FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/02/2011 |
3. Issuer Name and Ticker or Trading Symbol
EXCO RESOURCES INC [ XCO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.001 per share | 4,832,297 | I | See footnotes(1)(7) |
Common Stock, par value $0.001 per share | 4,831,080 | I | See footnotes(2)(7) |
Common Stock, par value $0.001 per share | 4,832,131 | I | See footnotes(3)(7) |
Common Stock, par value $0.001 per share | 56,514 | I | See footnotes(4)(7) |
Common Stock, par value $0.001 per share | 5,352,914 | I | See footnotes(5)(7) |
Common Stock, par value $0.001 per share | 1,547,037 | I | See footnotes(6)(7) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. These shares are held by WLR Recovery Fund IV XCO AIV I, L.P. ("Fund IV AIV I"). |
2. These shares are held by WLR Recovery Fund IV XCO AIV II, L.P. ("Fund IV AIV II"). |
3. These shares are held by WLR Recovery Fund IV XCO AIV III, L.P. ("Fund IV AIV III"). |
4. These shares are held by WLR IV Parallel ESC L.P. ("Parallel Fund"). |
5. These shares are held by WLR Select Co-Investment XCO AIV, L.P. ("Co-Invest Fund AIV"). |
6. These shares are held by WLR/GS Master Co-Investment XCO AIV, L.P. ("WLR/GS Fund AIV"). |
7. Wilbur L. Ross, Jr. is the Chairman and Chief Executive Officer of WL Ross & Co. LLC ("WLR LLC") and the managing member of El Vedado, LLC, the general partner of WL Ross Group, L.P. ("WLR LP"), which in turn is the managing member of WLR Recovery Associates IV LLC ("Fund IV"), WLR Select Associates LLC ("WLR Select") and WLR Master Co-Investment GP, LLC ("WLR Master"). Fund IV is the general partner of Fund IV AIV I, Fund IV AIV II and Fund IV AIV III. Invesco Private Capital, Inc. is the managing member of INVESCO WLR IV Associates LLC, which is in turn the general partner of Parallel Fund. WLR Select is the general partner of Co-Invest Fund AIV. WLR Master is the general partner of WLR/GS Fund AIV. WLR LLC is the investment manager of WLR/GS Fund AIV. WLR LLC is the investment manager of Fund IV AIV I, Fund IV AIV II, Fund IV AIV III, Parallel Fund, Co-Invest Fund AIV and WLR/GS Fund AIV. |
Remarks: |
This Form 3 is being filed in two parts due to the large number of Reporting Persons. Please reference the Form 3 filing filed on the date hereof separately by WLR LLC, Fund IV AIV I , Fund IV AIV II, Fund IV AIV III, Co-Invest Fund AIV, Mr. Ross, El Vedado, LLC, WLR LP, Fund IV and WLR Select. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein only to the extent of his or its pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that any of the Reporting Persons is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. |
WL ROSS & CO. LLC, By: /s/ Wilbur L. Ross, Jr., its Managing Member | 08/05/2011 | |
WLR IV PARALLEL ESC, L.P., By: INVESCO WLR IV ASSOCIATES LLC, its General Partner, By: Invesco Private Capital, Inc., its Managing Member, By: /s/ Wilbur L. Ross, Jr., its Chief Executive Officer | 08/05/2011 | |
WLR/GS MASTER CO-INVESTMENT XCO AIV, L.P., By: WLR Master Co-Investment GP, LLC, its General Partner, By: WL Ross Group, L.P., its Managing Member, By: El Vedado, LLC, its General Partner, By: /s/ Wilbur L. Ross, Jr., its Managing Member | 08/05/2011 | |
INVESCO PRIVATE CAPITAL, INC., By: /s/ Wilbur L. Ross, Jr., its Chief Executive Officer | 08/05/2011 | |
INVESCO WLR IV ASSOCIATES LLC, By: Invesco Private Capital, Inc., its Managing Member, By: /s/ Wilbur L. Ross, Jr., its Chief Executive Officer | 08/05/2011 | |
WLR MASTER CO-INVESTMENT GP, LLC, By: WL Ross Group, L.P., its Managing Member, By: El Vedado, LLC, its General Partner, By: /s/ Wilbur L. Ross, Jr., its Managing Member | 08/05/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |