SEC Form 4 · accession 0001288136-17-000039
Neostellar Capital Corp. · NSLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Brian Taylor
Other
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 9:48 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001509470
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 5.25% Convertible Senior Notes due 2018F1,F2,F3 | — | Feb 24, 2017 | S | 4,000,000 | D | — | Sep 15, 2018 | Common Stock | 333,438 | 25,953,000 | I |
Explanation of responses
- F1These securities are held directly by Pine River Master Fund Ltd. (the "Master Fund"), for which Pine River Capital Management L.P. (the "Partnership") is the Investment Manager. Mr. Taylor is the sole member of Pine River Capital Management LLC, the general partner of the Partnership.
- F2Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, other than to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3The 5.25% Convertible Notes due 2018 are convertible into shares of the issuer's common stock at any time, at a current conversion rate of 83.3596 shares of common stock per $1,000 principal amount of notes, equivalent to a conversion price of approximately $11.9962 per share of common stock, subject to adjustment in certain events.