000-27927
|
43-1857213
|
|
(Commission
File Number)
|
(I.R.S.
Employer Identification
Number)
|
o
|
Written
communications pursuant to Rule 425 under the Securities
Act (17 CFR
230.425)
|
o
|
Soliciting
material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR
240.14a-12)
|
o |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR
240.14d-2(b))
|
o
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR
240.13e-4(c))
|
Note
Series
|
Redemption
Dates
|
Percentage
of Principal
|
||||
11.125%
|
September
30, 2007 - January 14, 2008
|
103.708
|
%
|
|||
January
15, 2008 - January 14, 2009
|
101.854
|
%
|
||||
Thereafter
|
100.0
|
%
|
||||
9.92%
|
September
30, 2007 - Thereafter
|
100.0
|
%
|
|||
10.0%
|
September
30, 2007 - May 14, 2008
|
103.333
|
%
|
|||
May
15, 2008 - May 14, 2009
|
101.667
|
%
|
||||
Thereafter
|
100.0
|
%
|
||||
11.75%
|
September
30, 2007 - May 14, 2008
|
103.917
|
%
|
|||
May
15, 2008 - May 14, 2009
|
101.958
|
%
|
||||
Thereafter
|
100.0
|
%
|
||||
13.5%
|
September
30, 2007 - January 14, 2008
|
104.5
|
%
|
|||
January
15, 2008 - January 14, 2009
|
102.25
|
%
|
||||
Thereafter
|
100.0
|
%
|
||||
12.125%
|
September
30, 2007 - January 14, 2008
|
106.063
|
%
|
|||
January
15, 2008 - January 14, 2009
|
104.042
|
%
|
||||
January
15, 2009 - January 14, 2010
|
102.021
|
%
|
||||
Thereafter
|
100.0
|
%
|
•
|
The
debt incurrence covenant permits up to 9.75 billion (rather than
3.5
billion) of debt under credit facilities (less the amount of net
proceeds
of asset sales applied to repay such debt as required by the asset
sale
covenant).
|
||
•
|
CIH
and its restricted subsidiaries are generally permitted to pay
dividends
on equity interests, repurchase interests, or make other specified
restricted payments only if, after giving pro forma effect to the
transaction, the CIH Leverage Ratio would be below 8.75 to 1.0
and if no
default exists or would exist as a consequence of such incurrence.
If
those conditions are met, restricted payments in a total amount
of up to
the sum of (1) the greater of (a) $500 million or (b) 100% of CIH
consolidated EBITDA, as defined, minus 1.2 times its consolidated
interest
expense, plus (2) 100% of new cash and non-cash equity proceeds
received
by CIH and not allocated to the debt incurrence covenant or to
permitted
investments, all cumulatively from March 1999, the date of the
first
Charter Holdings indenture.
|
||
•
|
Instead
of the $150 million and $50 million permitted investment baskets,
there is
a $750 million permitted investment
basket.
|
Year
|
Percentage
|
|||
2010
|
105.5%
|
|||
2011
|
102.75%
|
|||
2012
|
101.375%
|
|||
2013
|
100.0%
|
|||
2014
|
100.0%
|
|||
2015
|
100.0%
|
•
|
up
to $9.75 billion of debt under credit facilities (less the amount
of net
proceeds of asset sales applied to repay such debt as required
by the
asset sale covenant);
|
||
•
|
up
to $75 million of debt incurred to finance the purchase or capital
lease
of new assets;
|
||
•
|
up
to $300 million of additional debt for any purpose; and
|
||
•
|
other
items of indebtedness for specific purposes such as intercompany
debt,
refinancing of existing debt, and interest rate swaps to provide
protection against fluctuation in interest
rates.
