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OMB
APPROVAL
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OMB Number:
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3235-0145
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Expires:
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Estimated average burden
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hours per response
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10.4
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
China Medical
Technologies, Incorporated
(Name of Issuer)
Common Stock
(Title of Class of Securities)
169483104
(CUSIP Number)
December 31, 2011
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
x
Rule 13d-1(b)
¨
Rule 13d-1(c)
¨
Rule 13d-1(d)
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*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
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The
information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section
of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
Potential persons who are to respond to the
collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Advisors,
LLC
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
Delaware
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
0
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(6)
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Shared voting power
1,831,828 (See item 4)
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
1,831,828 (See item 4)
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(9)
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Aggregate amount beneficially owned by each reporting person
1,831,828 (See item 4)
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares*
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(11)
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Percent of class represented by
amount in Row (9)
5.3% (See item 4)
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(12)
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Type of reporting
person*
IA
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** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 2 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Advisors,
LLC
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
Delaware
|
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
0
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(6)
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Shared voting power
895,234 (See item 4)
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
895,234 (See item 4)
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(9)
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Aggregate amount beneficially owned by each reporting person
895,234 (See item 4)
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares*
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(11)
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Percent of class represented by
amount in Row (9)
2.6% (See item 4)
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(12)
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Type of reporting
person*
IA
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** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 3 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Partners,
L.P.
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
British Virgin Islands
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
0
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(6)
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Shared voting power
895,234 (See item 4)
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
895,234 (See item 4)
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(9)
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Aggregate amount beneficially owned by each reporting person
895,234 (See item 4)
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares*
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(11)
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Percent of class represented by
amount in Row (9)
2.6% (See item 4)
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(12)
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Type of reporting
person*
PN
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** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 4 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Fund,
L.P.
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
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(3)
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SEC use only
|
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(4)
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Citizenship or place of
organization
Delaware
|
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
0
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(6)
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Shared voting power
895,234 (See item 4)
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
895,234 (See item 4)
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(9)
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Aggregate amount beneficially owned by each reporting person
895,234 (See item 4)
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares*
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(11)
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Percent of class represented by
amount in Row (9)
2.6% (See item 4)
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(12)
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Type of reporting
person*
PN
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** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 5 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Multi-Strategy Fund,
Ltd.
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
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(3)
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SEC use only
|
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(4)
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Citizenship or place of
organization
British Virgin Islands
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
0
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(6)
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Shared voting power
895,234 (See item 4)
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
895,234 (See item 4)
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(9)
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Aggregate amount beneficially owned by each reporting person
895,234 (See item 4)
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares*
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(11)
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Percent of class represented by
amount in Row (9)
2.6% (See item 4)
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(12)
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Type of reporting
person*
PN
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** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 6 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible
Arbitrage Advisors, LLC
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
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(3)
|
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SEC use only
|
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(4)
|
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Citizenship or place of
organization
Delaware
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
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(5)
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Sole voting power
0
|
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(6)
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Shared voting power
746,235 (See item 4)
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
746,235 (See item 4)
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(9)
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Aggregate amount beneficially owned by each reporting person
746,235 (See item 4)
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(10)
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Check if the aggregate amount in
Row (9) excludes certain shares*
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(11)
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Percent of class represented by
amount in Row (9)
2.2% (See item 4)
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(12)
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Type of reporting
person*
IA
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 7 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible
Arbitrage Partners, L.P.
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(2)
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
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(3)
|
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SEC use only
|
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(4)
|
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Citizenship or place of
organization
British Virgin Islands
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
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(5)
|
|
Sole voting power
0
|
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(6)
|
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Shared voting power
746,235 (See item 4)
|
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(7)
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Sole dispositive power
0
|
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(8)
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Shared dispositive power
746,235 (See item 4)
|
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(9)
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Aggregate amount beneficially owned by each reporting person
746,235 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
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(11)
|
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Percent of class represented by
amount in Row (9)
2.2% (See item 4)
|
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(12)
|
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Type of reporting
person*
PN
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 8 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible
Arbitrage Fund, L.P.
