-----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, QiF0m/T1XmRaqwlp4cUnTvkKh4frBxRWPe9bzYYdDVl8R2j0ou8bzlhQAC17qqis G+TkZMjbsigrRzMJ/k2qig== 0000898432-07-000381.txt : 20070509 0000898432-07-000381.hdr.sgml : 20070509 20070509215415 ACCESSION NUMBER: 0000898432-07-000381 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070509 DATE AS OF CHANGE: 20070509 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GEOKINETICS INC CENTRAL INDEX KEY: 0000314606 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 941690082 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE RIVERWAY STREET 2: SUITE 2100 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7138507600 MAIL ADDRESS: STREET 1: ONE RIVERWAY STREET 2: SUITE 2100 CITY: HOUSTON STATE: TX ZIP: 77056 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAPLE LEAF CAPITAL I, LLC CENTRAL INDEX KEY: 0001390026 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09268 FILM NUMBER: 07834404 BUSINESS ADDRESS: STREET 1: 450 LAUREL STREET STREET 2: SUITE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 BUSINESS PHONE: 225-344-7780 MAIL ADDRESS: STREET 1: 450 LAUREL STREET STREET 2: SUITE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAPLE LEAF OFFSHORE LTD CENTRAL INDEX KEY: 0001350370 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09268 FILM NUMBER: 07834405 BUSINESS ADDRESS: STREET 1: 450 LAUREL STREET STREET 2: SUITE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 BUSINESS PHONE: 225-706-1600 MAIL ADDRESS: STREET 1: 450 LAUREL STREET STREET 2: SUITE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ANDREEFF DANE CENTRAL INDEX KEY: 0001201810 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09268 FILM NUMBER: 07834406 BUSINESS ADDRESS: STREET 1: C/O ANDREEFF EQUITY ADVISORS LLC STREET 2: 450 LAUREL STREET STE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 BUSINESS PHONE: 2253447780 MAIL ADDRESS: STREET 1: C/O ANDREEFF EQUITY ADVISORS LLC STREET 2: 450 LAUREL ST STE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAPLE LEAF PARTNERS LP CENTRAL INDEX KEY: 0001166138 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09268 FILM NUMBER: 07834407 BUSINESS ADDRESS: STREET 1: 450 LAUREL STREET STREET 2: SUITE 2105 CITY: BATON ROUGE STATE: LA ZIP: 70801 BUSINESS PHONE: 2253447780 5 1 andreeff_form5ex.xml X0202 5 2006-12-31 0 0 1 0000314606 GEOKINETICS INC GKNT 0001166138 MAPLE LEAF PARTNERS LP C/O ANDREEFF EQUITY ADVISORS, L.L.C. 450 LAUREL STREET, SUITE 2105 BATON ROUGE 70801 0 0 1 0 0001201810 ANDREEFF DANE C/O ANDREEFF EQUITY ADVISORS, L.L.C. 450 LAUREL STREET, SUITE 2105 BATON ROUGE LA 70801 0 0 1 0 0001350370 MAPLE LEAF OFFSHORE LTD C/O ANDREEFF EQUITY ADVISORS, L.L.C. 450 LAUREL STREET, SUITE 2105 BATON ROUGE LA 70801 0 0 1 0 0001390026 MAPLE LEAF CAPITAL I, LLC C/O ANDREEFF EQUITY ADVISORS, L.L.C. 450 LAUREL STREET, SUITE 2105 BATON ROUGE LA 70801 0 0 1 0 Common Stock 2005-11-29 4 P 0 472000 1.2500 A 1569087 I 0 Common Stock 2005-12-08 4 P 0 43840 1.2500 A 1569087 I 0 Common Stock 2007-01-03 4 S 0 9320 31.5000 D 1569087 I 0 Common Stock 2005-12-08 4 P 0 692000 1.2500 A 773531.4 D Common Stock 2007-02-02 4 P 0 244 30.9700 A 1569087 I 0 Common Stock 2007-02-09 4 P 0 163 29.9900 A 1569087 I 0 Common Stock 2007-01-03 4 P 0 65693 31.5000 A 656058.2 D Common Stock 2007-01-08 4 P 0 2816 30.3766 A 656058.2 D Common Stock 2006-09-11 4 P 0 2217 1.8500 A 1569087 I 0 Common Stock 2006-09-19 4 P 0 713 1.7500 A 1569087 I 0 Common Stock 2006-09-27 4 P 0 1782 1.7130 A 1569087 I 0 Common Stock 2006-10-16 4 P 0 500 2.1000 A 1569087 I 0 Common Stock 2006-11-15 4 P 0 39 23.3000 A 1569087 I 0 Common Stock 2006-11-22 4 P 0 16 25.0000 A 1569087 I 0 Common Stock 2006-11-30 4 P 0 7 25.5000 A 1569087 I 0 Common Stock 2006-12-05 4 P 0 77 26.5000 A 1569087 I 0 Common Stock 2006-12-08 4 P 0 30 24.8500 A 1569087 I 0 Common Stock 2006-12-26 4 P 0 435 29.3469 A 1569087 I 0 Common Stock 2006-12-28 4 P 0 83 31.0000 A 1569087 I 0 Common Stock 2007-01-05 4 P 0 39 31.0000 A 1569087 I 0 Common Stock 2007-01-12 4 P 0 132 29.7500 A 1569087 I 0 Common Stock 2007-01-16 4 P 0 76 29.2500 A 1569087 I 0 Common Stock 2007-01-17 4 P 0 77 29.2500 A 1569087 I 0 Common Stock 2007-01-19 4 P 0 53 29.0000 A 1569087 I 0 Common Stock 2007-01-22 4 P 0 762 32.0000 A 1569087 I 0 Common Stock 2007-01-23 4 P 0 762 31.4377 A 1569087 I 0 Common Stock 2007-01-24 4 P 0 601 31.7722 A 1569087 I 0 Common Stock 2007-01-26 4 P 0 762 30.9880 A 1569087 I 0 Common Stock 2007-01-29 4 P 0 144 29.9211 A 1569087 I 0 Common Stock 2006-09-11 4 P 0 3540 1.8500 A 1569087 I 0 Common Stock Warrants (right to buy) 2.00 2005-12-01 4 J 0 51584 0 A 2005-12-01 2010-11-30 Common Stock 51584 5158.4 D Common Stock Warrants (right to buy) 2.00 2005-12-01 4 J 0 811784 0 A 2005-12-01 2010-11-30 Common Stock 811784 81178.4 D Common Stock Warrants (right to buy) 2.00 2005-12-01 