Amended Statement of Beneficial Ownership (sc 13d/a)
September 29 2016 - 6:03AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 6)*
EROS
INTERNATIONAL PLC
(Name of Issuer)
A Ordinary Shares, Par Value GBP 0.30 per Share
(Title of Class of Securities)
B86NL05
(CUSIP Number)
Arthur Hebert
Dalton Investments LLC
1601 Cloverfield Boulevard, Suite 5050 North
Santa Monica, CA 90404
(424) 231-9100
(Name,
Address and Telephone Number of Person Authorized to Receive Notices and Communications)
September 23, 2016
(Date of Event which Requires Filing of this Statement)
If the filing person has
previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
¨
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 to whom copies are to be sent.
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter disclosures provided in a prior cover page.
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The information required on 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).
CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Dalton Investments LLC
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
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Citizenship or Place of
Organization
California
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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7.
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Sole Voting Power
1,821,495
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8.
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Shared Voting Power
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9.
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Sole Dispositive Power
1,821,495
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10.
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Shared Dispositive Power
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,821,495
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12.
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Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
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13.
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Percent of Class Represented by Amount
in Row (11)
5.5%*
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14.
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Type of Reporting Person (See
Instructions)
IA, OO
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Rosenwald Capital Management, Inc.
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
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(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
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Citizenship or Place of
Organization
New York
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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7.
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Sole Voting Power
34,800
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8.
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Shared Voting Power
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9.
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Sole Dispositive Power
34,800
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10.
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Shared Dispositive Power
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
34,800
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12.
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Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
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13.
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Percent of Class Represented by Amount
in Row (11)
0.1%*
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14.
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Type of Reporting Person (See
Instructions)
IA, CO
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
James B. Rosenwald III
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
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Citizenship or Place of
Organization
United States
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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7.
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Sole Voting Power
34,800
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8.
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Shared Voting Power
1,821,495
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9.
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Sole Dispositive Power
34,800
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10.
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Shared Dispositive Power
1,821,495
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,856,295
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12.
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Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
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13.
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Percent of Class Represented by Amount
in Row (11)
5.6%*
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14.
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Type of Reporting Person (See
Instructions)
IN, HC
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Steven D. Persky
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
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Citizenship or Place of
Organization
United States
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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7.
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Sole Voting Power
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8.
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Shared Voting Power
1,821,495
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9.
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Sole Dispositive Power
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10.
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Shared Dispositive Power
1,821,495
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,821,495
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12.
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Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
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13.
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Percent of Class Represented by Amount
in Row (11)
5.5%*
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14.
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Type of Reporting Person (See
Instructions)
IN, HC
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Gifford Combs
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
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Citizenship or Place of
Organization
United States
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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7.
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Sole Voting Power
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8.
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Shared Voting Power
1,821,495
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9.
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Sole Dispositive Power
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10.
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Shared Dispositive Power
1,821,495
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,821,495
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12.
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|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
|
13.
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Percent of Class Represented by Amount
in Row (11)
5.5%*
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14.
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Type of Reporting Person (See
Instructions)
IN, HC
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Belita Ong
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
|
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Citizenship or Place of
Organization
United States
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
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7.
|
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Sole Voting Power
|
|
8.
|
|
Shared Voting Power
1,821,495
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9.
|
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Sole Dispositive Power
|
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10.
|
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Shared Dispositive Power
1,821,495
|
11.
|
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,821,495
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
|
13.
|
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Percent of Class Represented by Amount
in Row (11)
5.5%*
|
14.
|
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Type of Reporting Person (See
Instructions)
IN, HC
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Arthur Hebert
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
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6.
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Citizenship or Place of
Organization
United States
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
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7.
|
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Sole Voting Power
|
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8.
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Shared Voting Power
1,821,495
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9.
|
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Sole Dispositive Power
|
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10.
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Shared Dispositive Power
1,821,495
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,821,495
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
|
13.
|
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Percent of Class Represented by Amount
in Row (11)
5.5%*
|
14.
|
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Type of Reporting Person (See
Instructions)
IN, HC
|
*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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CUSIP No. B86NL05
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1.
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Names of
Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Erin Lavelle
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a)
¨
(b)
x
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3.
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SEC Use Only
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4.
|
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Source of Funds (See Instructions)
AF
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5.
