0000895345-19-000005.txt : 20190102
0000895345-19-000005.hdr.sgml : 20190102
20190102171052
ACCESSION NUMBER: 0000895345-19-000005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181228
FILED AS OF DATE: 20190102
DATE AS OF CHANGE: 20190102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ascribe Associates II, LLC
CENTRAL INDEX KEY: 0001703862
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33816
FILM NUMBER: 19502534
BUSINESS ADDRESS:
STREET 1: 299 PARK AVENUE
STREET 2: 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-476-8000
MAIL ADDRESS:
STREET 1: 299 PARK AVENUE
STREET 2: 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ascribe Opportunities Fund II(B), LP
CENTRAL INDEX KEY: 0001497220
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33816
FILM NUMBER: 19502535
BUSINESS ADDRESS:
STREET 1: C/O ASOF ASSOCIATES II, LLC,
STREET 2: 299 PARK AVENUE, 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-476-8000
MAIL ADDRESS:
STREET 1: C/O ASOF ASSOCIATES II, LLC,
STREET 2: 299 PARK AVENUE, 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
FORMER NAME:
FORMER CONFORMED NAME: American Securities Opportunities Fund II(B), LP
DATE OF NAME CHANGE: 20100721
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ascribe Opportunities Fund II, LP
CENTRAL INDEX KEY: 0001482747
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33816
FILM NUMBER: 19502536
BUSINESS ADDRESS:
STREET 1: C/O ASOF ASSOCIATES II, LLC,
STREET 2: 299 PARK AVENUE, 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-476-8000
MAIL ADDRESS:
STREET 1: C/O ASOF ASSOCIATES II, LLC,
STREET 2: 299 PARK AVENUE, 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
FORMER NAME:
FORMER CONFORMED NAME: American Securities Opportunities Fund II, LP
DATE OF NAME CHANGE: 20100129
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ascribe II Investments LLC
CENTRAL INDEX KEY: 0001704285
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33816
FILM NUMBER: 19502537
BUSINESS ADDRESS:
STREET 1: 299 PARK AVENUE
STREET 2: 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-476-8000
MAIL ADDRESS:
STREET 1: 299 PARK AVENUE
STREET 2: 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ascribe Management LLC
CENTRAL INDEX KEY: 0001704286
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33816
FILM NUMBER: 19502538
BUSINESS ADDRESS:
STREET 1: 299 PARK AVENUE
STREET 2: 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-476-8000
MAIL ADDRESS:
STREET 1: 299 PARK AVENUE
STREET 2: 34TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Nuverra Environmental Solutions, Inc.
CENTRAL INDEX KEY: 0001403853
STANDARD INDUSTRIAL CLASSIFICATION: OIL, GAS FIELD SERVICES, NBC [1389]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6720 N. SCOTTSDALE ROAD
STREET 2: SUITE 190
CITY: SCOTTSDALE
STATE: AZ
ZIP: 85253
BUSINESS PHONE: 602-903-7802
MAIL ADDRESS:
STREET 1: 6720 N. SCOTTSDALE ROAD
STREET 2: SUITE 190
CITY: SCOTTSDALE
STATE: AZ
ZIP: 85253
FORMER COMPANY:
FORMER CONFORMED NAME: Heckmann Corp
DATE OF NAME CHANGE: 20111205
FORMER COMPANY:
FORMER CONFORMED NAME: Heckmann CORP
DATE OF NAME CHANGE: 20070620
4
1
form4.xml
X0306
4
2018-12-28
0001403853
Nuverra Environmental Solutions, Inc.