|
•
|
to
repurchase management equity interests in amounts not to exceed
$10
million per fiscal year;
|
||
•
|
to
pay, regardless of the existence of any default, pass-through tax
liabilities in respect of ownership of equity interests in CCH
I or its
restricted subsidiaries;
|
||
•
|
to
enable certain of its parents to pay interest on certain of their
indebtedness;
|
||
•
|
to
enable certain of its parents to purchase, redeem or refinance
certain
indebtedness, so long as CCH I could incur $1.00 of indebtedness
under the
7.5 to 1.0 leverage ratio test referred to above; or
|
||
•
|
to
make other specified restricted payments including merger fees
up to 1.25%
of the transaction value, repurchases using concurrent new issuances,
and
certain dividends on existing subsidiary preferred equity
interests.
|
•
|
investments
by CCH I and its restricted subsidiaries in CCH I and in other
restricted
subsidiaries;
|
•
|
or
entities that become restricted subsidiaries as a result of the
investment;
|
||
•
|
investments
aggregating up to 100% of new cash equity proceeds received by
CCH I since
September 28, 2005 to the extent the proceeds have not been allocated
to
the restricted payments covenant described above;
|
||
•
|
other
investments up to $750 million outstanding at any time;
and
|
||
•
|
certain
specified additional investments, such as investments in customers
and
suppliers in the ordinary course of business and investments received
in
connection with permitted asset
sales.
|
Exhibit
|
||
Number
|
Description
|
|
10.1
|
Indenture
dated as of September 28, 2005 among CCH I Holdings, LLC and CCH
I
Holdings Capital Corp., as Issuers and Charter Communications Holdings,
LLC, as Parent Guarantor, and The Bank of New York Trust Company,
NA, as
Trustee, governing: 11.125% Senior Accreting Notes due 2014, 9.920%
Senior
Accreting Notes due 2014, 10.000% Senior Accreting Notes due 2014,
11.75%
Senior Accreting Notes due 2014, 13.50% Senior Accreting Notes
due 2014,
12.125% Senior Accreting Notes due 2015 (Exhibit 10.1 not included
in this
Prospectus Supplement).
|
|
10.2
|
Indenture
dated as of September 28, 2005 among CCH I, LLC and CCH I Capital
Corp.,
as Issuers, Charter Communications Holdings, LLC, as Parent Guarantor,
and
The Bank of New York Trust Company, NA, as Trustee, governing 11.00%
Senior Secured Notes due 2015 (Exhibit 10.2 not included in this
Prospectus Supplement).
|
|
10.3
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
8.625%
Senior Notes due 2009 (Exhibit 10.3 not included in this Prospectus
Supplement).
|
|
10.4
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
9.92%
Senior Notes due 2011 (Exhibit 10.4 not included in this Prospectus
Supplement).
|
|
10.5
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
10.00%
Senior Notes due 2009 (Exhibit 10.5 not included in this Prospectus
Supplement).
|
|
10.6
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
10.25%
Senior Notes due 2010 (Exhibit 10.6 not included in this Prospectus
Supplement).
|
|
10.7
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
11.75%
Senior Notes due 2010 (Exhibit 10.7 not included in this Prospectus
Supplement).
|
|
10.8
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
10.75%
Senior Notes due 2009 (Exhibit 10.8 not included in this Prospectus
Supplement).
|
|
10.9
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
11.125%
Senior Notes due 2011 (Exhibit 10.9 not included in this Prospectus
Supplement).
|
|
10.10
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
13.50%
Senior Notes due 2011 (Exhibit 10.10 not included in this Prospectus
Supplement).
|
|
10.11
|
Third
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
9.625%
Senior Notes due 2009 (Exhibit 10.11 not included in this Prospectus
Supplement).
|
|
10.12
|
Third
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
10.000%
Senior Notes due 2011 (Exhibit 10.12 not included in this Prospectus
Supplement).
|
|
10.13
|
First
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding,
LLC, Charter Communications Holdings Capital Corporation and BNY
Midwest
Trust Company as Trustee governing 11.75% Senior Notes due 2011
(Exhibit
10.13 not included in this Prospectus
Supplement).
