SEC Form 4 · accession 0001104659-18-001031
EXCO RESOURCES INC · XCOOQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
WL ROSS & CO LLC
10% Owner
WLR Recovery Associates IV LLC
10% Owner
WLR IV Exco AIV Five, L.P.
10% Owner
WLR IV Exco AIV Four, L.P.
10% Owner
WLR IV Exco AIV One, L.P.
10% Owner
WLR IV Exco AIV Six, L.P.
10% Owner
WLR IV Exco AIV Three, L.P.
10% Owner
WLR IV Exco AIV Two, L.P.
10% Owner
Period of report
Jan 3, 2018
Accepted (ET)
Jan 5, 2018 · 6:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000316300
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1,F2,F3 | Jan 3, 2018 | S | 17,858 | $0.20 | D | 353,821 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F4 | Jan 3, 2018 | S | 17,872 | $0.20 | D | 354,098 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F5 | Jan 3, 2018 | S | 17,862 | $0.20 | D | 353,903 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F6 | Jan 3, 2018 | S | 17,859 | $0.20 | D | 353,839 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F7 | Jan 3, 2018 | S | 17,866 | $0.20 | D | 353,965 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F8 | Jan 3, 2018 | S | 17,864 | $0.20 | D | 353,928 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F9 | Jan 3, 2018 | S | 408 | $0.20 | D | 8,093 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F10 | Jan 3, 2018 | S | 26,487 | $0.20 | D | 524,758 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F11 | Jan 3, 2018 | S | 9,824 | $0.20 | D | 194,630 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F3 | Jan 4, 2018 | S | 18,615 | $0.20 | D | 335,206 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F4 | Jan 4, 2018 | S | 18,630 | $0.20 | D | 335,468 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F5 | Jan 4, 2018 | S | 18,620 | $0.20 | D | 335,283 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F6 | Jan 4, 2018 | S | 18,616 | $0.20 | D | 335,223 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F7 | Jan 4, 2018 | S | 18,623 | $0.20 | D | 335,342 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F8 | Jan 4, 2018 | S | 18,621 | $0.20 | D | 335,307 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F9 | Jan 4, 2018 | S | 426 | $0.20 | D | 7,667 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F10 | Jan 4, 2018 | S | 27,609 | $0.20 | D | 497,149 | I | See Footnotes |
| Common Stock, par value $0.001 per shareF1,F2,F11 | Jan 4, 2018 | S | 10,240 | $0.20 | D | 184,390 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares disposed of through over-the-counter transactions.
- F10These shares are held by WLR Select Co-Investment XCO AIV, L.P. ("Co-Invest Fund AIV").
- F11These shares are held by WLR/GS Master Co-Investment XCO AIV, L.P. ("WLR/GS Fund AIV").
- F2WL Ross & Co. LLC ("WLR LLC") is the investment manager of Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five, Fund IV AIV Six, Parallel Fund, Co-Invest Fund AIV and WLR/GS Fund AIV. WLR Recovery Associates IV LLC ("Fund IV") is the general partner of Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five and Fund IV AIV Six. Fund IV is the general partner of Fund IV AIV One, Fund IV AIV Two, Fund IV AIV Three, Fund IV AIV Four, Fund IV AIV Five and Fund IV AIV Six. Invesco Private Capital, Inc. is the managing member of INVESCO WLR IV Associates LLC, which is in turn the general partner of Parallel Fund. WLR Select Associates LLC is the general partner of Co-Invest Fund AIV. WLR Master Co-Investment GP, LLC is the general partner of WLR/GS Fund AIV.
- F3These shares are held by WLR IV Exco AIV One, L.P. ("Fund IV AIV One").
- F4These shares are held by WLR IV Exco AIV Two, L.P. ("Fund IV AIV Two").
- F5These shares are held by WLR IV Exco AIV Three, L.P. ("Fund IV AIV Three").
- F6These shares are held by WLR IV Exco AIV Four, L.P. ("Fund IV AIV Four").
- F7These shares are held by WLR IV Exco AIV Five, L.P. ("Fund IV AIV Five").
- F8These shares are held by WLR IV Exco AIV Six, L.P. ("Fund IV AIV Six").
- F9These shares are held by WLR IV Parallel ESC, L.P. ("Parallel Fund").
Remarks
This Form 4 is being filed in two parts due to the large number of Reporting Persons. Please reference the Form 4 filing filed on the date hereof separately by WLR LLC, Co-Invest Fund AIV, WLR Select Associates LLC, WLR Master, INVESCO WLR IV Associates LLC, Invesco Private Capital, Inc., WLR/GS Fund AIV and Parallel Fund. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each Reporting Person may be deemed to be the beneficial owner of the securities reported herein only to the extent of his pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that each Reporting Person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount.