SEC Form 3/A · accession 0000919574-16-014716
SAExploration Holdings, Inc. · SAEX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owners
WHITEBOX ADVISORS LLC
Director · 10% Owner
Whitebox Multi-Strategy Partners LP
10% Owner
Jacob Paul Mercer
Director
WHITEBOX GENERAL PARTNER LLC
10% Owner
WBOX2015-7 LTD.
10% Owner
Period of report
Jul 27, 2016
Accepted (ET)
Aug 12, 2016 · 6:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001514732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 2,609,039 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 1,026,461 | D | ||
| Common StockF3 | holding | — | — | — | 943,607 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are directly beneficially owned by certain private investment funds, including Whitebox Multi-Strategy Partners, LP ("WMP") (together, the "Private Funds") and WBox 2015-7 Ltd. a special purpose vehicle established to hold securities on behalf of the Private Funds (the "SPV") and may be deemed to be beneficially owned by (a) Whitebox Advisors LLC by virtue of its role as the investment manager of the Private Funds and the SPV, and (b) Whitebox General Partner LLC by virtue of its role as the general partner of the Private Funds.
- F2These securities are directly beneficially owned by the SPV. WMP may be deemed to indirectly beneficially own 638,787 of these securities.
- F3These securities are directly beneficially owned by WMP.
Remarks
Jacob Mercer does not beneficially own any securities. This amendment is being filed to correct the Form 3 filed by the Reporting Persons on August 2, 2016, which incorrectly stated that the securities reported in Table I were directly owned by Whitebox Advisors LLC. Each of Jacob Mercer, the Private Funds, the SPV, Whitebox Advisors LLC and Whitebox General Partner LLC disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.