4 J 0 536832 0 A 2005-12-01 2010-11-30 Common Stock 536832 53683.2 D This transaction was made by a fund that is not, itself, a 10% owner of the issuer's securities. That fund's general partner, Maple Leaf Capital I, L.L.C., and the general partner's managing member, Dane Andreeff, are reporting these transactions because they each may be deemed indirect beneficial owners of 10% or more of the issuer's securities, in the aggregate. As of the issuer's fiscal year end, Dane Andreeff may be deemed to beneficially own 1,569,087 shares of Common Stock, including immediately exercisable warrants, and Maple Leaf Capital I, L.L.C. may be deemed to beneficially own 964,798 shares of Common Stock, including immediately exercisable warrants. Dane Andreeff and Maple Leaf Capital I, L.L.C. each disclaim beneficial ownership of the issuer's securities and derivatives, except to the extent of each such reporting person's pecuniary interest in those securities or derivatives. This transaction was made by Maple Leaf Partners, L.P., a direct beneficial owner of more than 10% of the issuer's securities. The partnership's general partner, Maple Leaf Capital I, L.L.C., and the general partner's managing member, Dane Andreeff, are reporting these transactions because they each may be deemed indirect beneficial owners of 10% or more of the issuer's securities, in the aggregate. As of the issuer's fiscal year end, Dane Andreeff may be deemed to beneficially own 1,569,087 shares of Common Stock, including immediately exercisable warrants, and Maple Leaf Capital I, L.L.C. may be deemed to beneficially own 964,798 shares of Common Stock, including immediately exercisable warrants. Dane Andreeff and Maple Leaf Capital I, L.L.C. each disclaim beneficial ownership of the issuer's securities and derivatives, except to the extent of each such reporting person's pecuniary interest in those securities or derivatives. This transaction was made by Maple Leaf Offshore, Ltd., a direct beneficial owner of more than 10% of the issuer's securities. Dane Andreeff, the company's general partner is reporting these transactions because he may be deemed the indirect beneficial owner of 10% or more of the issuer's securities, in the aggregate. As of the issuer's fiscal year end, Dane Andreeff may be deemed to beneficially own 1,569,087 shares of Common Stock, including immediately exercisable warrants. Dane Andreeff disclaims beneficial ownership of the issuer's securities and derivatives, except to the extent of his pecuniary interest in those securities or derivatives. This transaction was made by a fund that is not, itself, a 10% owner of the issuer's securities. Dane Andreeff, the fund's general partner is reporting these transactions because he may be deemed the indirect beneficial owner of 10% or more of the issuer's securities, in the aggregate. As of the issuer's fiscal year end, Dane Andreeff may be deemed to beneficially own 1,569,087 shares of Common Stock, including immediately exercisable warrants. Dane Andreeff disclaims beneficial ownership of the issuer's securities and derivatives, except to the extent of his pecuniary interest in those securities or derivatives. The reporting person became a 10% owner of the issuer's securities on this date. These holdings were reportable on a Form 3. The SEC's reporting system would not accept that form type to be listed in Table I of this Form 5 filing. These warrants were received in connection with a private purchase of the issuer's common stock. No specific per-warrant price was assigned to the derivatives in the transaction. /s/ Dane Andreeff, Managing Member of its General Partner, Maple Leaf Capital I, L.L.C. 2007-05-09 EX-99 2 exhibit99.txt EXHIBIT 99 FORM 5 JOINT FILER INFORMATION Name: Maple Leaf Capital I, L.L.C. Address: c/o Andreeff Equity Advisors, L.L.C., 450 Laurel Street Suite 2105, Baton Rouge, LA 70801 Designated Filer: Maple Leaf Partners, L.P. Issuer & Ticker Symbol: Geokinetics Inc. (GKNT) Date of Event Requiring Statement: November 29, 2005 Signature: /s/ Dane Andreeff ------------------------------- By: Dane Andreeff, Managing Member Name: Maple Leaf Offshore, Ltd. Address: c/o Andreeff Equity Advisors, L.L.C., 450 Laurel Street Suite 2105, Baton Rouge, LA 70801 Designated Filer: Maple Leaf Partners, L.P. Issuer & Ticker Symbol: Geokinetics Inc. (GKNT) Date of Event Requiring Statement: November 29, 2005 Signature: /s/ Dane Andreeff ------------------------------- By: Dane Andreeff, General Partner Name: Dane Andreeff Address: c/o Andreeff Equity Advisors, L.L.C., 450 Laurel Street Suite 2105, Baton Rouge, LA 70801 Designated Filer: Maple Leaf Partners, L.P. Issuer & Ticker Symbol: Geokinetics Inc. (GKNT) Date of Event Requiring Statement: November 29, 2005 Signature: /s/ Dane Andreeff ------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----