UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who 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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KAPLAN STEPHEN A C/O OAKTREE CAPITAL MANAGEMENT, LLC 333 SOUTH GRAND AVENUE LOS ANGELES, CA 90071 |
 X |  X |  |  |
OCM PRINCIPAL OPPORTUNITIES FUND II LP C/O OAKTREE CAPITAL MANAGEMENT, LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
OAKTREE CAPITAL MANAGEMENT LLC 333 SOUTH GRAND AVENUE, 28TH FLOOR LOS ANGELES, CA 90071 |
 |  X |  |  |
Stephen A. Kaplan | 11/04/2004 | |
**Signature of Reporting Person | Date | |
OCM Principal Opportunities Fund II, L.P.; By: Oaktree Capital Management, LLC, its General Partner | 11/04/2004 | |
**Signature of Reporting Person | Date | |
Oaktree Capital Management, LLC | 11/04/2004 | |
**Signature of Reporting Person | Date |
No securities are beneficially owned | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
 Remarks: This Amendment is being filed to add Oaktree Capital Management, LLC ("Oaktree") as a reporting person to the original Form 3 filed with the Commission on May 8, 2002 jointly by Stephen A. Kaplan and OCM Principal Opportunities Fund II, L.P. (the "Fund").  Oaktree is the general partner of the Fund and, in such capacity, may be deemed an indirect beneficial owner of the securities reported in the Form 3.  Except to the extent of its pecuniary interest, Oaktree disclaims beneficial ownership of the securities reported in the Form 3 and the filing of the Form 3 shall not be construed as an admission that Oaktree is the beneficial owner of any securities covered by the Form 3.Oaktree is a limited liability company managed by an executive committee, the members of which are Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, D. Richard Masson, Larry W. Keele, Stephen A. Kaplan, Russel S. Bernard, John B. Frank, David Kirchheimer, John W. Moon and Kevin L. Clayton. In such capacity, each of such persons may be deemed indirect beneficial owners of the securities reported herein.  Except to the extent of their respective pecuniary interest, each of such persons disclaim beneficial ownership of the securities reported herein and the filing of the Form 3 shall not be construed as an admission that any such person is the beneficial owner of any securities covered by the Form 3.In addition, the second sentence of footnote (1) of the original Form 3 is hereby amended to clarify that Mr. Kaplan is not a Principal of the Fund but rather a Principal of Oaktree and a co-portfolio manager of the Fund. |