-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CuaDJiFTqcVOl+Tc/jpBOLmUpCgVWqDAvotRviJve2O/aIwltcIE9rOI0ZDjZfrL 9IYuR+X2f4RpfBCc0LQ1Zg== 0001099409-10-000031.txt : 20101215 0001099409-10-000031.hdr.sgml : 20101215 20101215154056 ACCESSION NUMBER: 0001099409-10-000031 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20101215 DATE AS OF CHANGE: 20101215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Kraton Performance Polymers, Inc. CENTRAL INDEX KEY: 0001321646 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS, MATERIALS, SYNTH RESINS & NONVULCAN ELASTOMERS [2821] IRS NUMBER: 200411521 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85257 FILM NUMBER: 101253547 BUSINESS ADDRESS: STREET 1: 15710 JOHN F. KENNEDY BLVD. STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77032 BUSINESS PHONE: 800 457-2866 MAIL ADDRESS: STREET 1: 15710 JOHN F. KENNEDY BLVD. STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77032 FORMER COMPANY: FORMER CONFORMED NAME: Polymer Holdings LLC DATE OF NAME CHANGE: 20050324 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GMT CAPITAL CORP CENTRAL INDEX KEY: 0001106191 IRS NUMBER: 582021147 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: GMT CAPITAL CORP STREET 2: 2100 RIVEREDGE PARKWAY SUITE 840 CITY: ATLANTA STATE: GA ZIP: 30328 BUSINESS PHONE: 7709898261 MAIL ADDRESS: STREET 1: GMT CAPITAL CORP STREET 2: 2100 RIVEREDGE PARKWAY SUITE 840 CITY: ATLANTA STATE: GA ZIP: 30328 SC 13G/A 1 kratonamendthree.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* KRATON PERFORMANCE POLYMERS, INC. ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $0.01 Par Value ------------------------------------------------------------------------------- (Title of Class of Securities) 50077C106 ------------------------------------------------------------------------------- (CUSIP Number) December 13, 2010 ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: [ ] RULE 13D-1(B) [X] 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 DISCLOSURES PROVIDED IN A PRIOR COVER PAGE. THE INFORMATION REQUIRED ON 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 (THE "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). Page 1 of 8 Pages CUSIP NO. 50077C106 --------- - - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Bay Resource Partners, L.P. - - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - - -------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 418,100 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER NONE ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 418,100 - - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 418,100 - - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.3% - - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - - -------------------------------------------------------------------------- Page 2 of 8 Pages CUSIP NO. 50077C106 --------- - - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Bay II Resource Partners, L.P. - - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - - -------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 909,800 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER NONE ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 909,800 - - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 909,800 - - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - - -------------------------------------------------------------------------- 11 PERCENTAGE OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.9% - - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - - -------------------------------------------------------------------------- Page 3 of 8 Pages CUSIP NO. 50077C106 --------- - - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Bay Resource Partners Offshore Master Fund, L.P. - - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - - -------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 1,608,655 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER NONE ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,608,655 - - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,608,655 - - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - - -------------------------------------------------------------------------- Page 4 of 8 Pages CUSIP NO. 50077C106 --------- - - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GMT Capital Corp. - - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - - -------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Georgia - - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 3,065,455 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER NONE ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,065,455 - - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,065,455 - - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.8% - - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - - -------------------------------------------------------------------------- Page 5 of 8 Pages CUSIP NO. 50077C106 --------- - - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Thomas E. Claugus - - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - - -------------------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 88,800 SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 3,065,455 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 88,800 ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,065,455 - - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,154,255 - - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.1% - - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - - -------------------------------------------------------------------------- Page 6 of 8 Pages Explanatory Note: This Amendment No. 3 amends and supplements the Amendment No. 2 (Amendment No. 2) to Schedule 13G filed with the Securities and Exchange Commission (SEC) on November 23, 2010, which amended and supplemented the Amendment No. 1 to Schedule 13G filed with the SEC on October 8, 2010, which amended and supplemented the Schedule 13G originally filed with the SEC on August 18, 2010 by the Reporting Persons. ITEM 1(A) NAME OF ISSUER: ----------------- No material changes from Amendment No. 2. ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ------------------------------------------------ No material changes from Amendment No. 2. ITEM 2(a) NAME OF PERSON FILING: ----------------------- No material changes from Amendment No. 2. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE: ------------------------------------------------------------ No material changes from Amendment No. 2. ITEM 2(c) CITIZENSHIP: ------------ No material changes from Amendment No. 2. ITEM 2(d) TITLE OF CLASS OF SECURITIES: ----------------------------- No material changes from Amendment No. 2. ITEM 3. No material changes from Amendment No. 2. ITEM 4. OWNERSHIP: ---------- Except as provided below, there are no material changes from Amendment No. 2 filed by the Reporting Persons with the SEC on November 23, 2010. The aggregate percentage of Shares reported as owned by each Reporting Person is based upon 31,252,979 shares of Common Stock outstanding as of October 29, 2010, as disclosed in the Issuers Form 10-Q filing for the quarterly period ended September 30, 2010, filed with the SEC on November 3, 2010. This Statement is being filed with respect to an aggregate of 3,154,255 shares of Common Stock. There are no other material changes from the Amendment No. 2 except as regards beneficial ownership as indicated on Pages 2 through 6 herein. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. --------------------------------------------- No material changes from Amendment No. 2. Page 7 of 8 Pages ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. -------------------------------------------------------- No material changes from Amendment No. 2. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. --------------------------------------------------------- No material changes from Amendment No. 2. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. ---------------------------------------------------------- No material changes from Amendment No. 2. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. --------------------------------- No material changes from Amendment No. 2. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I hereby certify that the information set forth in this statement is true, complete and correct. December 15, 2010 /s/ Thomas E. Claugus ---------------------------------- Thomas E. Claugus, for himself and as President of GMT Capital Corp., for itself and as the general partner of (i) Bay Resource Partners, L.P. and (ii) Bay II Resource Partners, L.P., and as the investment manager of (iii) Bay Resource Partners Offshore Master Fund, L.P. and (iv) certain other accounts. Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----