1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
|
|||
BROOKFIELD ASSET MANAGEMENT INC.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
ONTARIO
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
11,075,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
11,075,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
11,075,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
12.13%(1)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
CO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
PARTNERS LIMITED
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
ONTARIO
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
11,075,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
11,075,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
11,075,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
12.13%(2)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
CO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CANADA), L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
ONTARIO
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
11.45%(3)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
BROOKFIELD INFRASTRUCTURE FUND III GP LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
DELAWARE
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
11.45%(4)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
ORION US GP LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
DELAWARE
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
11.45%(5)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
ORION US HOLDINGS 1 L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
BK
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
DELAWARE
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
10,450,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
11.45%(6)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
BROOKFIELD ASSET MANAGEMENT PRIVATE INSTITUTIONAL CAPITAL ADVISER (CREDIT) LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
DELAWARE
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
625,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
625,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
625,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.68%(7)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
BROOKFIELD CREDIT OPPORTUNITIES FUND GP, LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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
|
|
|
||
DELAWARE
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
625,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
625,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
625,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.68%(8)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
|
||||
BROOKFIELD CREDIT OPPORTUNITIES MASTER FUND, L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
625,000
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
625,000
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
625,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.68%(9)
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
PN
|
|
|
|||
|
|
(i) | Orion US Holdings 1 L.P., a Delaware limited partnership (“Orion US LP”), with respect to the Class A Shares of the Issuer directly owned by it; |
(ii) | Orion US GP LLC, a Delaware limited liability company (“Orion US GP”), with respect to the Class A Shares of the Issuer owned by Orion US LP; |
(iii) | Brookfield Infrastructure Fund III GP LLC, a Delaware limited liability company (“BIF”), which serves as the indirect general partner of Orion US GP and Orion US LP; |
(iv) | Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P., a Manitoba limited partnership (“BAMPIC Canada”), which serves as the investment adviser to BIF; |
(v) | Brookfield Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership (“Brookfield Credit Opportunities LP”), with respect to the Class A Shares of the Issuer directly owned by it; |
(vi) | Brookfield Credit Opportunities Fund GP, LLC, a Delaware limited liability company (“Brookfield Credit Opportunities GP”), with respect to the Class A Shares of the Issuer owned by Brookfield Credit Opportunities LP; |
(vii) | Brookfield Asset Management Private Institutional Capital Adviser (Credit) LLC, a Delaware limited liability company (“BAMPIC Credit”), which serves as the investment adviser to Brookfield Credit Opportunities LP; |
(viii) | Brookfield Asset Management Inc. (“Brookfield”), a corporation formed under the laws of the Province of Ontario, Canada, which is the ultimate parent of BIF, BAMPIC Canada, Brookfield Credit Opportunities GP, and BAMPIC Credit and may be deemed to have voting and dispositive power over the Class A Shares held by the Reporting Persons; and |
(ix) | Partners Limited (“Partners”), a corporation formed under the laws of the Province of Ontario. Partners holds 85,120 Class B limited voting shares of Brookfield, representing 100% of such shares, and 549,957 Class A limited voting shares of Brookfield, representing approximately 0.1% of such shares. |
(a) | As of June 30, 2016, Orion US LP may be deemed the beneficial owner of 10,450,000 Class A Shares of the Issuer, constituting a percentage of approximately 11.45% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, Orion US GP may be deemed the beneficial owner of 10,450,000 Class A Shares of the Issuer, constituting a percentage of approximately 11.45% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, BIF may be deemed the beneficial owner of 10,450,000 Class A Shares of the Issuer, constituting a percentage of approximately 11.45% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, BAMPIC Canada may be deemed the beneficial owner of 10,450,000 Class A Shares of the Issuer, constituting a percentage of approximately 11.45% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, Brookfield Credit Opportunities LP may be deemed the beneficial owner of 625,000 Class A Shares of the Issuer, constituting a percentage of approximately 0.68% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, Brookfield Credit Opportunities GP may be deemed the beneficial owner of 625,000 Class A Shares of the Issuer, constituting a percentage of approximately 0.68% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, BAMPIC Credit may be deemed the beneficial owner of 625,000 Class A Shares of the Issuer, constituting a percentage of approximately 0.68% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, Brookfield may be deemed the beneficial owner of 11,075,000 Class A Shares of the Issuer, constituting a percentage of approximately 12.13% |
(b) | Sole voting power to vote or direct vote: 0 |
(a) | As of June 30, 2016, Partners may be deemed the beneficial owner of 11,075,000 Class A Shares of the Issuer, constituting a percentage of approximately 12.13% |
(b) | Sole voting power to vote or direct vote: 0 |
ORION US HOLDINGS 1 L.P. by its general
partner ORION US GP LLC
|
|||
|
By:
|
/s/ Fred Day | |
Name: Fred Day | |||
Title: Vice President | |||
ORION US GP LLC
|
|||
|
By:
|
/s/ Fred Day | |
Name: Fred Day | |||
Title: Vice President | |||
BROOKFIELD INFRASTRUCTURE FUND
III GP LLC
|
|||
|
By:
|
/s/ Fred Day | |
Name: Fred Day | |||
Title: Vice President | |||
BROOKFIELD ASSET MANAGEMENT
PRIVATE INSTITUTIONAL CAPITAL
ADVISER (CANADA), L.P.
