SEC Form 4 · accession 0001209191-15-036118
DUNE ENERGY INC · DUNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
BlueMountain GP Holdings, LLC
10% Owner
Period of report
Apr 22, 2015
Accepted (ET)
Apr 24, 2015 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001092839
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Apr 22, 2015 | P$0 | 243,510 | $0.00 | A | 799,572 | D | |
| Common StockF1,F2,F3 | Apr 22, 2015 | P$0 | 243,510 | $0.00 | A | 12,012,314 | I | Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1BlueMountain Capital Management, LLC ("BMCM") is the investment manager of BlueMountain Guadalupe Peak Fund L.P. ("BMGP"), and in that capacity directs the voting and disposition of securities held by BMGP and receives an asset-based fee with respect to BMGP's investment activities. BlueMountain Long/Short Credit GP, LLC ("BMGP GP") is the general partner of BMGP and has an indirect profits interest in the Common Stock (as defined below) beneficially owned by it. BlueMountain GP Holdings, LLC ("GP Holdings") is the sole owner of BMGP GP and thus has an indirect profits interests in the Common Stock beneficially owned by BMGP.
- F2The filing of this Form 4 shall not be construed as an admission that any of BMCM, GP Holdings or BMGP GP is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise the beneficial owner of any of the shares of Common Stock, par value $0.001 per share (the "Common Stock"), of Dune Energy Inc. (the "Issuer"). Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of BMCM, GP Holdings and BMGP GP disclaims such beneficial ownership, except to the extent of its respective pecuniary interest.
- F3On April 22, 2015, BMGP acquired 243,510 shares of Common Stock from BlueMountain Long/Short Credit & Distressed Reflection Fund, a sub fund of AAI BlueMountain Fund plc, a private fund for which BMCM also acts as investment manager. Accordingly, BMCM's pecuniary interest in the Common Stock of the Issuer did not change.