0001106191-14-000007.txt : 20140218
0001106191-14-000007.hdr.sgml : 20140217
20140218141019
ACCESSION NUMBER: 0001106191-14-000007
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140218
DATE AS OF CHANGE: 20140218
GROUP MEMBERS: BAY II RESOURCE PARTNERS, LP
GROUP MEMBERS: BAY RESOURCE PARTNERS OFFSHORE FUND, LTD.
GROUP MEMBERS: BAY RESOURCE PARTNERS, LP
GROUP MEMBERS: GMT CAPITAL CORP.
GROUP MEMBERS: THOMAS E. CLAUGUS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERICAN AXLE & MANUFACTURING HOLDINGS INC
CENTRAL INDEX KEY: 0001062231
STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714]
IRS NUMBER: 383161171
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-59781
FILM NUMBER: 14621658
BUSINESS ADDRESS:
STREET 1: ONE DAUCH DRIVE
CITY: DETROIT
STATE: MI
ZIP: 48211-1198
BUSINESS PHONE: 3137583600
MAIL ADDRESS:
STREET 1: ONE DAUCH DRIVE
CITY: DETROIT
STATE: MI
ZIP: 48211-1198
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: 2300 WINDY RIDGE PARKWAY SUITE 550 SOUTH
CITY: ATLANTA
STATE: GA
ZIP: 30339
BUSINESS PHONE: 7709898250
MAIL ADDRESS:
STREET 1: GMT CAPITAL CORP
STREET 2: 2300 WINDY RIDGE PARKWAY SUITE 550 SOUTH
CITY: ATLANTA
STATE: GA
ZIP: 30339
SC 13G/A
1
americanaxleamendfour.txt
13G AMEND 4
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 4)*
AMERICAN AXLE & MANUFACTURING HOLDINGS, INC.
-------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, $0.01 Par Value
-------------------------------------------------------------------------------
(Title of Class of Securities)
024061103
-------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2013
-------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE
IS FILED:
[X] RULE 13D-1(B)
[ ] 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 10 Pages
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
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 547,000
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
547,000
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
547,000
- --------------------------------------------------------------------------
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 0.7%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
- --------------------------------------------------------------------------
Page 2 of 10 Pages
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
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 744,500
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
744,500
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
744,500
- --------------------------------------------------------------------------
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 1.0%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
- --------------------------------------------------------------------------
Page 3 of 10 Pages
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
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 1,850,900
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,850,900
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,850,900
- --------------------------------------------------------------------------
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 2.5%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
- --------------------------------------------------------------------------
Page 4 of 10 Pages
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
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 3,274,900
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
NONE
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
3,274,900
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,274,900
- --------------------------------------------------------------------------
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 4.3%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA
- --------------------------------------------------------------------------
Page 5 of 10 Pages
CUSIP NO. 024061103
---------
- --------------------------------------------------------------------------
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 93,800
SHARES
BENEFICIALLY -------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 3,274,900
PERSON -------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
93,800
-------------------------------------------------
8 SHARED DISPOSITIVE POWER
3,274,900
- --------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,368,700
- --------------------------------------------------------------------------
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 4.5%
- --------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
- --------------------------------------------------------------------------
Page 6 of 10 Pages
ITEM 1(A) NAME OF ISSUER: American Axle & Manufacturing Holdings, Inc.
ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
One Dauch Drive
Detroit, Michigan 48211-1198
ITEM 2(a) NAME OF PERSON FILING:
(i) Bay Resource Partners, L.P. (Bay), with respect to
shares of Common Stock directly owned by it.
(ii) Bay II Resource Partners, L.P. (Bay II), with
respect to shares of Common Stock directly owned
by it.
(iii) Bay Resource Partners Offshore Master Fund, L.P. (Offshore
Fund) with respect to shares of Common Stock directly
owned by it, as the successor to Bay Resource Partners
Offshore Fund, Ltd.
(v) GMT Capital Corp. (GMT Capital) with respect to
shares of Common Stock beneficially owned by it.