|
|||
|
By:
|
/s/ James Rickert | |
Name: James Rickert | |||
Title: Vice President | |||
Brookfield Private Funds Holdings Inc., as
general partner
|
BROOKFIELD CREDIT OPPORTUNITIES
MASTER FUND, L.P. by its general partner,
BROOKFIELD CREDIT OPPORTUNITIES
FUND GP, LLC
|
|||
|
By:
|
/s/ Barry Blattman | |
Name: Barry Blattman | |||
Title: Chairman | |||
BROOKFIELD CREDIT OPPORTUNITIES
FUND GP, LLC
|
|||
|
By:
|
/s/ Barry Blattman | |
Name: Barry Blattman | |||
Title: Chairman | |||
BROOKFIELD ASSET MANAGEMENT
PRIVATE INSTITUTIONAL CAPITAL
ADVISER (CREDIT) LLC
|
|||
|
By:
|
/s/ Barry Blattman | |
Name: Barry Blattman | |||
Title: President and Treasurer | |||
BROOKFIELD ASSET MANAGEMENT,
INC.
|
|||
|
By:
|
/s/ A.J. Silber | |
Name: A.J. Silber | |||
Title: Vice-President, Legal Affairs | |||
PARTNERS LIMITED
|
|||
|
By:
|
/s/ Brian Lawson | |
Name: Brian Lawson | |||
Title: President | |||
Name and Position of
Officer or Director
|
Principal Business
Address
|
Principal Occupation or
Employment
|
Citizenship
|
Brett Fox, Manager and
Managing Partner
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Managing Partner of Brookfield
|
U.S.A.
|
Darren Soice, Manager
|
1200 Smith Street
Suite 1200 Houston, TX 77002 |
Senior Vice President of Brookfield
|
Canada
|
Ralph Klatzkin, Manager
and Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice President of Brookfield
|
U.S.A.
|
Fred Day, Manager and
Vice President
|
1200 Smith Street
Suite 1200 Houston, TX 77002 |
Vice President of Brookfield
|
U.S.A.
|
Mark Srulowitz, Managing Partner
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Managing Partner of Brookfield
|
U.S.A.
|
Hadley Peer-Marshall,
Senior Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Senior Vice President of Brookfield
|
U.S.A.
|
Julian Deschatelets,
Senior Vice President
|
181 Bay Street, Suite 300, Brookfield Place,
Toronto, Ontario M5J 2T3, Canada |
Senior Vice President of Brookfield
|
Canada
|
Andrea Rocheleau,
Senior Vice President
|
41 Victoria Street
Gatineau, Québec J8X 2A1, Canada |
Senior Vice President of Brookfield
|
Canada
|
Name and Position of
Officer or Director
|
Principal Business
Address
|
Principal Occupation or
Employment
|
Citizenship
|
Brett Fox, Manager and
Managing Partner
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Managing Partner of Brookfield
|
U.S.A.
|
Justin Beber, Manager and
Managing Partner
|
181 Bay Street, Suite 300, Brookfield Place,
Toronto, Ontario M5J 2T3, Canada |
Managing Partner of Brookfield
|
Canada
|
Mark Srulowitz, Manager
and Managing Partner
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Managing Partner of Brookfield
|
U.S.A.
|
Darren Soice, Manager and
Senior Vice President
|
1200 Smith Street
Suite 1200 Houston, TX 77002 |
Senior Vice President of Brookfield
|
Canada
|
Keiji Hattori, Associate
Vice President
|
NBF Hibiya Building 25F,
1-1-7 Uchisaiwaicho, Chiyoda-ku, Tokyo 100-0011 |
Senior Vice President of Brookfield
|
Japan
|
Ralph Klatzkin, Manager
and Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice President of Brookfield
|
U.S.A.
