0001193125-15-046479.txt : 20150212 0001193125-15-046479.hdr.sgml : 20150212 20150212151234 ACCESSION NUMBER: 0001193125-15-046479 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 GROUP MEMBERS: PANDORA SELECT ADVISORS, LLC GROUP MEMBERS: PANDORA SELECT FUND, LP GROUP MEMBERS: PANDORA SELECT FUND, LTD GROUP MEMBERS: PANDORA SELECT PARTNERS LP GROUP MEMBERS: WHITEBOX CREDIT ARBITRAGE ADVISORS, LLC GROUP MEMBERS: WHITEBOX CREDIT ARBITRAGE FUND, L.P. GROUP MEMBERS: WHITEBOX CREDIT ARBITRAGE FUND, LTD. GROUP MEMBERS: WHITEBOX CREDIT ARBITRAGE PARTNERS, L.P. GROUP MEMBERS: WHITEBOX MULTI-STRATEGY ADVISORS, LLC GROUP MEMBERS: WHITEBOX MULTI-STRATEGY FUND, L.P. GROUP MEMBERS: WHITEBOX MULTI-STRATEGY FUND, LTD. GROUP MEMBERS: WHITEBOX MULTI-STRATEGY PARTNERS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DUNE ENERGY INC CENTRAL INDEX KEY: 0001092839 STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389] IRS NUMBER: 954737507 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79881 FILM NUMBER: 15605452 BUSINESS ADDRESS: STREET 1: TWO SHELL PLAZA STREET 2: 777 WALKER STREET SUITE 2300 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132296300 MAIL ADDRESS: STREET 1: TWO SHELL PLAZA STREET 2: 777 WALKER STREET SUITE 2300 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: IP FACTORY INC DATE OF NAME CHANGE: 19990809 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WHITEBOX ADVISORS LLC CENTRAL INDEX KEY: 0001257391 IRS NUMBER: 411957584 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-253-6001 MAIL ADDRESS: STREET 1: 3033 EXCELSIOR BLVD. STREET 2: SUITE 300 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 SC 13G/A 1 d873072dsc13ga.htm SC 13G/A SC 13G/A
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.4)*

 

 

Dune Energy Inc

(Name of Issuer)

Common Stock

(Title of Class of Securities)

265338707

(CUSIP Number)

December 31, 2014

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

  x Rule 13d-1(b)

 

  ¨ Rule 13d-1(c)

 

  ¨ Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

 

 


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Advisors, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

3,676,079 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

3,676,079 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,676,079 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

5.0% (See item 4)

  12  

TYPE OF REPORTING PERSON*

IA

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 2 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Multi-Strategy Advisors, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,488,250 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,488,250 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,488,250 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.0% (See item 4)

  12  

TYPE OF REPORTING PERSON*

IA

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 3 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Multi-Strategy Partners, L.P.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

British Virgin Islands

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,488,250 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,488,250 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,488,250 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.0% (See item 4)

  12  

TYPE OF REPORTING PERSON*

PN

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 4 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Multi-Strategy Fund, L.P.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,488,250 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,488,250 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,488,250 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.0% (See item 4)

  12  

TYPE OF REPORTING PERSON*

PN

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 5 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Multi-Strategy Fund, Ltd.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

British Virgin Islands

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,488,250 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,488,250 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,488,250 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.0% (See item 4)

  12  

TYPE OF REPORTING PERSON*

CO

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 6 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Credit Arbitrage Advisors, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,556,355 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,556,355 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,556,355 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.1% (See item 4)

  12  

TYPE OF REPORTING PERSON*

IA

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 7 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Credit Arbitrage Partners, L.P.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

British Virgin Islands

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,556,355 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,556,355 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,556,355 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.1% (See item 4)

  12  

TYPE OF REPORTING PERSON*

PN

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 8 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Credit Arbitrage Fund, L.P.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,556,355 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,556,355 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,556,355 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.1% (See item 4)

  12  

TYPE OF REPORTING PERSON*

PN

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 9 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Whitebox Credit Arbitrage Fund, Ltd.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

British Virgin Islands

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

1,556,355 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

1,556,355 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,556,355 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

2.1% (See item 4)

  12  

TYPE OF REPORTING PERSON*

CO

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 10 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Pandora Select Advisors, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

631,474 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

631,474 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

631,474 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.9% (See item 4)

  12  

TYPE OF REPORTING PERSON*

IA

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 11 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Pandora Select Partners LP

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

British Virgin Islands

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

631,474 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

631,474 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

631,474 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.9% (See item 4)

  12  

TYPE OF REPORTING PERSON*

PN

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 12 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Pandora Select Fund, LP

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)    x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

631,474 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

631,474 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

631,474 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.9% (See item 4)

  12  

TYPE OF REPORTING PERSON*

PN

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 13 of 20


CUSIP No.       265338707       13G

 

1

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

Pandora Select Fund, Ltd

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  x

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

British Virgin Islands

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

EACH

REPORTING

PERSON

WITH:

    5    

SOLE VOTING POWER

0

    6    

SHARED VOTING POWER

631,474 (See item 4)

    7    

SOLE DISPOSITIVE POWER

0

    8    

SHARED DISPOSITIVE POWER

631,474 (See item 4)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

631,474 (See item 4)

  10  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.9% (See item 4)

  12  

TYPE OF REPORTING PERSON*

CO

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 14 of 20


CUSIP No.       265338707       13G

 

Item 1.