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Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)
¨
|
6.
|
|
Citizenship or Place of
Organization
United States
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
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7.
|
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Sole Voting Power
|
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8.
|
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Shared Voting Power
1,821,495
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9.
|
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Sole Dispositive Power
|
|
10.
|
|
Shared Dispositive Power
1,821,495
|
11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,821,495
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)
¨
|
13.
|
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Percent of Class Represented by Amount
in Row (11)
5.5%*
|
14.
|
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Type of Reporting Person (See
Instructions)
IN, HC
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*
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Based upon 32,951,064 Shares (as defined in Item 1 herein), as reported in the Issuers Form 6-k filed on September 14, 2016.
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This Amendment No. 6 to the Schedule 13D (this Amendment No. 6) relates to the A ordinary
shares, par value GBP 0.30 per Share (the Shares), of Eros International Plc, an Isle of Man public limited company (the Issuer), and amends the Schedule 13D filed on November 2, 2015 as amended by Amendment
No. 5 thereto filed with the SEC on August 11, 2016, Amendment No. 4 thereto filed with the SEC on July 22, 2016, Amendment No. 3 thereto filed with the SEC on December 8, 2015, Amendment No. 2 thereto filed with
the SEC on December 4, 2015 and Amendment No. 1 thereto filed with the SEC on November 27, 2015 (the Original Schedule 13D and, together with this Amendment No. 6, the Schedule 13D). Capitalized terms used
and not defined in this Amendment No. 6 have the meanings set forth in the Original Schedule 13D.
This Amendment No. 6 is being filed to amend
Item 3, Item 5 and Item 7.
Item 3.
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Source and Amount of Funds or Other Consideration
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Item 3 of the Original Schedule 13D is supplementally amended as follows:
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The responses to Item 5 of this Amendment No. 6 are incorporated herein by reference.
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Since the filing of Amendment No. 5, the Reporting Persons sold 382,533 Shares as reported herein on
Exhibit B
. The total sale price for the Sold Shares was $6,366,882, including brokerage commissions.
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Item 5.
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Interest in Securities of the Issuer
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Paragraphs (a)-(b) and (c) of Item 5 of the Original Schedule 13D are supplementally amended as follows:
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The percentages used in this Item 5 and in the rest of the Schedule 13D are calculated based upon an aggregate of 32,951,064 Shares outstanding on June 30, 2016 as reported in the Issuers Form 6-K filed
on September 14, 2016.
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(a)-(b)
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As of 1:00 p.m., Los Angeles time, on September 27, 2016, Dalton may be deemed to be the beneficial owner 1,821,495 Shares, constituting approximately 5.5% of the Issuers outstanding Shares. By virtue of
their positions as control persons of Dalton, the Dalton Individual Reporting Persons may be deemed to share beneficial ownership of such Shares. RCM may be deemed to be the beneficial owner of 34,800 Shares, constituting approximately 0.1% of the
Issuers outstanding Shares. By virtue of his position as a control person of RCM, the RCM Individual Reporting Person may be deemed to be the beneficial owner of such Shares.
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(c)
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Except as set forth on
Exhibit B
attached hereto, there have been no transactions with respect to the Shares during the sixty days prior to the date hereof by any Reporting Persons.
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Item 7.
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Material to Be Filed as Exhibits
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Item 7 of the Original Schedule 13D is
supplementally amended as follows:
The joint filing agreement pursuant to Rule 13d-1(k), attached as
Exhibit A
.
The list of transactions by the Reporting Persons in the last 60 days, attached as
Exhibit B
.
Signatures
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.
Date: September 27, 2016
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Dalton Investments LLC
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By:
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/s/ James B. Rosenwald III
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Name:
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James B. Rosenwald III
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Title:
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Managing Member
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Rosenwald Capital Management, Inc.
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By:
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/s/ James B. Rosenwald III
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Name:
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James B. Rosenwald III
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Title:
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Chairman and Chief Executive Officer
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/s/ James B. Rosenwald III
James B. Rosenwald III
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/s/ Stephen D. Persky
Stephen D. Persky
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/s/ Gifford Combs
Gifford Combs
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/s/ Belita Ong
Belita Ong
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/s/ Arthur Hebert
Arthur Hebert
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/s/ Erin Lavelle
Erin Lavelle
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