|
Fred Day, Manager and
Vice President
|
1200 Smith Street
Suite 1200 Houston, TX 77002 |
Vice President of Brookfield
|
U.S.A.
|
Name and Position of
Officer or Director
|
Principal Business
Address
|
Principal Occupation or
Employment
|
Citizenship
|
Barry Blattman, Chairman
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice Chairman and
Senior Managing Partner of
Brookfield
|
U.S.A.
|
Anthony Bavaro,
Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice President of Brookfield
|
U.S.A.
|
Andrew Schmidt,
Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice President of Brookfield
|
U.S.A.
|
Name and Position of
Officer or Director
|
Principal Business
Address
|
Principal Occupation or
Employment
|
Citizenship
|
Barry Blattman, Director,
President and Treasurer
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice Chairman and Senior
Managing Partner of Brookfield
|
U.S.A.
|
David Levenson, Director
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Managing Partner of Brookfield
|
Canada
|
Robert Paine, Director
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Portfolio Manager of Brookfield
|
U.S.A.
|
Ronald Fisher-Dayn,
Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice President of Brookfield
|
U.S.A.
|
Anthony Bavaro,
Vice President
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Vice President of Brookfield
|
U.S.A.
|
Mark Srulowitz, Secretary
|
Brookfield Place
250 Vesey Street, 15th Floor New York, NY 10281 |
Managing Partner of Brookfield
|
U.S.A.
|
Name and Position of
Officer or Director
|
Principal Business
Address
|
Principal Occupation or
Employment
|
Citizenship
|
M. Elyse Allan, Director
|
2300 Meadowvale Road,
Mississauga, Ontario,
L5N 5P9, Canada |
President and Chief
Executive Officer of
General Electric Canada
Company Inc.
|
Canada
|
Jeffrey M. Blidner,
Senior Managing Partner
|
181 Bay Street, Suite 300
Toronto, Ontario
M5J 2T3, Canada
|
Senior Managing Partner of Brookfield
|
Canada
|
Angela F. Braly, Director
|
832 Alverna Drive,
Indianapolis, Indiana
46260
|
President & Founder of
The Braly Group, LLC
|
U.S.A.
|
Jack L. Cockwell, Director
|
51 Yonge Street, Suite 400,
Toronto, Ontario
M5E 1J1, Canada
|
Corporate Director
|
Canada
|
Marcel R. Coutu, Director
|
335 8th Avenue SW,
Suite 1700
Calgary, Alberta T2P 1C9, Canada |
Former President and
Chief Executive Officer of
Canadian Oil Sands Limited
|
Canada
|
Maureen Kempston Darkes,
Director
|
21 Burkebrook Place,
Apt. 712
Toronto, Ontario M4G 0A2, Canada |
Corporate Director of
Brookfield and former
President, Latin America,
Africa and Middle East of
General Motors Corporation
|
Canada
|
J. Bruce Flatt, Director and
Senior Managing Partner
and Chief Executive Officer
|
181 Bay Street, Suite 300,
Toronto, Ontario
M5J 2T3, Canada
|
Senior Managing Partner
and Chief Executive Officer
of Brookfield
|
Canada
|
Robert J. Harding, Director
|
181 Bay Street, Suite 300,
Brookfield Place,
Toronto, Ontario M5J 2T3, Canada |
Past Chairman of Brookfield
|
Canada
|
David W. Kerr, Director
|
c/o 51 Yonge Street,
Suite 400,
Toronto, Ontario M5E 1J1, Canada
|
Chairman of Halmont
Properties Corp.
|
Canada
|
Brian W. Kingston,
Senior Managing Partner
|
181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada |
Senior Managing Partner of
Brookfield
|
Canada
|
Brian D. Lawson,
Senior Managing Partner and
Chief Financial Officer
|
181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada |
Senior Managing Partner
and Chief Financial Officer of
Brookfield
|
Canada
|
Philip B. Lind, Director
|
Rogers Communications Inc.,
333 Bloor Street East, 10th Floor,
Toronto, Ontario M4W 1G9, Canada
|
Co-Founder, Vice
Chairman and Director of
Rogers Communications
Inc.
