Amended Statement of Beneficial Ownership (sc 13d/a)
April 17 2018 - 5:13PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED
IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. 6)
1
Atlantic Power Corporation
(Name
of Issuer)
Common Stock
,
no par value
(Title of Class of Securities)
0
4878Q863
(CUSIP Number)
STEVE
WOLOSKY, ESQ.
OLSHAN
FROME WOLOSKY LLP
1325
Avenue of the Americas
New
York, New York 10019
(212)
451-2300
(Name, Address and Telephone Number of Person
Authorized to Receive Notices
and Communications)
April 13, 2018
(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.
1
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 disclosures provided
in a prior cover page.
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
).
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1
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NAME OF REPORTING PERSON
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THE MANGROVE PARTNERS MASTER FUND, LTD.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) ☒
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(b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
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WC
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
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CAYMAN ISLANDS
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NUMBER OF
|
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7
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SOLE VOTING POWER
|
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SHARES
|
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|
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BENEFICIALLY
|
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- 0 -
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OWNED BY
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8
|
|
SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
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- 0 -
|
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|
10
|
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SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
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|
5,969,584
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|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
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|
|
|
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|
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|
5,969,584
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|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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|
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5.1%
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14
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TYPE OF REPORTING PERSON
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OO
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1
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NAME OF REPORTING PERSON
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THE MANGROVE PARTNERS FUND, L.P.
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2
|
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
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(b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
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AF
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5
|
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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DELAWARE
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NUMBER OF
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7
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SOLE VOTING POWER
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SHARES
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BENEFICIALLY
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- 0 -
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OWNED BY
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8
|
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SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
- 0 -
|
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|
10
|
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SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
|
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13
|
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
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|
|
|
|
|
|
|
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5.1%
|
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|
14
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TYPE OF REPORTING PERSON
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PN
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1
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NAME OF REPORTING PERSON
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MANGROVE PARTNERS FUND (CAYMAN), LTD.
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2
|
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
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(b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
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AF
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5
|
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
|
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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CAYMAN ISLANDS
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NUMBER OF
|
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7
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SOLE VOTING POWER
|
|
SHARES
|
|
|
|
|
|
BENEFICIALLY
|
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|
|
|
- 0 -
|
|
OWNED BY
|
|
8
|
|
SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
- 0 -
|
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|
|
10
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
|
|
|
|
|
|
|
|
5.1%
|
|
|
14
|