|
10.14
|
Second
Supplemental indenture dated as of September 28, 2005 among Charter
Communications Holding, LLC, Charter Communications Holdings Capital
Corporation and BNY Midwest Trust Company as Trustee governing
12.125%
Senior Notes due 2012 (Exhibit 10.14 not included in this Prospectus
Supplement).
|
|
10.15
|
Pledge
Agreement made by CCH I, LLC in favor of The Bank of New York Trust
Company, NA, as Collateral Agent dated as of September 28, 2005
(Exhibit
10.15 not included in this Prospectus Supplement).
|
|
99.1
|
Press
release dated September 27, 2005 announcing final results of private
debt
exchange offers (Exhibit 99.1 not included in this Prospectus
Supplement).
|
|
99.2
|
Press
release dated September 28, 2005 announcing closing of private
debt
exchange offers (Exhibit 99.2 not included in this Prospectus
Supplement).
|
Shares
of Class A
|
|
||||||||||||
|
|
|
Convertible
Senior
Notes
|
|
|
Common
Stock
|
|||||||
Shares
of
|
|
|
|
|
|||||||||
|
|
|
|
|
|
|
|
|
Class
A
|
||||
|
|
|
|
|
|
Principal
|
|
|
Common
|
|
|
|
|
|
|
|
Amount
of
|
|
|
Amount
of
|
|
|
Stock
|
|
|
|
|
|
|
|
Notes
Owned
|
|
|
Notes
That
|
|
|
Owned
|
|
|
Shares
That
|
|
Selling
Securityholder
|
|
|
Before
Offering
|
|
|
May
Be Sold
|
|
|
Before
Offering
|
|
|
May
Be Sold
|
|
ADAR
Investment Fund LTD
|
$
|
22,145,000
|
$
|
22,145,000
|
9,150,825
|
9,150,825
|
|||||||
AG
Offshore Convertibles, Ltd.
|
$
|
30,500,000
|
$
|
30,500,000
|
12,603,304
|
12,603,304
|
|||||||
AHFP
Context
|
$
|
300,000
|
$
|
300,000
|
123,966
|
123,966
|
|||||||
Akanthos
Arbitrage Master Fund, LP
|
$
|
16,000,000
|
$
|
16,000,000
|
6,611,569
|
6,611,569
|
|||||||
Argent
Classic Convertible Arbitrage Fund L.P.
|
$
|
2,590,000
|
$
|
2,590,000
|
1,070,247
|
1,070,247
|
|||||||
Argent
Classic Convertible Arbitrage Fund II, L.P.
|
$
|
350,000
|
$
|
350,000
|
144,625
|
144,628
|
|||||||
Argent
Classic Convertible Arbitrage Fund (Bermuda) Ltd.
|
$
|
7,670,000
|
$
|
7,670,000
|
3,169,421
|
3,169,421
|
|||||||
Argent
Opportunities Fund LLC
|
$
|
150,000
|
$
|
150,000
|
61,983
|
61,983
|
|||||||
Banc
of America Securities LLC (1)
|
$
|
350,000
|
$
|
350,000
|
144,628
|
144,628
|
|||||||
Basso
Fund Ltd.
|
$
|
2,392,000
|
$
|
2,392,000
|
988,429
|
988,429
|
|||||||
Basso
Holdings Ltd.
|
$
|
5,290,000
|
$
|
5,290,000
|
2,185,950
|
2,185,950
|
|||||||
Basso
Multi-Strategy Holding Fund Ltd.
|
$
|
11,290,000
|
$
|
11,290,000
|
4,665,288
|
4,665,288
|
|||||||
BBT
Fund, L.P.
|
$
|
3,000,000
|
$
|
3,000,000
|
1,239,669
|
1,239,669
|
|||||||
Bear,
Stearns & Co., Inc. (1)
|
$
|
1,000,000
|
$
|
1,000,000
|
413,223
|
413,223
|
|||||||
Canyon
Balanced Equity Master Fund, Ltd.
