GUGGENHEIM CAPITAL LLC 4
4 · MISSION RESOURCES CORP · Filed Apr 23, 2004
Insider Transaction Report
Form 4
STELLAR FUNDING LTD
10% Owner
Transactions
- Sale
Common Stock
2004-04-23$2.42/sh−1,250,000$3,024,125→ 5,000,000 total - Purchase
Common Stock, par value $.01 per share ("Common Stock")
2004-04-23$2.42/sh+1,250,000$3,024,125→ 1,250,000 total(indirect: By LLC)
Footnotes (3)
- [F1]On April 23, 2004, Stellar Funding Ltd. ( "Stellar") sold 1,250,000 shares of Common Stock to Guggenheim Capital, LLC ("GC") for 2.419333336 per share in a private transaction.
- [F2]Stellar is a private investment vehicle managed by Guggenheim Investment Management, LLC ("GIM"), a wholly owned subsidiary of GC. After giving effect to the transaction that is the subject of this Form 4, Stellar is the direct beneficial owner of 5,000,000 shares of Common Stock and GC is the direct beneficial owner of 1,250,000 shares of Common Stock. GIM is authorized to vote and exercise dispositive power over the shares of Common Stock owned by Stellar and, accordingly, may be an indirect beneficial owner of the 5,000,000 shares of Common Stock owned by Stellar. GIM, as a registered investment advisor, is eligible for the exclusion provided in clause (v) of Rule 16a-1(a)(1), GC is the parent of GIM, owns 1,250,000 shares of Common Stock and may be considered to be acting as a group with Stellar. Accordingly GC may be deemed an indirect beneficial owner of the 5,000,000 shares owned by Stellar.
- [F3]Each reporting person disclaims beneficial ownership of such Common Stock except to the extent of its pecuniary interest therein, and the inclusion of such Common Stock in this report shall not be deemed an admission of the beneficial ownership of such reported Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or for any other purpose, and each reporting person disclaims membership in any group for purposes of Section 13 of the Exchange Act or for any other purpose.