FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Horsehead Holding Corp [ ZINC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/11/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/11/2013 | 11/11/2013 | P | 127,084 | A | $13.96(1) | 5,940,697 | I | See Footnote(4) | |
Common Stock | 11/12/2013 | 11/12/2013 | P | 44,160 | A | $13.95(2) | 5,984,857 | I | See Footnote(4) | |
Common Stock | 11/13/2013 | 11/13/2013 | P | 19,677 | A | $14(3) | 6,004,534 | I | See Foonote(4) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. The price information provided above is the weighted average purchase price for the transactions reported on that line. The purchase prices for these transactions ranged from $13.93 to $13.98. The Reporting Persons (as defined below) undertake to provide upon request by the SEC Staff, the issuer or any securityholder full information regarding the number of shares purchased at each separate price. |
2. The price information provided above is the weighted average purchase price for the transactions reported on that line. The purchase prices for these transactions ranged from $13.90 to $13.96. The Reporting Persons (as defined below) undertake to provide upon request by the SEC Staff, the issuer or any securityholder full information regarding the number of shares purchased at each separate price. |
3. The price information provided above is the weighted average purchase price for the transactions reported on that line. The purchase prices for these transactions ranged from $13.96 to $14.00. The Reporting Persons (as defined below) undertake to provide upon request by the SEC Staff, the issuer or any securityholder full information regarding the number of shares purchased at each separate price. |
4. Securities reported for Dalal Street, LLC (the "LLC") represent Common Stock beneficially owned and held of record by 3 private funds (Pabrai Investment Fund 2, L.P., Pabrai Investment Fund 3, Ltd. and Pabrai Investment Fund IV, L.P.) managed by the LLC, Mohnish Pabrai and Harina Kapoor JTWROS and 5 managed accounts (Aikyum, Inc., Harina Kapoor IRA, Monsoon Pabrai UGMA Trust, Momachi Pabrai UGMA Trust and The Dakshana Foundation) managed by Mr. Pabrai. Mr. Pabrai is the managing member of the LLC. The managed accounts are each beneficially owned by members of Mr. Pabrai's family. The LLC, private funds, managed accounts and Mr. Pabrai (the "Reporting Persons") are each beneficial owners and have an address of 1220 Roosevelt, Suite 200, Irvine, CA 92620. The Reporting Persons disclaim beneficial ownership, within the meaning of Section 16 of the Exchange Act, or otherwise of such portion of the Common Stock in which the Reporting Persons have no actual pecuniary interest therein. |
Julie Teltscher, Chief Compliance Officer of Dalal Street, LLC | 11/13/2013 | |
** 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 4 (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. |