 

  (a) Name of Issuer

 

       Dune Energy Inc

 

  (b) Address of Issuer’s Principal Executive Offices

 

       Two Shell Plaza
       777 Walker Street, Suite 2300
       Houston, TX 770022

 

Item 2.

 

  (a) Name of Person Filing

 

       This statement is filed by:

 

  (i) Whitebox Advisors, LLC, a Delaware limited liability company (“WA”);

 

  (ii) Whitebox Multi-Strategy Advisors, LLC, a Delaware limited liability company (“WMSA”);

 

  (iii) Whitebox Multi-Strategy Partners, L.P., a British Virgin Islands limited partnership (“WMSP”);

 

  (iv) Whitebox Multi-Strategy Fund, L.P., a Delaware limited partnership (“WMSFLP”);

 

  (v) Whitebox Multi-Strategy Fund, Ltd., a British Virgin Islands international business company (“WMSFLTD”);

 

  (vi) Whitebox Credit Arbitrage Advisors, LLC, a Delaware limited liability company (“WCRAA”);

 

  (vii) Whitebox Credit Arbitrage Partners, L.P., a British Virgin Islands limited partnership (“WCRAP”);

 

  (viii) Whitebox Credit Arbitrage Fund , L.P., a Delaware limited partnership (“WCRAFLP”);

 

  (ix) Whitebox Credit Arbitrage Fund, Ltd., a British Virgin Islands international business company (“WCRAFLTD”);

 

  (x) Pandora Select Advisors, LLC, a Delaware limited liability company (“PSA”);

 

  (xi) Pandora Select Partners, L.P., a British Virgin Islands limited partnership (“PSP”);

 

  (xii) Pandora Select Fund, L.P., a Delaware limited partnership (“PSFLP”);

 

  (xiii) Pandora Select Fund, Ltd., a British Virgin Islands international business company (“PSFLTD”);

 

  (b) Address of Principal Business Office or, if none, Residence

 

       The address of the business office of WA, WMSA, WMSFLP, WCRAA, WCRAFLP, PSA, and PSFLP is:

 

       3033 Excelsior Boulevard
       Suite 300
       Minneapolis, MN 55416

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 15 of 20


CUSIP No.       265338707       13G

 

       The address of the business office of WMSP, WMSFLTD, WCRAP, WCRAFLTD, PSP, and PSFLTD is:

 

       Appleby Corporate Services (BVI) Limited
       Jayla Place, PO Box 3190
       Road Town, Tortola, British Virgin Islands

 

  (c) Citizenship

 

       WA, WMSA, WMSFLP, WCRAA, WCRAFLP, PSA, and PSFLP are organized under the laws of the State of Delaware; WMSP, WMSFLTD, WCRAP, WCRAFLTD, PSP, and PSFLTD are organized under the laws of the British Virgin Islands.

 

  (d) Title of Class of Securities

 

       Common Stock

 

  (e) CUSIP Number

 

       265338707

 

Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a) ¨ Broker or dealer registered under section 15 of the Act.
(b) ¨ Bank as defined in section 3(a)(6) of the Act.
(c) ¨ Insurance company as defined in section 3(a)(19) of the Act.
(d) ¨ Investment company registered under section 8 of the Investment Company Act of 1940.
(e) x An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
(f) ¨ An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
(g) ¨ A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
(h) ¨ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
(i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940.
(j) ¨ Group, in accordance with § 240.13d-1(b)(1)(ii)(J).

 

Item 4. Ownership

 

  (a) Amount Beneficially Owned

 

       WA, acting as an investment adviser to its client, is deemed to be the beneficial owner of 3,676,079 shares of Common Stock of the Company.

 

       WMSA, is deemed to beneficially own 1,488,250 Shares of Common Stock of the company.

 

       WMSP is deemed to beneficially own 1,488,250 shares of Common Stock as a result of its ownership of Common Stock of the company

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

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CUSIP No.       265338707       13G

 

       WMSFLP is deemed to beneficially own 1,488,250 shares of Common Stock as a result of its indirect ownership of Common Stock of the company

 

       WMSFLTD is deemed to beneficially own 1,488,250 shares of Common Stock as a result of its indirect ownership of Common Stock of the company

 

       WCRAA is deemed to beneficially own 1,556,355 Shares of Common Stock of the company.

 

       WCRAP is deemed to beneficially own 1,556,355 shares of Common Stock as a result of its ownership of Common Stock of the company

 

       WCRAFLP is deemed to beneficially own 1,556,355 shares of Common Stock as a result of its indirect ownership of Common Stock of the company

 

       WCRAFLTD is deemed to beneficially own 1,556,355 shares of Common Stock as a result of its indirect ownership of Common Stock of the company

 

       PSA, is deemed to beneficially own 631,474 Shares of Common Stock of the company.

