-----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, MIe6mm2aOcTQaI3L5SdBhzpc9Z/3zpIn/HYr3x6oAiLZ+M2YhLqQTjUyDwaO8zQ3 AMgNa/quklDoGRwSPswWZw== 0001104659-10-049008.txt : 20100917 0001104659-10-049008.hdr.sgml : 20100917 20100917161127 ACCESSION NUMBER: 0001104659-10-049008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100915 FILED AS OF DATE: 20100917 DATE AS OF CHANGE: 20100917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Forth J Bradford CENTRAL INDEX KEY: 0001440204 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34133 FILM NUMBER: 101078381 MAIL ADDRESS: STREET 1: 11611 SAN VICENTE BOULEVARD, SUITE 710 CITY: LOS ANGELES STATE: CA ZIP: 90049 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GT Solar International, Inc. CENTRAL INDEX KEY: 0001394954 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 030606749 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 243 DANIEL WEBSTER HIGHWAY CITY: MERRIMACK STATE: NH ZIP: 03054 BUSINESS PHONE: (603)883-5200 MAIL ADDRESS: STREET 1: 243 DANIEL WEBSTER HIGHWAY CITY: MERRIMACK STATE: NH ZIP: 03054 4 1 a4.xml 4 X0303 4 2010-09-15 0 0001394954 GT Solar International, Inc. SOLR 0001440204 Forth J Bradford C/O G3W VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES CA 90049 1 0 1 0 Common Stock 2010-09-15 2010-09-15 4 S 0 11000000 7.39 D 65788149 I By GT Solar Holdings, LLC Common Stock 2010-09-15 2010-09-15 4 S 0 14000000 6.9084 D 51788149 I By GT Solar Holdings, LLC Restricted Stock Unit Common Stock, $0.01 par value 10772 10772 I By Oaktree Capital Management, L.P. Restricted Stock Unit Common Stock, $0.01 par value 20254 20254 I By OCM FIE, L.P. On September 15, 2010, GT Solar Holdings, LLC completed a sale of 11,000,000 shares of the Company's common stock at a public offering price of $7.39 per share. On September 15, 2010, GT Solar Holdings, LLC completed a concurrent sale of 14,000,000 shares of the Company's common stock to UBS Securities LLC at a price of $6.90841 per share. OCM/GFI Power Opportunities Fund II, L.P. ("Main Fund") and OCM/GFI Power Opportunities Fund II (Cayman), L.P. ("Cayman Fund" and together with the Main Fund, "OCM/GFI Funds") are together the managing member of GT Solar Holdings, LLC. GFI Power Opportunities Fund II GP (Cayman) Ltd. (the "Cayman Fund GP") is a general partner of the Cayman Fund. GFI Power Opportunities Fund II GP, LLC (the "Main Fund GP") is a general partner of the Main Fund and the sole shareholder of the Cayman Fund GP. By virtue of his interest in the Main Fund GP, Mr. Forth may be deemed to have indirect beneficial ownership of shares beneficially owned by the Main Fund GP. Mr. Forth expressly disclaims beneficial ownership of any shares held by the OCM/GFI Funds, the Cayman Fund GP, the Main Fund GP or GT Solar Holdings, LLC, except to the extent of his pecuniary interest therein. Represents 10,772 restricted stock units. Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of the restricted stock units is subject to the continued service of Chad Van Sweden as a director of GT Solar International, Inc. The restricted stock units vest on February 9, 2011. Shares of common stock will be delivered to the reporting person on vesting. These securities are directly owned by OCM. By virtue of being a managing director of OCM, Mr. Forth may be deemed to have or share beneficial ownership of shares beneficially owned by OCM or GT Solar Holdings, LLC. Mr. Forth expressly disclaims beneficial ownership of any shares held by the OCM/GFI Funds, OCM or GT Solar Holdings, LLC, except to the extent of his pecuniary interest therein Represents 20,254 restricted stock units. Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of half of the restricted stock units is subject to the continued service of J. Bradford Forth as a director of GT Solar International, Inc., and vesting of the other half is subject to the continued service of R. Chad Van Sweden as a director of GT Solar International, Inc. The restricted stock units vest on the earlier of (i) the day preceding the next annual meeting of GT Solar International, Inc. and (ii) August 11, 2011. Shares of common stock will be delivered to OCM FIE, L.P. ("OCM FIE") on vesting. These securities are directly owned by OCM FIE, L.P. ("OCM FIE"). Oaktree Fund GP, LLC is the general partner of OCM FIE. Oaktree Fund GP I, L.P. is the managing member of Oaktree Fund GP, LLC. Oaktree Capital I, L.P. is the general partner of Oaktree Fund GP I, L.P. OCM Holdings I, LLC is the general partner of Oaktree Capital I, L.P. Oaktree Holdings, LLC is the managing member of OCM Holdings I, LLC. Oaktree Capital Group, LLC is the managing member of Oaktree Holdings, LLC. Oaktree Capital Group Holdings, L.P. controls Oaktree Capital Group, LLC. Oaktree Capital Group Holdings GP, LLC is the general partner of Oaktree Capital Group Holdings, L.P. By virtue of his interest in Oaktree Capital Group Holdings GP, LLC, Mr. Forth may be deemed to have an indirect beneficial ownership of shares indirectly beneficially owned by OCM FIE. Mr. Forth expressly disclaims beneficial ownership of any shares held by OCM FIE, Oaktree Fund GP, LLC, Oaktree Fund GP I, L.P., Oaktree Capital I, L.P., OCM Holdings I, LLC, Oaktree Holdings, LLC, Oaktree Capital Group, LLC, Oaktree Capital Group Holdings, L.P. and Oaktree Capital Group Holdings GP, LLC, except to the extent of his pecuniary interest therein. /s/ J. Bradford Forth 2010-09-16 -----END PRIVACY-ENHANCED MESSAGE-----