|
Canada
|
Cyrus Madon,
Senior Managing Partner
|
181 Bay Street, Suite 300
Toronto, Ontario
M5J 2T3, Canada
|
Senior Managing Partner of
Brookfield
|
Canada
|
Frank J. McKenna, Director
|
TD Bank Group,
P.O. Box 1, TD Centre,
66 Wellington St. West, 4th Floor, TD Tower,
Toronto, Ontario M5K 1A2, Canada |
Chair of Brookfield and
Deputy Chair of TD Bank
Group
|
Canada
|
Youssef A. Nasr, Director
|
P.O. Box 16 5927,
Beirut, Lebanon
|
Corporate Director of Brookfield
and former Chairman and CEO of
HSBC Middle East Ltd. and
former President of HSBC Bank Brazil
|
Lebanon and U.S.A.
|
Lord Augustine Thomas O’Donnell,
Director
|
P.O. Box 1, TD Centre,
66 Wellington St. W.,
4th Floor, TD Tower
Toronto, Ontario M5K 1A2, Canada |
Chairman of Frontier Economics and Strategic Advisor of TD Bank Group
|
United Kingdom
|
Samuel J.B. Pollock,
Senior Managing Partner
|
181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada |
Senior Managing Partner of Brookfield
|
Canada
|
Ngee Huat Seek, Director
|
168 Robinson Road
#37 — 01 Capital Tower Singapore 068912 |
Former Chairman of the Latin American Business Group, Government of Singapore Investment Corporation
|
Singapore
|
Diana L. Taylor, Director
|
Solera Capital L.L.C
625 Madison Avenue, 3rd Floor New York, N.Y. 10022 |
Vice Chair of Solera Capital LLC
|
U.S.A
|
George S. Taylor, Director
|
R.R. #3, 4675 Line 3,
St. Marys, Ontario N4X 1C6, Canada |
Corporate Director of Brookfield
|
Canada
|
A.J. Silber, Vice-President,
Legal Affairs and Corporate Secretary
|
181 Bay Street, Suite 300
Toronto, Ontario M5J 2T3, Canada |
Vice-President, Legal Affairs
and Corporate Secretary of Brookfield
|
Canada
|
Name and Position of
Officer or Director
|
Principal Business
Address
|
Principal Occupation or
Employment
|
Citizenship
|
Jack L. Cockwell,
Director and Chairman
|
51 Yonge Street, Suite 400,
Toronto, Ontario
M5E 1J1, Canada |
Corporate Director
|
Canada
|
J. Bruce Flatt, Director
|
181 Bay Street, Brookfield Place,
Suite 300, Toronto, Ontario M5J 2T3, Canada |
Senior Managing Partner and
Chief Executive Officer of Brookfield
|
Canada
|
David W. Kerr, Director
|
51 Yonge Street, Suite 400,
Toronto, Ontario M5E 1J1, Canada
|
Chairman of Halmont Properties Corp.
|
Canada
|
Brian D. Lawson,
Director and President
|
Brookfield Asset Management, Inc.,
181 Bay Street,
Brookfield Place, Suite 300
Toronto, Ontario M5J 2T3, Canada |
Senior Managing Partner and Chief Financial Officer of Brookfield
|
Canada
|
George E. Myhal, Director
|
Partners Value Fund Inc.,
181 Bay Street, Brookfield Place, Suite 300,
Toronto, Ontario M5J 2T3, Canada |
President and CEO of Partners Value Fund Inc.