|
$
|
375,000
|
$
|
375,000
|
154,958
|
154,958
|
|||||||
Canyon
Value Realization Fund L.P.
|
$
|
760,000
|
$
|
760,000
|
314,049
|
314,049
|
|||||||
Canyon
Value Realization MAC 18, Ltd.
|
$
|
35,000
|
$
|
35,000
|
14,462
|
14,462
|
|||||||
CC
Convertible Arbitrage, Ltd.
|
$
|
4,950,000
|
$
|
4,950,000
|
2,045,454
|
2,045,454
|
|||||||
Citadel
Equity Fund Ltd.
|
$
|
10,000,000
|
$
|
10,000,000
|
4,132,231
|
4,132,231
|
|||||||
Citigroup
Global Markets, Inc.(1)
|
$
|
23,751,000
|
$
|
23,751,000
|
9,814,461
|
9,814,461
|
|||||||
Citigroup
Global Markets Ltd.(1)
|
$
|
141,387,000
|
$
|
141,387,000
|
58,424,374
|
58,424,374
|
|||||||
CNH
CA Master Account, L.P.
|
$
|
1,500,000
|
$
|
1,500,000
|
619,834
|
619,834
|
|||||||
Concentrated
Alpha Partners, L.P.
|
$
|
1,050,000
|
$
|
1,050,000
|
433,884
|
433,884
|
|||||||
Context
Convertible Arbitrage Fund, LP
|
$
|
1,725,000
|
$
|
1,725,000
|
712,809
|
712,809
|
|||||||
Context
Convertible Arbitrage Offshore, Ltd.
|
$
|
5,400,000
|
$
|
5,400,000
|
2,231,404
|
2,231,404
|
|||||||
Corporate
High Yield III, Inc.
|
$
|
945,000
|
$
|
945,000
|
390,495
|
390,495
|
|||||||
Corporate
High Yield V, Inc.
|
$
|
1,555,000
|
$
|
1,555,000
|
642,561
|
642,561
|
|||||||
Corporate
High Yield VI, Inc.
|
$
|
1,625,000
|
$
|
1,625,000
|
671,487
|
671,487
|
|||||||
Corporate
High Yield Fund, Inc.
|
$
|
875,000
|
$
|
875,000
|
361,570
|
361,570
|
|||||||
Credit
Suisse First Boston Europe LTD (1)
|
$
|
25,000,000
|
$
|
25,000,000
|
10,330,577
|
10,330,577
|
|||||||
Credit
Suisse First Boston LLC (1)
|
$
|
3,000,000
|
$
|
3,000,000
|
1,239,669
|
1,239,669
|
|||||||
CSS,
LLC
|
$
|
1,500,000
|
$
|
1,500,000
|
619,834
|
619,834
|
|||||||
DBAG
London
|
$
|
13,600,000
|
$
|
13,600,000
|
5,619,834
|
5,619,834
|
|||||||
Deephaven
Domestic Convertible Trading Ltd.
|
$
|
4,650,000
|
$
|
4,650,000
|
1,921,487
|
1,921,487
|
|||||||
Delaware
Delchester Fund
|
$
|
1,080,000
|
$
|
1,080,000
|
446,280
|
446,280
|
|||||||
Delaware
Diversified Income Fund
|
$
|
415,000
|
$
|
415,000
|
171,487
|
171,487
|
|||||||
Delaware
Dividend Income Fund
|
$
|
500,000
|
$
|
500,000
|
206,611
|
206,611
|
|||||||
Delaware
Group Equity Funds I-Delaware Balanced Fund Series
|
$
|
10,000
|
$
|
10,000
|
4,132
|
4,132
|
|||||||
Delaware
High-Yield Opportunities Fund
|
$
|
290,000
|
$
|
290,000
|
119,834
|
119,834
|
|||||||
Delaware
VIP Diversified Income Series
|
$
|
45,000
|
$
|
45,000
|
18,595
|
18,595
|
|||||||
Delaware
VIP High Yield Series
|
$
|
655,000
|
$
|
655,000
|
270,661
|
270,661
|
|||||||
Deutsche
Bank Securities Inc. (1)
|
$
|
4,584,000
|
$
|
4,584,000
|
1,894,214
|
1,894,214
|
|||||||
Dividend
& Income Fund
|
$
|
165,000
|
$
|
165,000
|
68,181
|
68,181
|
|||||||
DKR
Saturn Multi-Strategy Holding Fund Ltd.