|
|
(2)
|
|
Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
|
(3)
|
|
SEC use only
|
|
(4)
|
|
Citizenship or place of
organization
Delaware
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
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(5)
|
|
Sole voting power
0
|
|
|
(6)
|
|
Shared voting power
746,235 (See item 4)
|
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(7)
|
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Sole dispositive power
0
|
|
|
(8)
|
|
Shared dispositive power
746,235 (See item 4)
|
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(9)
|
|
Aggregate amount beneficially owned by each reporting person
746,235 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
|
(11)
|
|
Percent of class represented by
amount in Row (9)
2.2% (See item 4)
|
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(12)
|
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Type of reporting
person*
PN
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 9 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Whitebox Concentrated Convertible
Arbitrage Fund, Ltd.
|
|
(2)
|
|
Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
|
(3)
|
|
SEC use only
|
|
(4)
|
|
Citizenship or place of
organization
British Virgin Islands
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
|
(5)
|
|
Sole voting power
0
|
|
|
(6)
|
|
Shared voting power
746,235 (See item 4)
|
|
|
(7)
|
|
Sole dispositive power
0
|
|
|
(8)
|
|
Shared dispositive power
746,235 (See item 4)
|
|
(9)
|
|
Aggregate amount beneficially owned by each reporting person
746,235 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
|
(11)
|
|
Percent of class represented by
amount in Row (9)
2.2% (See item 4)
|
|
(12)
|
|
Type of reporting
person*
PN
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 10 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Advisors,
LLC
|
|
(2)
|
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Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
|
(3)
|
|
SEC use only
|
|
(4)
|
|
Citizenship or place of
organization
Delaware
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
|
(5)
|
|
Sole voting power
0
|
|
|
(6)
|
|
Shared voting power
12,471 (See item 4)
|
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|
(7)
|
|
Sole dispositive power
0
|
|
|
(8)
|
|
Shared dispositive power
12,471 (See item 4)
|
|
(9)
|
|
Aggregate amount beneficially owned by each reporting person
12,471 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
|
(11)
|
|
Percent of class represented by
amount in Row (9)
0.0% (See item 4)
|
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(12)
|
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Type of reporting
person*
IA
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 11 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Partners
LP
|
|
(2)
|
|
Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
|
(3)
|
|
SEC use only
|
|
(4)
|
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Citizenship or place of
organization
British Virgin Islands
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
|
(5)
|
|
Sole voting power
0
|
|
|
(6)
|
|
Shared voting power
12,471 (See item 4)
|
|
|
(7)
|
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Sole dispositive power
0
|
|
|
(8)
|
|
Shared dispositive power
12,471 (See item 4)
|
|
(9)
|
|
Aggregate amount beneficially owned by each reporting person
12,471 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
|
(11)
|
|
Percent of class represented by
amount in Row (9)
0.0% (See item 4)
|
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(12)
|
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Type of reporting
person*
PN
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 12 of 20
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(1)
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Fund,
LP
|
|
(2)
|
|
Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
|
(3)
|
|
SEC use only
|
|
(4)
|
|
Citizenship or place of
organization
Delaware
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
|
(5)
|
|
Sole voting power
0
|
|
|
(6)
|
|
Shared voting power
12,471 (See item 4)
|
|
|
(7)
|
|
Sole dispositive power
0
|
|
|
(8)
|
|
Shared dispositive power
12,471 (See item 4)
|
|
(9)
|
|
Aggregate amount beneficially owned by each reporting person
12,471 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
|
(11)
|
|
Percent of class represented by
amount in Row (9)
0.0% (See item 4)
|
|
(12)
|
|
Type of reporting
person*
PN
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 13 of 20
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(1)
|
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Names of reporting persons
I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pandora Select Fund,
Ltd
|
|
(2)
|
|
Check the appropriate box if a
member of a group*
(a)
¨
(b)
x
|
|
(3)
|
|
SEC use only
|
|
(4)
|
|
Citizenship or place of
organization
British Virgin Islands
|
|
Number of
shares
beneficially
owned by
each
reporting
person
with:
|
|
(5)
|
|
Sole voting power
0
|
|
|
(6)
|
|
Shared voting power
12,471 (See item 4)
|
|
|
(7)
|
|
Sole dispositive power
0
|
|
|
(8)
|
|
Shared dispositive power
12,471 (See item 4)
|
|
(9)
|
|
Aggregate amount beneficially owned by each reporting person
12,471 (See item 4)
|
|
(10)
|
|
Check if the aggregate amount in
Row (9) excludes certain shares*
|
|
(11)
|
|
Percent of class represented by
amount in Row (9)
0.0% (See item 4)
|
|
(12)
|
|
Type of reporting
person*
PN
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 14 of 20
Item 1.
