4//SEC Filing
Ulrich Kevin Michael 4
Accession 0001140361-21-030970
CIK 0000943861other
Filed
Sep 9, 8:00 PM ET
Accepted
Sep 10, 9:05 PM ET
Size
16.1 KB
Accession
0001140361-21-030970
Insider Transaction Report
Form 4
Ulrich Kevin Michael
10% Owner
Transactions
- Exercise of In-Money
Warrants (Right to Buy)
2021-09-08−49,762→ 0 total(indirect: By AIO V AIV 1 Holdings, L.P.)Exp: 2026-10-12→ Common Stock (49,762 underlying) - Exercise of In-Money
Common Stock
2021-09-08+49,762→ 809,511 total(indirect: By AIO V AIV 1 Holdings, L.P.) - Exercise of In-Money
Common Stock
2021-09-08+46,670→ 856,799 total(indirect: By Anchorage Illiquid Opportunities V, L.P.) - Exercise of In-Money
Warrants (Right to Buy)
2021-09-08−46,670→ 0 total(indirect: By Anchorage Illiquid Opportunities V, L.P.)Exp: 2026-10-12→ Common Stock (46,670 underlying)
Anchorage Advisors Management, LLC
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-09-08+46,670→ 856,799 total(indirect: By Anchorage Illiquid Opportunities V, L.P.) - Exercise of In-Money
Warrants (Right to Buy)
2021-09-08−49,762→ 0 total(indirect: By AIO V AIV 1 Holdings, L.P.)Exp: 2026-10-12→ Common Stock (49,762 underlying) - Exercise of In-Money
Common Stock
2021-09-08+49,762→ 809,511 total(indirect: By AIO V AIV 1 Holdings, L.P.) - Exercise of In-Money
Warrants (Right to Buy)
2021-09-08−46,670→ 0 total(indirect: By Anchorage Illiquid Opportunities V, L.P.)Exp: 2026-10-12→ Common Stock (46,670 underlying)
Anchorage Capital Group, L.L.C.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-09-08+46,670→ 856,799 total(indirect: By Anchorage Illiquid Opportunities V, L.P.) - Exercise of In-Money
Common Stock
2021-09-08+49,762→ 809,511 total(indirect: By AIO V AIV 1 Holdings, L.P.) - Exercise of In-Money
Warrants (Right to Buy)
2021-09-08−46,670→ 0 total(indirect: By Anchorage Illiquid Opportunities V, L.P.)Exp: 2026-10-12→ Common Stock (46,670 underlying) - Exercise of In-Money
Warrants (Right to Buy)
2021-09-08−49,762→ 0 total(indirect: By AIO V AIV 1 Holdings, L.P.)Exp: 2026-10-12→ Common Stock (49,762 underlying)
Footnotes (5)
- [F1]These shares and warrants are held for the account of AIO V AIV 1 Holdings, L.P. ("AIV 1"). Anchorage Capital Group, L.L.C. ("Capital Group") is the investment manager to AIV 1. Anchorage Advisors Management, L.L.C. is the sole managing member of Capital Group. Mr. Ulrich is the Chief Executive Officer of Capital Group and the senior managing member of Anchorage Advisors Management, L.L.C.
- [F2]These shares and warrants are held for the account of Anchorage Illiquid Opportunities V, L.P. ("AIO V"). Capital Group is the investment manager to AIO V. Anchorage Advisors Management, L.L.C. is the sole managing member of Capital Group. Mr. Ulrich is the Chief Executive Officer of Capital Group and the senior managing member of Anchorage Advisors Management, L.L.C.
- [F3]These warrants were exercisable for 0.00001% of the Common Stock Deemed Outstanding (as defined in the Warrant Agreement) at the time of exercise, and became exercisable on July 14, 2021, the first date on which the product of (x) the Common Stock Deemed Outstanding and (y) the Current Sale Price (as defined in the Warrant Agreement), was equal to at least $230.0 million. The Warrant Agreement is incorporated herein by reference to Exhibit 10.6 to the Form 8-K filed by the Issuer on October 14, 2016.
- [F4]Each reporting person disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F5]The total number of shares beneficially owned by AIV 1 and AIO V reflect an additional 1,101 and 1,033 shares, respectively, that were distributed by the Issuer in the fourth quarter of 2018 to the Issuer's creditors per the Issuer's Plan of Reorganization.
Documents
Issuer
GOODRICH PETROLEUM CORP
CIK 0000943861
Entity typeother
Related Parties
1- filerCIK 0001300710
Filing Metadata
- Form type
- 4
- Filed
- Sep 9, 8:00 PM ET
- Accepted
- Sep 10, 9:05 PM ET
- Size
- 16.1 KB