Statement of Changes in Beneficial Ownership (4)
September 14 2018 - 5:54PM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BlueMountain Capital Management, LLC
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2. Issuer Name
and
Ticker or Trading Symbol
SAExploration Holdings, Inc.
[
SAEX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Former 10% Owner
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(Last)
(First)
(Middle)
280 PARK AVENUE, 12TH FLOOR,
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/6/2018
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(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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Remarks:
Reporting Persons are no longer subject to Section 16 due to an increase by the Issuer of the issued and outstanding shares.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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BlueMountain Capital Management, LLC
280 PARK AVENUE, 12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BlueMountain GP Holdings, LLC
280 PARK AVENUE,
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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Blue Mountain CA Master Fund GP, Ltd.
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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Blue Mountain Credit Alternatives Master Fund L.P.
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BlueMountain Guadalupe Peak Fund L.P.
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BlueMountain Long/Short Credit GP, LLC
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BlueMountain Kicking Horse Fund GP, LLC
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BlueMountain Kicking Horse Fund L.P.
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BLUEMOUNTAIN SUMMIT OPPORTUNITIES GP II, LLC
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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BLUEMOUNTAIN SUMMIT TRADING L.P.
280 PARK AVENUE
12TH FLOOR
NEW YORK, NY 10017
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Former 10% Owner
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Signatures
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BlueMountain Capital Management, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer
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9/14/2018
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**
Signature of Reporting Person
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Date
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BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer
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9/14/2018
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**
Signature of Reporting Person
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Date
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Blue Mountain CA Master Fund GP, Ltd., By: /s/ Andrew Feldstein, Director
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9/14/2018
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**
Signature of Reporting Person
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Date
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Blue Mountain Credit Alternatives Master Fund L.P., By: BlueMountain CA Master Fund GP, Ltd., By: /s/ Andrew Feldstein, Director
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9/14/2018
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**
Signature of Reporting Person
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Date
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BlueMountain Long/Short Credit GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer
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9/14/2018
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Signature of Reporting Person
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Date
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BlueMountain Guadalupe Peak Fund L.P., By: BlueMountain Long/Short Credit GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer
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9/14/2018
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Signature of Reporting Person
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Date
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BlueMountain Kicking Horse Fund GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer
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9/14/2018
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Signature of Reporting Person
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Date
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BlueMountain Kicking Horse Fund L.P., By: BlueMountain Kicking Horse Fund GP, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric M. Albert, Chief Compliance Officer
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9/14/2018
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Signature of Reporting Person
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Date
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BlueMountain Summit Trading L.P., By: BlueMountain Summit Opportunities GP II, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric Albert, Chief Compliance Officer
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9/14/2018
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**
Signature of Reporting Person
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Date
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BlueMountain Summit Opportunities GP II, LLC, By: BlueMountain GP Holdings, LLC, By: /s/ Eric Albert, Chief Compliance Officer
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9/14/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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