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TYPE OF REPORTING PERSON
|
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|
|
|
|
|
|
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|
OO
|
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1
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NAME OF REPORTING PERSON
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|
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THE MANGROVE PARTNERS FUND (CAYMAN DRAWDOWN), L.P.
|
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2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
|
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|
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|
(b) ☐
|
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|
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3
|
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SEC USE ONLY
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4
|
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SOURCE OF FUNDS
|
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|
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AF
|
|
|
5
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
|
|
|
|
|
|
|
|
|
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|
6
|
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
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|
|
|
|
|
|
|
|
|
CAYMAN ISLANDS
|
|
NUMBER OF
|
|
7
|
|
SOLE VOTING POWER
|
|
SHARES
|
|
|
|
|
|
BENEFICIALLY
|
|
|
|
|
- 0 -
|
|
OWNED BY
|
|
8
|
|
SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
- 0 -
|
|
|
|
10
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
|
|
|
|
|
|
|
|
5.1%
|
|
|
14
|
|
TYPE OF REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
PN
|
|
|
|
|
|
|
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|
1
|
|
NAME OF REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
MANGROVE PARTNERS
|
|
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
|
|
|
|
|
(b) ☐
|
|
|
|
|
|
|
|
3
|
|
SEC USE ONLY
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4
|
|
SOURCE OF FUNDS
|
|
|
|
|
|
|
|
|
|
|
AF
|
|
|
5
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
6
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
|
|
|
|
|
|
|
|
CAYMAN ISLANDS
|
|
NUMBER OF
|
|
7
|
|
SOLE VOTING POWER
|
|
SHARES
|
|
|
|
|
|
BENEFICIALLY
|
|
|
|
|
- 0 -
|
|
OWNED BY
|
|
8
|
|
SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
- 0 -
|
|
|
|
10
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
|
|
|
|
|
|
|
|
5.1%
|
|
|
14
|
|
TYPE OF REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
OO
|
|
|
|
|
|
|
|
|
|
|
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1
|
|
NAME OF REPORTING PERSON
|
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|
|
|
|
|
|
MANGROVE CAPITAL
|
|
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
|
|
|
|
|
(b) ☐
|
|
|
|
|
|
|
|
3
|
|
SEC USE ONLY
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4
|
|
SOURCE OF FUNDS
|
|
|
|
|
|
|
|
|
|
|
AF
|
|
|
5
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
6
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
|
|
|
|
|
|
|
|
CAYMAN ISLANDS
|
|
NUMBER OF
|
|
7
|
|
SOLE VOTING POWER
|
|
SHARES
|
|
|
|
|
|
BENEFICIALLY
|
|
|
|
|
- 0 -
|
|
OWNED BY
|
|
8
|
|
SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
- 0 -
|
|
|
|
10
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
|
|
|
|
|
|
|
|
5.1%
|
|
|
14
|
|
TYPE OF REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
OO
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1
|
|
NAME OF REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
NATHANIEL AUGUST
|
|
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☒
|
|
|
|
|
(b) ☐
|
|
|
|
|
|
|
|
3
|
|
SEC USE ONLY
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4
|
|
SOURCE OF FUNDS
|
|
|
|
|
|
|
|
|
|
|
AF
|
|
|
5
|
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
6
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
|
|
|
|
|
|
|
|
USA
|
|
NUMBER OF
|
|
7
|
|
SOLE VOTING POWER
|
|
SHARES
|
|
|
|
|
|
BENEFICIALLY
|
|
|
|
|
- 0 -
|
|
OWNED BY
|
|
8
|
|
SHARED VOTING POWER
|
|
EACH
|
|
|
|
|
|
REPORTING
|
|
|
|
|
5,969,584
|
|
PERSON WITH
|
|
9
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
- 0 -
|
|
|
|
10
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
5,969,584
|
|
|
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
☐
|
|
|
|
|
|
|
|
|
|
|
|
|
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
|
|
|
|
|
|
|
|
5.1%
|
|
|
14
|
|
TYPE OF REPORTING PERSON
|
|
|
|
|
|
|
|
|
|
|
IN
|
|
The following constitutes
Amendment No. 6 to the Schedule 13D filed by the undersigned (“Amendment No. 6”). This Amendment No. 6 amends the Schedule
13D as specifically set forth herein.
|
Item 3.
|
Source and Amount of Funds or Other Consideration
.
|
Item 3 is hereby amended
and restated to read as follows:
The 5,969,584 Shares
directly owned by Mangrove Master Fund were purchased with working capital (which may, at any given time, include margin loans
made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted, as set forth in
Schedule B
annexed hereto (“
Schedule B
”). The aggregate purchase price of the 5,969,584 Shares directly
owned by Mangrove Master Fund is, in U.S. dollar terms, approximately $12,698,876, including brokerage commissions.
|
Item 5.
|
Interest in Securities of the Issuer
.
|
Items 5(a)-(c) are
hereby amended and restated to read as follows:
The aggregate percentage
of Shares reported owned by each person named herein is based upon 116,008,834 Shares outstanding as of February 27, 2018, which
is the total number of Shares outstanding as reported in the Issuer’s Form 10-K filed with the Securities and Exchange Commission
on March 1, 2018.
|
(a)
|
As of the close of business on April 16, 2018, Mangrove Master Fund directly owned 5,969,584 Shares.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
The transactions in the securities of the Issuer by Mangrove Master Fund during the past sixty
(60) days are set forth in
Schedule B
and are incorporated herein by reference.