|
$
|
2,000,000
|
$
|
2,000,000
|
826,446
|
826,446
|
|||||||
Duma
Master Fund, L.P.
|
$
|
1,000,000
|
$
|
1,000,000
|
413,223
|
413,223
|
|||||||
Edge
Investment Master Fund, LTD
|
$
|
3,500
|
$
|
3,500
|
1,446
|
1,446
|
|||||||
Eton
Park Fund, L.P.
|
$
|
1,872,000
|
$
|
1,872,000
|
773,553
|
773,553
|
|||||||
Eton
Park Master Fund, Ltd.
|
$
|
2,928,000
|
$
|
2,928,000
|
1,209,917
|
1,209,917
|
|||||||
Fidelity
Advisor Series II: Fidelity Advisor High Income Advantage Fund
(2)
|
$
|
22,580,000
|
$
|
22,580,000
|
9,330,578
|
9,330,578
|
|||||||
Fidelity
Financial Trust: Fidelity Convertible Securities Fund (2)
|
$
|
11,300,000
|
$
|
11,300,000
|
4,669,421
|
4,669,421
|
|||||||
Fidelity
Financial Trust: Fidelity Strategic Dividend & Income Fund
(2)
|
$
|
700,000
|
$
|
700,000
|
289,256
|
289,256
|
|||||||
Fidelity
Management Trust Company on behalf of funds and accounts managed
by it
(3)
|
$
|
7,420,000
|
$
|
7,420,000
|
3,066,115
|
3,066,115
|
|||||||
Finch
Tactical Plus Class B
|
$
|
200,000
|
$
|
200,000
|
82,644
|
82,644
|
|||||||
Fore
Convertible Master Fund, Ltd.
|
$
|
1,500,000
|
$
|
1,500,000
|
619,834
|
619,834
|
|||||||
Fore
ERISA Fund, Ltd.
|
$
|
179,000
|
$
|
179,000
|
73,966
|
73,966
|
|||||||
Fore
Multi Strategy Master Fund, Ltd.
|
$
|
350,000
|
$
|
350,000
|
144,628
|
144,628
|
|||||||
Fore
Opportunity Fund, LP
|
$
|
69,000
|
$
|
69,000
|
28,512
|
28,512
|
|||||||
Fore
Opportunity Offshore Fund, Ltd
|
$
|
231,000
|
$
|
231,000
|
95,454
|
95,454
|
|||||||
Geode
U.S. Convertible Arbitrage Fund, aggregated account of Geode Capital
Master Fund Ltd.
|
$
|
3,000,000
|
$
|
3,000,000
|
1,239,669
|
1,239,669
|
|||||||
Global
Dividend & Income Fund
|
$
|
40,000
|
$
|
40,000
|
16,528
|
16,528
|
|||||||
Goldman
Sachs & Co. (1)
|
$
|
47,313,000
|
$
|
47,313,000
|
19,550,824
|
19,550,824
|
|||||||
Grace
Brothers, Ltd.
|
$
|
1,500,000
|
$
|
1,500,000
|
619,834
|
619,834
|
|||||||
Greywolf
Capital Overseas Fund
|
$
|
6,475,000
|
$
|
6,475,000
|
2,675,619
|
2,675,619
|
|||||||
Greywolf
Capital Partners II LP
|
$
|
1,525,000
|
$
|
1,525,000
|
630,165
|
630,165
|
|||||||
Greywolf
High Yield Master Fund
|
$
|
2,000,000
|
$
|
2,000,000
|
826,446
|
826,446
|
|||||||
Guggenheim
Portfolio Company VIII (Cayman), Ltd.
