SEC Form 4 · accession 0001546927-15-000220
Horsehead Holding Corp · ZINC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dalal Street, LLC
10% Owner
Period of report
Aug 5, 2015
Accepted (ET)
Aug 7, 2015 · 5:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001385544
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Aug 5, 2015 | P | 209,280 | $8.29 | A | 8,099,581 | I | See Footnote |
| Common StockF3,F1 | Aug 7, 2015 | P | 39,001 | $8.61 | A | 8,138,582 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Securities 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, Momachi Pabrai and The Dakshana Foundation) managed by Mr. Pabrai as well as Dhandho Holdings Corporation ("Dhandho"). Mr. Pabrai is the managing member of the LLC and the President of Dhandho. The managed accounts are each beneficially owned by members of Mr. Pabrai's family. The LLC, private funds, managed accounts, Dhandho and Mr. Pabrai (the "Reporting Persons") are each beneficial owners. 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.
- F2The 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 $8.25 to $8.33. The Reporting Persons (as defined above) 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.
- F3The 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 $8.60 to $8.62. The Reporting Persons (as defined above) 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.