|
|
(a)
|
As of the close of business on April 16, 2018, Mangrove Fund, as a controlling shareholder of Mangrove
Master Fund, may be deemed to beneficially own the 5,969,584 Shares directly owned by Mangrove Master Fund.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
Mangrove Fund has not entered into any transactions in the Shares during the past sixty (60) days.
|
|
(a)
|
As of the close of business on April 16, 2018, Mangrove Fund Cayman, as a significant shareholder
of Mangrove Master Fund, may be deemed to beneficially own the 5,969,584 Shares directly owned by Mangrove Master Fund.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
Mangrove Fund Cayman has not entered into any transactions in the Shares during the past sixty
(60) days.
|
|
D.
|
Mangrove Fund Cayman Drawdown
|
|
(a)
|
As of the close of business on April 16, 2018, Mangrove Fund Cayman Drawdown, as a shareholder
of Mangrove Master Fund, may be deemed to beneficially own the 5,969,584 Shares directly owned by Mangrove Master Fund.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
Mangrove Fund Cayman Drawdown has not entered into any transactions in the Shares during the past
sixty (60) days.
|
|
(a)
|
As of the close of business on April 16, 2018, Mangrove Partners, as the investment manager of
each of Mangrove Master Fund, Mangrove Fund, Mangrove Fund Cayman and Mangrove Fund Cayman Drawdown, may be deemed to beneficially
own the 5,969,584 Shares directly owned by Mangrove Master Fund.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
Mangrove Partners has not entered into any transactions in the Shares during the past sixty (60)
days.
|
|
(a)
|
As of the close of business on April 16, 2018, Mangrove Capital,
as the general partner of each of Mangrove Fund and
Mangrove Fund Cayman Drawdown
, may be
deemed to beneficially own the 5,969,584 Shares directly owned by Mangrove Master Fund.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
Mangrove Capital has not entered into any transactions in the Shares during the past sixty (60)
days.
|
|
(a)
|
As of the close of business on April 16, 2018, Mr. August did not directly own any Shares. As a
director of each of Mangrove Partners and Mangrove Capital, Mr. August may be deemed to beneficially own the 5,969,584 Shares directly
owned by Mangrove Master Fund.
|
Percentage: Approximately 5.1%
|
(b)
|
1. Sole power to vote or direct vote: 0
2. Shared power to vote or direct vote: 5,969,584
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 5,969,584
|
|
(c)
|
Mr. August has not entered into any transactions in the Shares during the past sixty (60) days.
|
As of the close of
business on April 16, 2018, the Reporting Persons collectively beneficially owned an aggregate of 5,969,584 Shares, constituting
approximately 5.1% of the Shares outstanding.
Each of the Reporting
Persons, as a member of a “group” with the other Reporting Persons for purposes of Rule 13d-5(b)(1) of the Securities
Exchange Act of 1934, as amended (the “Exchange Act”), may be deemed to beneficially own the securities of the Issuer
owned by the other Reporting Persons. The filing of this Schedule 13D shall not be deemed an admission that the Reporting Persons
are, for purposes of Section 13(d) of the Exchange Act, the beneficial owners of any securities of the Issuer he or it does not
directly own. Each of the Reporting Persons specifically disclaims beneficial ownership of the securities of the Issuer reported
herein that he or it does not directly own.
|
Item 6.
|
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
.
|
Item 6 is hereby amended
and restated to read as follows:
Since January 10,
2018, Mangrove Master Fund entered into a series of cash-settled total return swap agreements with Morgan Stanley Capital Services
LLC as the counterparty (the “Swaps”) that establish economic exposure to an aggregate of 8,424,080 notional Shares
(the “Subject Shares”), representing approximately 7.3% of the outstanding Shares. The Swaps provide Mangrove Master
Fund with economic exposure that is comparable to the economic exposure of ownership but do not provide it with the power to vote
or direct the voting of or to dispose or direct the disposition of the Subject Shares. The Reporting Persons hereby expressly disclaim
beneficial ownership of the Subject Shares.
