FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/03/2014 |
3. Issuer Name and Ticker or Trading Symbol
DUNE ENERGY INC [ DUNR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1)(2)(3)(4) | 556,062 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. BlueMountain Capital Management, LLC ("BMCM") is the investment manager of BlueMountain Guadalupe Peak Fund L.P. ("Guadalupe"). BMCM is also the investment manager of other investment entities (together with Guadalupe, the "BlueMountain Funds") which own shares of Common Stock, par value $0.001 per share (the "Common Stock") of Dune Energy, Inc. and which have previously made filings with respect to the ownership of such Common Stock pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended. |
2. BMCM, although it directs the voting and disposition of the shares of Common Stock held by the BlueMountain Funds, only receives an asset-based fee relating to such shares. |
3. On February 3, 2014, Guadalupe acquired 556,062 shares (the "Distributed Shares") of Common Stock, when BlueMountain Long/Short Credit Master Fund L.P. ("Long/Short Credit") distributed the Distributed Shares to one of its beneficial owners (the "Investor") and the Investor simultaneously contributed the Distributed Shares to Guadalupe. The Distributed Shares represented the Investor's pro rata share of the Common Stock held by Long/Short Credit. |
4. BlueMountain Long/Short Credit GP, LLC, which is the general partner of each of Long/Short Credit and Guadalupe, has an indirect profits interest in the Common Stock beneficially owned by each of Long/Short Credit and Guadalupe, which indirect profits interest was not altered as a result of this transaction. |
Remarks: |
BlueMountain Guadalupe Peak Fund L.P. By: BlueMountain Long/Short Credit Fund GP, LLC By: BlueMountain GP Holdings, LLC By: /s/ Paul Friedman, Chief Compliance Officer | 02/05/2014 | |
** 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 5 (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. |