(vi) Thomas E. Claugus, (Mr. Claugus), with respect to the
shares of Common Stock directly owned by him and
directly owned by each of Bay, Bay II, the Offshore
Fund, GMT Capital separate client accounts and GMT
Exploration.
The foregoing persons are hereinafter sometimes
collectively referred to as the Reporting Persons. Any
disclosures herein with respect to persons other than the
Reporting Persons are made on information and believe after
making inquiry to the appropriate party.
ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE:
The address of the business office of each of the Reporting
Persons is 2300 Windy Ridge Parkway, Suite 550 South, Atlanta
Georgia 30339
ITEM 2(c) CITIZENSHIP:
Bay and Bay II are limited partnerships organized under the
laws of the State of Delaware. The Offshore Fund is an
exempted limited partnership organized under the laws of the
Cayman Islands. GMT Capital is a Georgia corporation. Mr.
Claugus is a United States citizen.
ITEM 2(d) TITLE OF CLASS OF SECURITIES:
Common Stock, $0.001 Par Value
Page 7 of 10 Pages
ITEM 2(e) CUSIP NUMBER: 024061103
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.240.13D-1(B) OR SS.
240.13d-2(B) or (C), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [X] An investment adviser in accordance with
ss.240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
ss.240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP:
This Amendment No. 4 amends and supplements Amendment No. 3 to Schedule
13G filed with the Securities and Exchange Commission (SEC) on May 9,
2012, which amended and supplemented Amendment No. 2 (Amendment No. 2)
to Schedule 13G filed with the Securities and Exchange Commission (SEC)
on December 28, 2011 which amended and supplemented the Amendment No. 1
to Schedule 13G filed with the SEC on December 2, 2011 which amended
and supplemented the Schedule 13G originally filed with the SEC on
September 28, 2011 by the Reporting Persons. The aggregate percentage
of Shares reported as owned by each Reporting Person is based upon 74,839,567
shares of Common Stock outstanding as of April 25, 2012, as disclosed in
the Issuers Form 10-Q filing for the quarterly period ended September 30,
2013, filed with the SEC on November 1, 2013. This Statement is being
filed with respect to an aggregate of 3,368,700 shares of Common Stock,
resulting in beneficial ownership of Common Stock as follows:
1. Bay Resource Partners, L.P.,
(a) Amount Beneficially owned: 547,000
(b) Percent of Class: 0.7%
Page 8 of 10 Pages
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 547,000
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition: 547,000
2. Bay II Resource Partners, L.P.
(a) Amount Beneficially owned: 744,500
(b) Percent of Class: 1.0%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 744,500
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition: 744,500
3. Bay Resource Partners Offshore Master Fund, L.P.
(a) Amount Beneficially owned: 1,850,900
(b) Percent of Class: 2.5%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 1,850,900
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition:
1,850,900
5. GMT Capital Corp.
(a) Amount Beneficially owned: 3,274,900
(b) Percent of Class: 4.3%
(c) (i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 3,274,900
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition:
3,274,900
6. Thomas E. Claugus
(a) Amount Beneficially owned: 3,368,700
(b) Percent of Class: 4.5%
(c) (i) Sole power to vote or direct the vote: 93,800
(ii) Shared power to vote or direct the vote: 3,274,900
(iii) Sole power to dispose or direct the disposition: 93,800
(iv) Shared power to dispose or direct the disposition:
3,274,900
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
[X] As of the date of this Report, the aggregate beneficial
ownership of the Reporting Persons had been reduced to
below five percent (5%).
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
N/A
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR
CONTROL PERSON. N/A
Page 9 of 10 Pages
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
See Item 2.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP. N/A
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.
February 17, 2014
/s/ George E. Case, III
----------------------------------
George E. Case, III, as Vice
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
for the investment manager of
(iii) Bay Resource Partners
Offshore Master Fund, L.P. and
(iv) certain other accounts and
for Thomas E. Claugus
Page 10 of 10 Pages