China Medical
Technologies, Incorporated
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(b)
|
Address of Issuer’s Principal Executive Offices
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24 Yong Chang North Road
Beijing China 100176
Item 2.
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(a)
|
Name of Person Filing
|
This
statement is filed by:
|
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(i)
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Whitebox Advisors, LLC, a Delaware limited liability company (“WA”);
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(ii)
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Whitebox Multi-Strategy Advisors, LLC, a Delaware limited liability company (“WMSA”);
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(iii)
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Whitebox Multi-Strategy Partners, L.P., a British Virgin Islands limited partnership (“WMSP”);
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(iv)
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Whitebox Multi-Strategy Fund, L.P., a Delaware limited partnership (“WMSFLP”);
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(v)
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Whitebox Multi-Strategy Fund, Ltd., a British Virgin Islands international business company (“WMSFLTD”);
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(vi)
|
Whitebox Concentrated Convertible Arbitrage Advisors, LLC, a Delaware limited liability company (“WCCAA”);
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(vii)
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Whitebox Concentrated Convertible Arbitrage Partners, L.P., a British Virgin Islands limited partnership (“WCCAP”);
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(viii)
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Whitebox Concentrated Convertible Arbitrage Fund , L.P., a Delaware limited partnership (“WCCAFLP”);
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(ix)
|
Whitebox Concentrated Convertible Arbitrage Fund, Ltd., a British Virgin Islands international business company (“WCCAFLTD”);
|
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|
(x)
|
Pandora Select Advisors, LLC, a Delaware limited liability company (“PSA”);
|
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|
(xi)
|
Pandora Select Partners, L.P., a British Virgin Islands limited partnership (“PSP”);
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|
|
(xii)
|
Pandora Select Fund, L.P., a Delaware limited partnership (“PSFLP”);
|
|
|
(xiii)
|
Pandora Select Fund, Ltd., a British Virgin Islands international business company (“PSFLTD”);
|
|
|
(xiv)
|
HFR RVA Combined Master Trust, a Bermuda limited partnership (“HFR”);
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|
|
(xv)
|
IAM Mini-Fund 14 Limited, a Cayman Islands Corporation (“IAM”);
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|
(b)
|
Address of Principal Business Office or, if none, Residence
|
The address of the business office of WA, WMSA, WMSFLP, WCCAA, WCCAFLP, PSA, and PSFLP is:
3033 Excelsior Boulevard
Suite 300
Minneapolis, MN 55416
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 15 of 20
The address of the business office of WMSP, WMSFLTD, WCCAP, WCCAFLTD, PSP, and PSFLTD is:
Trident Chambers, P.O. Box 146
Waterfront Drive, Wickhams Cay
Road Town, Tortola, British Virgin Islands
The address of the business office of HFR is:
HFR RVA Combined Master Trust
65 Front Street
Hamilton, HM 11, Bermuda
The address of the business office of IAM is:
IAM Mini-Fund 14 Limited
Boundary Hall, Cricket Square
George Town, Grand Cayman, KY1-1102 Cayman Islands
WA, WMSA, WMSFLP,
WCCAA, WCCAFLP, PSA, and PSFLP are organized under the laws of the State of Delaware; WMSP, WMSFLTD, WCCAP, WCCAFLTD, PSP, and PSFLTD are organized under the laws of the British Virgin Islands; and IAM is organized under the laws of the Cayman
Islands; HFR is organized under the laws of Bermuda.
