3//SEC Filing
EXIDE TECHNOLOGIES 3
Accession 0000950142-15-001026
CIK 0000813781operating
Filed
May 11, 8:00 PM ET
Accepted
May 12, 3:27 PM ET
Size
11.2 KB
Accession
0000950142-15-001026
Insider Transaction Report
Form 3
MACKAY SHIELDS LLC
10% OwnerOther
Holdings
- 2,531,535(indirect: See footnotes)
Common Stock, par value $0.01
7% Second Lien Senior Secured Convertible PIK Notes due 2025
From: 2015-04-30Exp: 2025-04-30→ Common Stock, par value $0.01 (14,125,120 underlying)
MAINSTAY FUNDS
10% OwnerOther
Holdings
- 2,531,535(indirect: See footnotes)
Common Stock, par value $0.01
7% Second Lien Senior Secured Convertible PIK Notes due 2025
From: 2015-04-30Exp: 2025-04-30→ Common Stock, par value $0.01 (14,125,120 underlying)
MAINSTAY VP FUNDS TRUST
10% OwnerOther
Holdings
- 2,531,535(indirect: See footnotes)
Common Stock, par value $0.01
7% Second Lien Senior Secured Convertible PIK Notes due 2025
From: 2015-04-30Exp: 2025-04-30→ Common Stock, par value $0.01 (14,125,120 underlying)
Footnotes (4)
- [F1]There is no trading symbol for the Common Stock, par value $0.01 (the "Shares"), or the 7% Second Lien Senior Secured Convertible PIK Notes due 2025 (the "Second Lien Notes" and, together with the Shares, the "Securities").
- [F2]MacKay Shields LLC ("MacKay"), an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, may be deemed to be the beneficial owner of 2,531,535 Shares and $123,590,168 aggregate principal of Second Lien Notes, which are currently convertible into 14,125,120 Shares, as a result of acting as investment adviser to various clients. The MainStay Funds - MainStay High Yield Corporate Bond Fund ("MainStay"), an investment company registered under the Investment Company Act of 1940 and a client of MacKay, beneficially owns 1,416,537 Shares and $69,215,341 Second Lien Notes, which are currently convertible into 7,910,621 Shares. MainStay VP Funds Trust - MainStay VP High Yield Corporate Bond Portfolio ("VP"), an investment company registered under the Investment Company Act of 1940 and a client of MacKay, beneficially owns 447,050 Shares and $22,176,352 Second Lien Notes, which are currently convertible into 2,534,535 Shares.
- [F3]In accordance with instruction 5(b)(iv), the entire number of Securities of the Issuer that may be deemed to be beneficially owned by MacKay is reported herein. MacKay disclaims any beneficial ownership of any security listed in this Form 3, except to the extent of any pecuniary interest therein.
- [F4]The initial conversion price shall be $1 of principal amount divided by the conversion rate of 0.11429. The conversion rate shall be subject to adjustment.
Documents
Issuer
EXIDE TECHNOLOGIES
CIK 0000813781
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000813781
Filing Metadata
- Form type
- 3
- Filed
- May 11, 8:00 PM ET
- Accepted
- May 12, 3:27 PM ET
- Size
- 11.2 KB