|
$
|
1,138,000
|
$
|
1,138,000
|
470,247
|
470,247
|
|||||||
HFR
RVA Combined Master Trust
|
$
|
125,000
|
$
|
125,000
|
51,652
|
51,652
|
|||||||
Highbridge
International LLC
|
$
|
36,520,000
|
$
|
36,520,000
|
15,090,907
|
15,090,907
|
|||||||
Institutional
Benchmarks Master Fund, Ltd.
|
$
|
35,000
|
$
|
35,000
|
14,462
|
14,462
|
|||||||
Kamunting
Street Master Fund, LTD
|
$
|
22,500,000
|
$
|
22,500,000
|
9,297,519
|
9,297,519
|
|||||||
KBC
Financial Products USA Inc.
|
$
|
4,885,000
|
$
|
4,885,000
|
2,018,594
|
2,018,594
|
|||||||
KDC
Convertible Arbfund L.P.
|
$
|
2,000,000
|
$
|
2,000,000
|
826,446
|
826,446
|
|||||||
Laurel
Ridge Capital, LP
|
$
|
5,000,000
|
$
|
5,000,000
|
2,066,115
|
2,066,115
|
|||||||
LDG
Limited
|
$
|
322,000
|
$
|
322,000
|
133,057
|
133,057
|
|||||||
Lincoln
National Life Insurance Company Separate Account 20
|
$
|
590,000
|
$
|
590,000
|
243,801
|
243,801
|
|||||||
Lyxor/
Context Fund Ltd.
|
$
|
1,075,000
|
$
|
1,075,000
|
444,214
|
444,214
|
|||||||
Man
Mac I, Limited
|
$
|
3,391,000
|
$
|
3,391,000
|
1,401,239
|
1,401,239
|
|||||||
Marathon
Global Convertible Master Fund Ltd.
|
$
|
1,500,000
|
$
|
1,500,000
|
619,834
|
619,834
|
|||||||
Merced
Partners Limited Partnership
|
$
|
2,500,000
|
$
|
2,500,000
|
1,033,057
|
1,033,057
|
|||||||
Merrill
Lynch Bond High Income Fund (1)
|
$
|
9,000,000
|
$
|
9,000,000
|
3,719,007
|
3,719,007
|
|||||||
Merrill
Lynch Global Investment Series: Income Strategies Fund (1)
|
$
|
5,000,000
|
$
|
5,000,000
|
2,066,115
|
2,066,115
|
|||||||
MLIF
US High Yield Fund, Inc. (1)
|
$
|
500,000
|
$
|
500,000
|
206,611
|
206,611
|
|||||||
ML
Master US High Yield Fund, Inc. (1)
|
$
|
2,200,000
|
$
|
2,200,000
|
909,090
|
909,090
|
|||||||
Mohican
VCA Master Fund, Ltd.
|
$
|
500,000
|
$
|
500,000
|
206,611
|
206,611
|
|||||||
Morgan
Stanley Convertible Securities Trust
|
$
|
800,000
|
$
|
800,000
|
330,578
|
330,578
|
|||||||
MSS
Convertible Arbitrage 1 c/o TQA Investors, LLC
|
$
|
31,000
|
$
|
31,000
|
12,809
|
12,809
|
|||||||
National
Bank of Canada
|
$
|
700,000
|
$
|
700,000
|
289,256
|
289,256
|
|||||||
Oppenheimer
Convertible Securities Fund
|
$
|
1,000,000
|
$
|
1,000,000
|
413,223
|
413,223
|
|||||||
Optimum
Fixed Income Fund
|
$
|
65,000
|
$
|
65,000
|
26,859
|
26,859
|
|||||||
PIMCO
Convertible Fund
|
$
|
275,000
|
$
|
275,000
|
113,636
|
113,636
|
|||||||
President
and Fellows of Harvard College
|
$
|
350,000
|
$
|
350,000
|
144,628
|
144,628
|
|||||||
PSEG
Master Employee Benefit Plan Trust
|
$
|
200,000
|
$
|
200,000
|
82,644
|
82,644
|
|||||||
Putnam
Convertible Income-Growth Trust
|
$
|
8,425,000
|
$
|
8,425,000
|
3,481,404
|
3,481,404
|
|||||||
Putnam
High Income Bond Fund
|
$
|
2,075,000
|
$
|
2,075,000
|
857,437
|
857,437
|
|||||||
Quattro
Fund Ltd.