On January 12, 2018,
the Reporting Persons entered into a Joint Filing Agreement pursuant to which the Reporting Persons agreed to the joint filing
on behalf of each of them of statements on Schedule 13D with respect to the securities of the Issuer to the extent required by
applicable law. The Joint Filing Agreement is attached as Exhibit 99.1 to Amendment No. 5 to the Schedule 13D and is incorporated
herein by reference.
SIGNATURES
After reasonable inquiry
and to the best of his knowledge and belief, each of the undersigned certifies that the information set forth in this statement
is true, complete and correct.
Dated: April 17, 2018
|
THE MANGROVE PARTNERS MASTER FUND, LTD.
|
|
|
|
By:
|
MANGROVE PARTNERS
|
|
|
as Investment Manager
|
|
|
|
|
By:
|
/s/ Nathaniel August
|
|
|
Name:
|
Nathaniel August
|
|
|
Title:
|
Director
|
|
THE MANGROVE PARTNERS FUND, L.P.
|
|
|
|
By:
|
MANGROVE CAPITAL
|
|
|
as General Partner
|
|
|
|
|
By:
|
/s/ Nathaniel August
|
|
|
Name:
|
Nathaniel August
|
|
|
Title:
|
Director
|
|
MANGROVE PARTNERS FUND (CAYMAN), LTD.
|
|
|
|
By:
|
MANGROVE PARTNERS
|
|
|
as Investment Manager
|
|
|
|
|
By:
|
/s/ Nathaniel August
|
|
|
Name:
|
Nathaniel August
|
|
|
Title:
|
Director
|
|
THE MANGROVE PARTNERS FUND (CAYMAN DRAWDOWN), L.P.
|
|
|
|
By:
|
MANGROVE PARTNERS
|
|
|
as Investment Manager
|
|
|
|
|
By:
|
/s/ Nathaniel August
|
|
|
Name:
|
Nathaniel August
|
|
|
Title:
|
Director
|
|
MANGROVE PARTNERS
|
|
|
|
By:
|
/s/ Nathaniel August
|
|
|
Name:
|
Nathaniel August
|
|
|
Title:
|
Director
|
|
MANGROVE CAPITAL
|
|
|
|
By:
|
/s/ Nathaniel August
|
|
|
Name:
|
Nathaniel August
|
|
|
Title:
|
Director
|
|
/s/ Nathaniel August
|
|
Nathaniel August
|
SCHEDULE B
Transactions in the Securities
of the Issuer During the Past Sixty (60) Days
Class of Security
|
Shares or Notional
Shares
of Common
Stock Purchased /
(Sold)
|
Price Per Share or
Notional
Share ($)
|
Date of Purchase /
(Sale)
|
THE MANGROVE PARTNERS MASTER FUND,
LTD.
Cash-Settled Total Return Swap
|
100,000
|
1.9080
|
02/13/18
|
Cash-Settled Total Return Swap
|
410
|
1.8600
|
02/14/18
|
Cash-Settled Total Return Swap
|
100,000
|
1.8587
|
02/15/18
|
Cash-Settled Total Return Swap
|
233,900
|
1.9024
|
02/16/18
|
Cash-Settled Total Return Swap
|
402,075
|
1.9599
|
02/20/18
|
Cash-Settled Total Return Swap
|
143,400
|
2.0100
|
02/22/18
|
Cash-Settled Total Return Swap
|
3,405
|
2.0100
|
02/23/18
|
Cash-Settled Total Return Swap
|
8,300
|
2.0100
|
02/26/18
|
Cash-Settled Total Return Swap
|
236,344
|
2.0100
|
02/27/18
|
Cash-Settled Total Return Swap
|
39,629
|
2.0600
|
03/07/18
|
Cash-Settled Total Return Swap
|
1,052,872
|
2.0850
|
03/08/18
|
Cash-Settled Total Return Swap
|
7,800
|
2.1600
|
04/04/18
|
Cash-Settled
Total Return Swap
1
|
5,500,000
|
2.2000
|
04/13/18
|
1
Represents
previously owned shares of Common Stock converted into Cash-Settled Total Return Swap.
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