4//SEC Filing
Wyman Kevin 4
Accession 0001209191-12-050338
CIK 0000003952other
Filed
Oct 22, 8:00 PM ET
Accepted
Oct 23, 7:19 PM ET
Size
23.8 KB
Accession
0001209191-12-050338
Insider Transaction Report
Form 4
Southpaw Asset Management LP
10% Owner
Transactions
- Sale
Common Stock
2012-03-02$3.38/sh−2,883$9,745→ 0 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+31,762$100,050→ 794,002 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+520$1,638→ 15,548 total(indirect: See Footnote) - Purchase
Common Stock
2012-03-02$3.38/sh+2,883$9,745→ 2,883 total(indirect: See Footnote) - Sale
Common Stock
2012-05-16$3.15/sh−33,236$104,693→ 0 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+954$3,005→ 26,136 total(indirect: See Footnote)
Wyman Kevin
10% Owner
Transactions
- Sale
Common Stock
2012-05-16$3.15/sh−33,236$104,693→ 0 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+31,762$100,050→ 794,002 total(indirect: See Footnote) - Sale
Common Stock
2012-03-02$3.38/sh−2,883$9,745→ 0 total(indirect: See Footnote) - Purchase
Common Stock
2012-03-02$3.38/sh+2,883$9,745→ 2,883 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+954$3,005→ 26,136 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+520$1,638→ 15,548 total(indirect: See Footnote)
Golden Howard
10% Owner
Transactions
- Purchase
Common Stock
2012-03-02$3.38/sh+2,883$9,745→ 2,883 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+31,762$100,050→ 794,002 total(indirect: See Footnote) - Sale
Common Stock
2012-03-02$3.38/sh−2,883$9,745→ 0 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+954$3,005→ 26,136 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+520$1,638→ 15,548 total(indirect: See Footnote) - Sale
Common Stock
2012-05-16$3.15/sh−33,236$104,693→ 0 total(indirect: See Footnote)
Southpaw Holdings LLC
10% Owner
Transactions
- Purchase
Common Stock
2012-05-16$3.15/sh+954$3,005→ 26,136 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+520$1,638→ 15,548 total(indirect: See Footnote) - Sale
Common Stock
2012-03-02$3.38/sh−2,883$9,745→ 0 total(indirect: See Footnote) - Sale
Common Stock
2012-05-16$3.15/sh−33,236$104,693→ 0 total(indirect: See Footnote) - Purchase
Common Stock
2012-05-16$3.15/sh+31,762$100,050→ 794,002 total(indirect: See Footnote) - Purchase
Common Stock
2012-03-02$3.38/sh+2,883$9,745→ 2,883 total(indirect: See Footnote)
Footnotes (8)
- [F1]The filing of this Form 4 shall not be construed as an admission that (i) Southpaw Asset Management LP ("Southpaw Management"), (ii) Southpaw Holdings LLC ("Southpaw Holdings"), (iii) Kevin Wyman, or (iv) Howard Golden is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any of shares of common stock ("Common Stock") of The Allied Defense Group, Inc., a Delaware corporation (the "Issuer"), held by Southpaw Credit Opportunity Master Fund LP (the "Credit Fund"), Southpaw Equity Opportunity Master Fund LP (the "Equity Fund" and, together with the Credit Fund, the "Funds") and certain managed accounts (the "Managed Accounts") and a proprietary account.
- [F2]Pursuant to Rule 16a-1, Southpaw Management, Southpaw Holdings, Mr. Wyman and Mr. Golden disclaim beneficial ownership beyond their pecuniary interest.
- [F3]Prior to the sale described in this transaction, the Equity Fund held shares of Common Stock for its own account. Southpaw Management serves as the investment manager of the Equity Fund. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Equity Fund. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of sale, they controlled the disposition and voting of the securities.
- [F4]Southpaw Management holds these shares of Common Stock indirectly through the account of a proprietary account, of which Southpaw Management serves as the investment manager. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- [F5]Prior to the sale described in this transaction, Southpaw Management held shares of Common Stock indirectly through the account of one of its Managed Accounts ("Managed Account C"), of which Southpaw Management serves as the investment manager. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Managed Accounts. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of sale, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- [F6]The Credit Fund holds these shares of Common Stock for its own account. Southpaw Management serves as the investment manager of the Credit Fund. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Credit Fund. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- [F7]Southpaw Management holds these shares of Common Stock indirectly through the account of one of its Managed Accounts ("Managed Account A"), of which Southpaw Management serves as the investment manager. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Managed Accounts. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
- [F8]Southpaw Management holds these shares of Common Stock indirectly through the account of one of its Managed Accounts ("Managed Account B"), of which Southpaw Management serves as the investment manager. Southpaw Management or its affiliate receives a performance-based and an asset-based fee for managing the investments of the Managed Accounts. Southpaw Holdings reports the shares of Common Stock held indirectly by Southpaw Management, because, as the general partner of Southpaw Management at the time of purchase, it controlled the disposition and voting of the securities. Messrs. Wyman and Golden report the shares of Common Stock held indirectly by Southpaw Management because, as the managing members of Southpaw Holdings at the time of purchase, they controlled the disposition and voting of the securities.
Documents
Issuer
ALLIED DEFENSE GROUP INC
CIK 0000003952
Entity typeother
Related Parties
1- filerCIK 0001385599
Filing Metadata
- Form type
- 4
- Filed
- Oct 22, 8:00 PM ET
- Accepted
- Oct 23, 7:19 PM ET
- Size
- 23.8 KB