4//SEC Filing
Whitebox Multi-Strategy Partners LP 4
Accession 0000919574-20-000641
CIK 0001514732other
Filed
Jan 28, 7:00 PM ET
Accepted
Jan 29, 5:30 PM ET
Size
13.5 KB
Accession
0000919574-20-000641
Insider Transaction Report
Form 4
WHITEBOX ADVISORS LLC
Director10% Owner
Transactions
- Award
Series F Warrants
2020-01-14+171,270→ 2,176,245 total(indirect: See Footnote)→ Common Stock - Award
Series F Warrants
2020-01-14+119,975→ 1,333,100 total→ Common Stock
WHITEBOX GENERAL PARTNER LLC
10% Owner
Transactions
- Award
Series F Warrants
2020-01-14+171,270→ 2,176,245 total(indirect: See Footnote)→ Common Stock - Award
Series F Warrants
2020-01-14+119,975→ 1,333,100 total→ Common Stock
Whitebox Multi-Strategy Partners LP
10% Owner
Transactions
- Award
Series F Warrants
2020-01-14+119,975→ 1,333,100 total→ Common Stock - Award
Series F Warrants
2020-01-14+171,270→ 2,176,245 total(indirect: See Footnote)→ Common Stock
Footnotes (4)
- [F1]The Reporting Persons were not aware of complete information regarding the transactions reported herein until receiving the transaction confirmation from the transfer agent by mail on January 28, 2020.
- [F2]These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (the "Private Funds") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds. Each of the Private Funds, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
- [F3]These securities are directly beneficially owned by WMP.
- [F4]These derivative securities were acquired in connection with an amendment to a credit and security agreement entered into by certain parties and the Issuer (including certain of the Reporting Persons). Pursuant to the warrant agreement entered into in respect of the series F warrants (the "Series F Warrants"), each Series F Warrant gives the holder thereof the right to purchase one share of common stock of the Issuer, subject to certain limitations. Reference is made to the Issuer's 8-K and Exhibit 4.1 attached thereto filed on December 12, 2019, which is incorporated by reference.
Documents
Issuer
SAExploration Holdings, Inc.
CIK 0001514732
Entity typeother
IncorporatedVirgin Islands, British
Related Parties
1- filerCIK 0001452149
Filing Metadata
- Form type
- 4
- Filed
- Jan 28, 7:00 PM ET
- Accepted
- Jan 29, 5:30 PM ET
- Size
- 13.5 KB