NONE
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Ascribe Management LLC
299 PARK AVENUE, 34TH FLOOR
NEW YORK
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10171
true
0001704285
Ascribe II Investments LLC
299 PARK AVENUE, 34TH FLOOR
NEW YORK
NY
10171
true
0001482747
Ascribe Opportunities Fund II, LP
299 PARK AVENUE, 34TH FLOOR
NEW YORK
NY
10171
true
0001497220
Ascribe Opportunities Fund II(B), LP
299 PARK AVENUE, 34TH FLOOR
NEW YORK
NY
10171
true
0001703862
Ascribe Associates II, LLC
299 PARK AVENUE, 34TH FLOOR
NEW YORK
NY
10171
true
Common Stock
2018-12-28
4
X
0
1495607
9.61
A
6905566
D
Common Stock
2018-12-28
4
P
0
116313
9.61
A
7021879
D
Subscription Rights (Right to buy)
9.61
2018-12-28
4
X
0
1495607
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2018-12-10
2018-12-28
Common Stock
1495607
0
D
Represents the exercise of subscription rights in the Nuverra Environmental Solutions, Inc. ("Nuverra") rights offering, as described in Nuverra's prospectus dated December 10, 2018, 2018 (the "Rights Offering") by Ascribe II Investments LLC ("Fund II") and Ascribe III Investments LLC ("Fund III"), with each right entitling the holder to purchase one share of Nuverra's common stock, resulting in the purchase by Fund II and Fund III of 121,534 and 1,374,073 shares of Nuverra's common stock, respectively.
Represents the purchase by Fund II and Fund III of 9,444 and 106,869 shares, respectively, of Nuverra's common stock, pursuant to the backstop commitment letter, dated October 5, 2018, filed as exhibit 10.11 to Nuverra's Current Report on Form 8-K filed with the SEC on October 11, 2018.
Ascribe Capital LLC ("Ascribe Capital") is the investment manager of Fund III. Ascribe Management LLC ("Ascribe Management") is the investment manager of Fund II (Fund II, together with Fund III, the "Funds"). The Funds hold common stock, par value $0.01, of the issuer. American Securities LLC ("American Securities") is the 100% owner of Ascribe Capital and Ascribe Management. Ascribe Opportunities Fund III, L.P. ("Opportunities III") and Ascribe Opportunities Fund III(B), L.P. ("Opportunities III(B)") are the sole members of Fund III. Ascribe Associates III, LLC ("Associates III") is the general partner of Opportunities III and Opportunities III(B). Ascribe Opportunities Fund II, L.P. ("Opportunities II") and Ascribe Opportunities Fund II(B), L.P. ("Opportunities II(B)") are the sole members of Fund II. Ascribe Associates II, LLC ("Associates II") is the general partner of Opportunities II and Opportunities II(B).
Each of Ascribe Capital, Ascribe Management, American Securities, Associates III, Opportunities III, Opportunities III(B), Associates II, Opportunities II and Opportunities II(B), may be deemed to share beneficial ownership of the common stock of the issuer held by the Funds. Each of Ascribe Capital, Ascribe Management, American Securities, Associates III, Opportunities III, Opportunities III(B), Associates II, Opportunities II and Opportunities II(B), disclaims beneficial ownership of the common stock held by the Funds, except to the extent of its pecuniary interests.
Due to the limitations of the Securities and Exchange Commission's EDGAR system, Ascribe Capital, American Securities, Fund III, Associates III, Opportunities III and Opportunities III(B), have filed a separate Form 4.
Ascribe Management LLC, By: /s/ Lawrence First, as Managing Director
2019-01-02
Ascribe II Investments LLC, By Ascribe Management LLC, its investment manager, By: /s/ Lawrence First, as Managing Director
2019-01-02
Ascribe Opportunities Fund II, L.P., By Ascribe Management LLC, its investment manager, By: /s/ Lawrence First, as Managing Director
2019-01-02
Ascribe Opportunities Fund II (B), L.P., By Ascribe Management LLC, its investment manager, By: /s/ Lawrence First, as Managing Director
2019-01-02
Ascribe Associates II, LLC, By American Securities LLC, its managing member, By: /s/ Michael G. Fisch, as Chief Executive Officer
2019-01-02