 

       PSP is deemed to beneficially own 631,474 shares of Common Stock as a result of its ownership of Common Stock of the company

 

       PSFLP is deemed to beneficially own 631,474 shares of Common Stock as a result of its indirect ownership of Common Stock of the company

 

       PSFLTD is deemed to beneficially own 631,474 shares of Common Stock as a result of its indirect ownership of Common Stock of the company

 

       As a result of the relationship described in this statement, each of WA, WMSA, WMSFLP, WMSFLTD, WCRAA, WCRAFLP, WCRAFLTD, PSA, PSFLP, and PSFLTD may be deemed to possess indirect beneficial ownership of the shares of Common Stock beneficially owned by each of WMSP, WCRAP, and PSP.

 

       WA, WMSA, WMSFLP, WMSFLTD, WCRAA, WCRAFLP, WCRAFLTD, PSA, PSFLP, and PSFLTD each disclaim indirect beneficial ownership of the shares of Common Stock except to the extent of their pecuniary interest in such shares.*

 

       Based on the relationships described herein, these entities may be deemed to constitute a “group” within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as An admission that WA, WMSA, WMSP, WMSFLP, WMSFLTD, WCRAA, WCRAP, WCRAFLP, WCRAFLTD, PSA, PSP, PSFLP, and PSFLTD are a group, Or have agreed to act as a group.*

 

  (b) Percent of Class

 

       WA beneficially owns 5.0 % of the company’s Common Stock.*

 

       WMSA is deemed to beneficially own 2.0 % of the company’s Common Stock

 

       WMSP is deemed to beneficially own 2.0 % of the company’s Common Stock

 

       WMSFLP is deemed to beneficially own 2.0 % of the company’s Common Stock

 

       WMSFLTD is deemed to beneficially own 2.0 % of the company’s Common Stock

 

       WCRAA is deemed to beneficially own 2.1 % of the company’s Common Stock

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

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CUSIP No.       265338707       13G

 

       WCRAP is deemed to beneficially own 2.1 % of the company’s Common Stock

 

       WCRAFLP is deemed to beneficially own 2.1 % of the company’s Common Stock

 

       WCRAFLTD is deemed to beneficially own 2.1 % of the company’s Common Stock

 

       PSA is deemed to beneficially own 0.9 % of the company’s Common Stock

 

       PSP is deemed to beneficially own 0.9 % of the company’s Common Stock

 

       PSFLP is deemed to beneficially own 0.9 % of the company’s Common Stock

 

       PSFLTD is deemed to beneficially own 0.9 % of the company’s Common Stock

 

       The percentage of Common Stock reportedly owned by each entity herein is based on 73,149,359 shares of outstanding Common Stock of the Company, which is the total number of shares issued and outstanding on November 13, 2014.

 

  (c) Number of shares as to which such person has:

 

  (i) Sole power to vote or to direct the vote

 

       0

 

  (ii) Shared power to vote or to direct the vote

 

       WA has shared voting power with respect to 3,676,079 shares of the Issuer’s Common Stock.

 

       WMSA, WMSP, WMSFLP, and WMSFLTD, have shared voting power with respect to 1,488,250 Shares of the Company’s Common Stock.

 

       WCRAA, WCRAP, WCRAFLP, and WCRAFLTD have shared voting power with respect to 1,556,355 Shares of the Company’s Common Stock.

 

       PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 631,474 Shares of the Company’s Common Stock.

 

  (iii) Sole power to dispose or to direct the disposition of

 

       0

 

  (iv) Shared power to dispose or to direct the disposition of

 

       WA has shared voting power with respect to 3,676,079 shares of the Issuer’s Common Stock.

 

       WMSA, WMSP, WMSFLP, and WMSFLTD have shared voting power with respect to 1,488,250 Shares of the Company’s Common Stock.

 

       WCRAA, WCRAP, WCRAFLP, and WCRAFLTD have shared voting power with respect to 1,556,355 Shares of the Company’s Common Stock.

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

Page 18 of 20


CUSIP No.       265338707       13G

 

       PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 631,474 Shares of the Company’s Common Stock.

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).

 

Item 5. Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  ¨*.

Instruction. Dissolution of a group requires a response to this item.

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

Not Applicable.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Not Applicable

 

Item 8. Identification and Classification of Members of the Group

See Item 2

 

Item 9. Notice of Dissolution of Group

Not Applicable

 

Item 10. Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

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CUSIP No.       265338707         13G  

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

02/12/15
Date
/s/ Michael P. McCormick
Signature
Michael P. McCormick as Chief Financial Officer of Whitebox Advisors, LLC.
Name/Title

The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties for whom copies are to be sent.

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

 

** SEE INSTRUCTION BEFORE FILLING OUT **

SEC 1745 (2-02)

 

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