|
$
|
1,250,000
|
$
|
1,250,000
|
516,528
|
516,528
|
|||||||
Raytheon
Savings & Investment Plan Trust
|
$
|
150,000
|
$
|
150,000
|
61,983
|
61,983
|
|||||||
Regiment
Capital, Ltd.
|
$
|
650,000
|
$
|
650,000
|
268,595
|
268,595
|
|||||||
Ritchie
Capital Structure Arbitrage Trading, Ltd.
|
$
|
12,000,000
|
$
|
12,000,000
|
4,958,677
|
4,958,677
|
|||||||
Royal
Bank of Canada (Norshield) (1)
|
$
|
100,000
|
$
|
100,000
|
41,322
|
41,322
|
|||||||
Royal
Bank of Ontario
|
$
|
2,000,000
|
$
|
2,000,000
|
826,446
|
826,446
|
|||||||
Salomon
Brothers Asset Management, Inc. (1)
|
$
|
9,350,000
|
$
|
9,350,000
|
3,863,635
|
3,863,635
|
|||||||
Saranac
Capital Management L.P. on behalf of Citigroup Alternative Investments
Diversified Arbitrage Strategies Fund Ltd.
|
$
|
357,000
|
$
|
357,000
|
147,520
|
147,520
|
|||||||
Saranac
Capital Management L.P. on behalf of Citigroup Alternative Investments
Enhanced Arbitrage Strategies Fund
|
$
|
65,000
|
$
|
65,000
|
26,859
|
26,859
|
|||||||
Saranac
Capital Management L.P. on behalf of Citigroup Alternative Investments
QIP
Multi Strategy Arbitrage Portfolio
|
$
|
1,692,000
|
$
|
1,692,000
|
699,173
|
699,173
|
|||||||
Saranac
Capital Management L.P. on behalf of Saranac Erisa Arbitrage
LTD
|
$
|
698,000
|
$
|
698,000
|
288,429
|
288,429
|
|||||||
Saranac
Capital Management L.P. on behalf of Saranac Erisa Arbitrage
LP
|
$
|
48,000
|
$
|
48,000
|
19,834
|
19,834
|
|||||||
Saranac
Capital Management L.P. on behalf of Saranac Arbitrage LTD
|
$
|
40,000
|
$
|
40,000
|
16,528
|
16,528
|
|||||||
Satellite
Asset Management, L.P.
|
$
|
12,300,000
|
$
|
12,300,000
|
5,082,644
|
5,082,644
|
|||||||
Severn
River Master Fund, Ltd.
|
$
|
8,000,000
|
$
|
8,000,000
|
3,305,784
|
3,305,784
|
|||||||
Sphinx
Convertible Arbitrage Fund SPC
|
$
|
350,000
|
$
|
350,000
|
144,628
|
144,628
|
|||||||
Sphinx
Fund c/o TQA Investors, LLC
|
$
|
496,000
|
$
|
496,000
|
204,958
|
204,958
|
|||||||
Sphinx
Special Situations Fund SPC
|
$
|
35,000
|
$
|
35,000
|
14,462
|
14,462
|
|||||||
SRI
Fund, L.P.
|
$
|
180,000
|
$
|
180,000
|
74,380
|
74,380
|
|||||||
St.
