SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE |
20TH FLOOR |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/16/2011
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3. Issuer Name and Ticker or Trading Symbol
YRC Worldwide Inc.
[ YRCW ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock, , par value $0.01 per share (the "Common Stock |
172,008,740 |
I |
See footnotes
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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 Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
10% Series A Convertible Notes (the "Series A Notes")
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07/22/2013 |
03/31/2015 |
Common Stock |
154,967,100 |
0.1134 |
I |
See footnotes
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10% Series B Convertible Notes (the "Series B Notes")
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09/16/2011 |
03/15/2015 |
Common Stock |
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0.0618 |
I |
See footnotes
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE |
20TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE |
20TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE |
20TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE, |
20TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE, |
20TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE |
20TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
640 FIFTH AVENUE |
20TH FLOOR |
(Street)
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Explanation of Responses: |
Remarks: |
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Owl Creek Asset Management, L.P. By: /s/ Owl Creek GP, L.L.C., its general partner By: /s/ Jeffrey A. Altman Name: Jeffrey A. Altman Title: Managing Member |
09/26/2011 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
Unassociated Document
Joint Filer Information
Name: Owl Creek I, L.P.
Address: 640 Fifth Avenue, 20th Floor, New York, N.Y. 10019
Designated Filer: Owl Creek Asset Management, L.P.
Issuer & Ticker Symbol: YRC Worldwide Inc. [YRCW]
Date of Event Requiring Statement: 9/16/2011
Signature:
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Owl Creek I, L.P.
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By: Owl Creek Advisors, LLC, its general partner
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By: /s/ Jeffrey A. Altman
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Name: Jeffrey A. Altman
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Title: Managing Member
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Name: Owl Creek II, L.P.
Address: 640 Fifth Avenue, 20th Floor, New York, N.Y. 10019
Designated Filer: Owl Creek Asset Management, L.P.
Issuer & Ticker Symbol: YRC Worldwide Inc. [YRCW]
Date of Event Requiring Statement: 9/16/2011
Signature:
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Owl Creek II, L.P.
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By: Owl Creek Advisors, LLC, its general partner
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By: /s/ Jeffrey A. Altman
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Name: Jeffrey A. Altman
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Title: Managing Member
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Name: Owl Creek Overseas Master Fund, Ltd.
Address: 640 Fifth Avenue, 20th Floor, New York, N.Y. 10019
Designated Filer: Owl Creek Asset Management, L.P.
Issuer & Ticker Symbol: YRC Worldwide Inc. [YRCW]
Date of Event Requiring Statement: 9/16/2011
Signature:
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Owl Creek Overseas Master Fund, Ltd.
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By: Owl Creek Asset Management, L.P., its investment manager
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By: Owl Creek GP, L.L.C., its general partner
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By: /s/ Jeffrey A. Altman
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Name: Jeffrey A. Altman
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Title: Managing Member
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Name: Owl Creek SRI Master Fund, Ltd.
Address: 640 Fifth Avenue, 20th Floor, New York, N.Y. 10019
Designated Filer: Owl Creek Asset Management, L.P.
Issuer & Ticker Symbol: YRC Worldwide Inc. [YRCW]
Date of Event Requiring Statement: 9/16/2011
Signature:
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Owl Creek SRI Master Fund, Ltd.
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By: Owl Creek Asset Management, L.P., its investment manager
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By: Owl Creek GP, L.L.C., its general partner
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By: /s/ Jeffrey A. Altman
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Name: Jeffrey A. Altman
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Title: Managing Member
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Name: Owl Creek Advisors, LLC
Address: 640 Fifth Avenue, 20th Floor, New York, N.Y. 10019
Designated Filer: Owl Creek Asset Management, L.P.
Issuer & Ticker Symbol: YRC Worldwide Inc. [YRCW]
Date of Event Requiring Statement: 9/16/2011
Signature:
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Owl Creek Advisors, LLC
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By: /s/ Jeffrey A. Altman
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Name: Jeffrey A. Altman
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Title: Managing Member
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Name: Jeffrey A. Altman
Address: c/o Owl Creek Asset Management, L.P., 640 Fifth Avenue, 20th Floor, New York, N.Y. 10019
Designated Filer: Owl Creek Asset Management, L.P.
Issuer & Ticker Symbol: YRC Worldwide Inc. [YRCW]
Date of Event Requiring Statement: 9/16/2011
Signature:
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Name: Jeffrey A. Altman
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