|
|
(d)
|
Title of Class of Securities
|
Common Stock
169483104
|
Item 3.
|
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
|
|
|
(a)
|
¨
Broker or dealer registered under section 15 of the Act.
|
|
|
(b)
|
¨
Bank as defined in section 3(a)(6) of the Act.
|
|
|
(c)
|
¨
Insurance company as defined in section 3(a)(19) of the Act.
|
|
|
(d)
|
¨
Investment company registered under section 8 of the Investment Company Act of 1940.
|
|
|
(e)
|
x
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
|
|
|
(f)
|
¨
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
|
|
|
(g)
|
¨
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 16 of 20
|
|
(h)
|
¨
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
|
|
|
(i)
|
¨
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the
Investment Company Act of 1940.
|
|
|
(j)
|
¨
Group, in accordance with § 240.13d-1(b)(1)(ii)(J).
|
|
|
(a)
|
Amount Beneficially Owned
|
WA, acting as an investment adviser to its client, is deemed to be the beneficial owner of 1,831,828 shares of
Common Stock of the Company.
WMSA, is deemed to beneficially own 895,234 Shares of Common Stock of the company.
WMSP is deemed to beneficially own 895,234 shares of Common Stock as a result of its ownership of Convertible Bonds and Common Stock of
the company
WMSFLP is deemed to beneficially own 895,234 shares of Common Stock as a result of its indirect ownership of
Convertible Bonds and Common Stock of the company
WMSFLTD is deemed to beneficially own 895,234 shares of Common Stock as a result of its indirect ownership of
Convertible Bonds and Common Stock of the company
WCCAA, is deemed to
beneficially own 746,235 Shares of Common Stock of the company.
WCCAP is deemed to beneficially own 746,235 shares of Common
Stock as a result of its ownership of
Convertible Bonds of the company
WCCAFLP is deemed to beneficially own 746,235 shares of Common Stock as a result of its indirect ownership of
Convertible Bonds of the company
WCCAFLTD is deemed to beneficially own 746,235 shares of Common Stock as a result of its indirect ownership of Convertible Bonds of the company
PSA, is deemed to beneficially own 12,471 Shares of Common Stock of the company.
PSP is deemed to beneficially own 12,471 shares of Common Stock as a result of its ownership of Convertible Bonds of the company
PSFLP is deemed to beneficially own 12,471 shares of Common Stock as a result of its indirect ownership of
Convertible Bonds of the company
PSFLTD is deemed to beneficially own 12,471 shares of Common Stock as a result of its indirect ownership of
Convertible Bonds of the company
HFR, is deemed to beneficially own 84,620
Shares of Common Stock as a result of its ownership of Convertible Bonds of the company
IAM, is deemed to beneficially own
93,267 Shares of Common Stock as a result of its ownership of Convertible Bonds of the company
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 17 of 20
As a result of the relationship described in this statement, each of WA, WMSA, WMSFLP, WMSFLTD, WCCAA,
WCCAFLP, WCCAFLTD, PSA, PSFLP, and PSFLTD may be deemed to possess indirect beneficial ownership of the shares of Common Stock beneficially owned by each of WMSP, WCCAP, PSP, IAM, and HFR.