Albans Partners Ltd.
|
$
|
1,000,000
|
$
|
1,000,000
|
413,223
|
413,223
|
|||||||
Sturgeon
Limited
|
$
|
71,000
|
$
|
71,000
|
29,338
|
29,338
|
|||||||
Susquehanna
Capital Group
|
$
|
6,980,000
|
$
|
6,980,000
|
2,884,297
|
2,884,297
|
|||||||
SuttonBrook
Capital Portfolio LP
|
$
|
12,500,000
|
$
|
12,500,000
|
5,165,288
|
5,165,288
|
|||||||
Tamarack
International, Ltd.
|
$
|
2,500,000
|
$
|
2,500,000
|
1,033,057
|
1,033,057
|
|||||||
Tempo
Master Fund, LP
|
$
|
2,000,000
|
$
|
2,000,000
|
826,446
|
826,446
|
|||||||
Tenor
Opportunity Master Fund Ltd.
|
$
|
4,200,000
|
$
|
4,200,000
|
1,735,537
|
1,735,537
|
|||||||
The
Canyon Value Realization Fund (Cayman) Ltd.
|
$
|
2,260,000
|
$
|
2,260,000
|
933,884
|
933,884
|
|||||||
The
High-Yield Bond Portfolio
|
$
|
15,000
|
$
|
15,000
|
6,198
|
6,198
|
|||||||
TQA
Master Fund, Ltd.
|
$
|
2,836,000
|
$
|
2,836,000
|
1,171,900
|
1,171,900
|
|||||||
TQA
Master Plus Fund, Ltd.
|
$
|
4,551,000
|
$
|
4,551,000
|
1,880,578
|
1,880,578
|
|||||||
Tribeca
Global Convertible Investments LTD
|
$
|
12,000,000
|
$
|
12,000,000
|
4,958,677
|
4,958,677
|
|||||||
UBS
AG London Branch
|
$
|
45,500,000
|
$
|
45,500,000
|
18,801,651
|
18,801,651
|
|||||||
UBS
AG London F/ B/ O HFS
|
$
|
5,000,000
|
$
|
5,000,000
|
2,066,115
|
2,066,115
|
|||||||
UBS
O’Connor LLC F/B/O O’Connor Global Convertible Arbitrage Master
Limited
|
$
|
6,000,000
|
$
|
6,000,000
|
2,479,338
|
2,479,338
|
|||||||
Univest
Convertible Arbitrage Fund II Ltd. (Norshield)
|
$
|
100,000
|
$
|
100,000
|
41,322
|
41,322
|
|||||||
Van
Kampen Harbor Fund
|
$
|
1,200,000
|
$
|
1,200,000
|
495,867
|
495,867
|
|||||||
Whitebox
Convertible Arbitrage Partners, L.P.
|
$
|
3,000,000
|
$
|
3,000,000
|
1,239,669
|
1,239,669
|
|||||||
Whitebox
Hedged High Yield Partners, L.P.
|
$
|
1,000,000
|
$
|
1,000,000
|
413,223
|
413,223
|
|||||||
White
River Securities LLC
|
$
|
1,000,000
|
$
|
1,000,000
|
413,223
|
413,223
|
|||||||
Wolverine
Convertible Arbitrage Fund Limited
|
$
|
250,000
|
$
|
250,000
|
103,305
|
103,305
|
|||||||
World
Income Fund, Inc.
|
$
|
800,000
|
$
|
800,000
|
330,578
|
330,578
|
|||||||
Yield
Strategies Fund I, L.P.
|
$
|
500,000
|
$
|
500,000
|
206,611
|
206,611
|
|||||||
Yield
Strategies Fund II, L.P.
|
$
|
500,000
|
$
|
500,000
|
206,611
|
206,611
|
|||||||
Zurich
Institutional Benchmarks Master Fund Ltd. c/o TQA Investors, LLC
|
$
|
696,000
|
$
|
696,000
|
287,603
|
287,603
|