|
Canada
|
Timothy R. Price, Director
|
51 Yonge Street,
Suite 400 Toronto, Ontario M5E 1J1, Canada
|
Chairman, Brookfield Funds
|
Canada
|
Samuel J.B. Pollock, Director
|
Brookfield Asset Management, Inc.,
181 Bay Street, Brookfield Place, Suite 300 Toronto, Ontario M5J 2T3, Canada |
Senior Managing Partner of Brookfield
|
Canada
|
Tony E. Rubin, Treasurer
|
51 Yonge Street,
Suite 400 Toronto, Ontario M5E 1J1, Canada
|
Accountant
|
Canada
|
Lorretta Corso, Secretary
|
Brookfield Asset Management, Inc.,
181 Bay Street, Brookfield Place, Suite 300, Toronto, Ontario M5J 2T3, Canada |
Corporate Secretarial Administrator, Brookfield
|
Canada
|
Derek E. Gorgi, Assistant Secretary
|
Brookfield Asset Management, Inc.,
181 Bay Street, Brookfield Place, Suite 300, Toronto, Ontario M5J 2T3, Canada |
Senior Vice President of Brookfield
|
Canada
|
Party
|
Trade Date
|
Buy / Sell
|
Number of Shares
|
Trade Price
|
Orion US LP
|
May 5, 2016
|
Buy
|
100,000
|
$ 9.8304
|
Orion US LP
|
May 5, 2016
|
Buy
|
100,000
|
$ 9.8825
|
Orion US LP
|
May 6, 2016
|
Buy
|
50,000
|
$ 9.9873
|
Orion US LP
|
May 11, 2016
|
Buy
|
100,000
|
$ 9.2291
|
Orion US LP
|
May 12, 2016
|
Buy
|
50,000
|
$ 8.8328
|
Orion US LP
|
May 12, 2016
|
Buy
|
50,000
|
$ 8.6458
|
Orion US LP
|
May 13, 2016
|
Buy
|
50,000
|
$ 8.8148
|
Orion US LP
|
June 16, 2016
|
Buy
|
100,000
|
$ 7.3794
|
Orion US LP
|
June 20, 2016
|
Buy
|
50,000
|
$ 8.5550
|
Orion US LP
|
June 20, 2016
|
Buy
|
200,000
|
$ 8.6904
|
Orion US LP
|
June 20, 2016
|
Buy
|
200,000
|
$ 8.8214
|
Orion US LP
|
June 20, 2016
|
Buy
|
200,000
|
$ 8.8179
|
Orion US LP
|
June 20, 2016
|
Buy
|
200,000
|
$ 8.9702
|
Orion US LP
|
June 21, 2016
|
Buy
|
200,000
|
$ 8.7126
|
Orion US LP
|
June 21, 2016
|
Buy
|
200,000
|
$ 8.8992
|
Orion US LP
|
June 21, 2016
|
Buy
|
250,000
|
$ 8.8627
|
Orion US LP
|
June 21, 2016
|
Buy
|
200,000
|
$ 8.9304
|
Orion US LP
|
June 22, 2016
|
Buy
|
100,000
|
$ 8.9790
|
Orion US LP
|
June 22, 2016
|
Buy
|
100,000
|
$ 8.8608
|
Orion US LP
|
June 22, 2016
|
Buy
|
400,000
|
$ 8.7906
|
Orion US LP
|
June 23, 2016
|
Buy
|
100,000
|
$ 8.7144
|
Orion US LP
|
June 23, 2016
|
Buy
|
300,000
|
$ 8.9451
|
Orion US LP
|
June 23, 2016
|
Buy
|
239,484
|
$ 9.0959
|
Orion US LP
|
June 24, 2016
|
Buy
|
100,000
|
$ 8.8949
|
Orion US LP
|
June 24, 2016
|
Buy
|
200,000
|
$ 8.9062
|
Orion US LP
|
June 24, 2016
|
Buy
|
200,000
|
$ 8.8953
|
Orion US LP
|
June 24, 2016
|
Buy
|
500,000
|
$ 8.8891
|
Orion US LP
|
June 24, 2016
|
Buy
|
25,000
|
$ 8.9000
|
Orion US LP
|
June 24, 2016
|
Buy
|
300,000
|
$ 8.8198
|
Orion US LP
|
June 24, 2016
|
Buy
|
175,000
|
$ 8.6848
|
Orion US LP
|
June 27, 2016
|
Buy
|
172,519
|
$ 8.3287
|
Orion US LP | June 27, 2016 | Buy | 1,500,000 | $ 8.2235 |
Orion US LP
|
June 28, 2016 | Buy | 175,000 | $ 8.8126 |
Orion US LP | June 28, 2016 | Buy | 150,000 | $ 8.7818 |
Orion US LP
|
June 28, 2016 | Buy | 75,000 | $ 8.7533 |
Orion US LP | June 28, 2016 | Buy | 46,979 | $ 8.7657 |
Reporting Person Party
|
Number Underlying Class A Shares
|
Unit Cost (Weighted Average)
|
Expiration Date
|
Orion US LP
|
9,036,740
|
$ 10.19
|
4/17/2017
|
Orion US LP
|
2,366,340
|
$ 9.27
|
5/17/2017 – 5/22/2017
|
Brookfield Credit Opportunities LP
|
175,000
|
$ 9.10
|
5/17/2017 – 6/7/2017
|
Exhibit
Number
|
Description
|
|
99.1
|
Joint Filing Agreement
|
|