WA, WMSA, WMSFLP, WMSFLTD, WCCAA, WCCAFLP, WCCAFLTD, PSA, PSFLP, and PSFLTD each disclaim indirect beneficial ownership of the shares of
Common Stock except to the extent of their pecuniary interest in such shares.*
Based on the relationships described herein,
these entities may be deemed to constitute a “group” within the meaning Of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934. The filing of this statement shall not be construed as An admission that WA, WMSA,WMSP, WMSFLP, WMSFLTD,
WCCAA, WCCAP, WCCAFLP, WCCAFLTD, PSA, PSP, PSFLP, PSFLTD, IAM, AND HFR are a group, Or have agreed to act as a group.*
WA
beneficially owns 5.3 % of the company’s Common Stock.*
WMSA is deemed to beneficially own 2.6 % of the
company’s Common Stock
WMSP is deemed to beneficially own 2.6 % of the company’s Common Stock
WMSFLP is deemed to beneficially own 2.6 % of the company’s Common Stock
WMSFLTD is deemed to beneficially own 2.6 % of the company’s Common Stock
WCCAA is deemed to beneficially own 2.2 % of the company’s Common Stock
WCCAP is deemed to beneficially own 2.2 % of the company’s Common Stock
WCCAFLP is deemed to beneficially own 2.2 % of the company’s Common Stock
WCCAFLTD is deemed to beneficially own 2.2 % of the company’s Common Stock
PSA is deemed to beneficially own 0.0 % of the company’s Common Stock
PSP is deemed to beneficially own 0.0 % of the company’s Common Stock
PSFLP is deemed to beneficially own 0.0 % of the company’s Common Stock
PSFLTD is deemed to beneficially own 0.0 % of the company’s Common Stock
HFR beneficially owns 0.2 % of the company’s Common Stock.*
IAM beneficially owns 0.3 % of the company’s Common Stock.*
The percentage of Common Stock reportedly owned by each entity herein is based on 32,408,000 shares of outstanding
Common Stock of the Company, which is the total number of shares issued and outstanding on
September 30
th
, 2012.
|
|
(c)
|
Number of shares as to which such person has:
|
|
|
(i)
|
Sole power to vote or to direct the vote
|
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 18 of 20
|
|
(ii)
|
Shared power to vote or to direct the vote
|
|
|
|
WA has shared voting power with respect to 1,831,828 shares of the Issuer’s Common Stock.
|
|
|
|
WMSA, WMSP, WMSFLP, and WMSFLTD have shared voting power with respect to 895,234 Shares of the Company’s Common Stock.
|
|
|
|
WCCAA, WCCAP, WCCAFLP, and WCCAFLTD have shared voting power with respect to 746,235 Shares of the Company’s Common Stock.
|
|
|
|
PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 12,471 Shares of the Company’s Common Stock.
|
|
|
(iii)
|
Sole power to dispose or to direct the disposition of
|
|
|
(iv)
|
Shared power to dispose or to direct the disposition of
|
|
|
|
WA has shared voting power with respect to 1,831,828 shares of the Issuer’s Common Stock.
|
|
|
|
WMSA, WMSP, WMSFLP, and WMSFLTD have shared voting power with respect to 895,234 Shares of the Company’s Common Stock.
|
|
|
|
WCCAA, WCCAP, WCCAFLP, and WCCAFLTD have shared voting power with respect to 746,235 Shares of the Company’s Common Stock.
|
|
|
|
PSA, PSP, PSFLP, and PSFLTD have shared voting power with respect to 12,471 Shares of the Company’s Common Stock.
|
Instruction.
For computations regarding securities which represent a right to acquire an underlying security
see
§240.23d3(d)(1).
|
Item 5.
|
Ownership of Five Percent or Less of a Class
|
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the
following
¨
*.
Instruction.
Dissolution of a group requires a response to this item.
|
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person.
|
Not Applicable.
|
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
|
Not Applicable
|
Item 8.
|
Identification and Classification of Members of the Group
|
See Item 2
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 19 of 20
|
Item 9.
|
Notice of Dissolution of Group
|
Not Applicable
By signing
below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
|
|
|
|
|
|
|
02/13/12
|
|
|
|
Date
/s/ Clint B. Semm
|
|
|
|
Signature
Clint B. Semm as Chief Financial Officer of Whitebox Advisors,
LLC.
|
|
|
|
Name/Title
|
The original statement shall be signed by each person on whose behalf the statement is filed or his
authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf
of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the
statement shall be typed or printed beneath his signature.
NOTE
: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits.
See
§ 240.13d-7 for other parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
** SEE
INSTRUCTION BEFORE FILLING OUT **
SEC 1745 (2-02)
Page 20 of 20
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