NAME CHANGE: 20041228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gates Capital Management GP, LLC CENTRAL INDEX KEY: 0001714043 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12691 FILM NUMBER: 211273296 BUSINESS ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-626-0251 MAIL ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gates Capital Management, L.P. CENTRAL INDEX KEY: 0001630228 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12691 FILM NUMBER: 211273297 BUSINESS ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: (212) 626-1421 MAIL ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 46TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ION GEOPHYSICAL CORP CENTRAL INDEX KEY: 0000866609 STANDARD INDUSTRIAL CLASSIFICATION: OIL AND GAS FIELD EXPLORATION SERVICES [1382] IRS NUMBER: 222286646 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2105 CITYWEST BLVD STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 770422855 BUSINESS PHONE: 2819333339 MAIL ADDRESS: STREET 1: 2105 CITYWEST BLVD STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 770422855 FORMER COMPANY: FORMER CONFORMED NAME: INPUT OUTPUT INC DATE OF NAME CHANGE: 19930328 4 1 ownership.xml X0306 4 2021-09-21 1 0000866609 ION GEOPHYSICAL CORP IO 0001312908 Gates Capital Management, Inc. 1177 AVE. OF THE AMERICAS 46TH FLOOR NEW YORK NY 10036 0 0 1 0 0001394416 Gates Jeffrey L 1177 AVENUE OF THE AMERICAS 46TH FLOOR NEW YORK NY 10036 0 0 1 0 0001630228 Gates Capital Management, L.P. 1177 AVENUE OF THE AMERICAS 46TH FLOOR NEW YORK NY 10036 0 0 1 0 0001714043 Gates Capital Management GP, LLC 1177 AVENUE OF THE AMERICAS 46TH FLOOR NEW YORK NY 10036 0 0 1 0 Common Stock, par value $0.01 per share ("Common Stock") 2021-09-21 4 S 0 112107 1.23 D 3188996 I See footnote Common Stock 2021-09-22 4 S 0 135146 1.32 D 3053850 I See footnote Common Stock 2021-09-23 4 S 0 100000 1.34 D 2953850 I See footnote The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.30 to $1.32, inclusive. The Reporting Persons undertake to provide to ION Geophysical Corporation (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Gates Capital Management, L.P. ("Gates Capital"), acts as the investment manager to certain funds (the "Gates Capital Funds") directly holding the securities reported herein. Gates Capital Management GP, LLC (the "General Partner") is the general partner of Gates Capital. Gates Capital Management, Inc. (the "Corporation"), is the managing member of the General Partner. Jeffrey L. Gates serves as President of the Corporation Each of Gates Capital, the General Partner, the Corporation and Jeffrey L. Gates, may be deemed to share beneficial ownership of the securities reported herein. Each of Gates Capital, the General Partner, the Corporation and Jeffrey L. Gates, disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interests therein, if any. Gates Capital Management, L.P., By: Gates Capital Management GP, LLC, its general partner, By: Gates Capital Management, Inc., its managing member, By: /s/ Jeffrey L. Gates, President 2021-09-23 Gates Capital Management GP, LLC, By: Gates Capital Management, Inc., its managing member, By: /s/ Jeffrey L. Gates, President 2021-09-23 Gates Capital Management, Inc., By: /s/ Jeffrey L. Gates, President 2021-09-23 Jeffrey L. Gates, By: /s/ Jeffrey L. Gates 2021-09-23