13D Filing: Blue Mountain Capital and Saexploration Holdings Inc. (SAEX)

Page 2 of 17 – SEC Filing


CUSIP No. 78636X204

  1

NAMES OF
REPORTING PERSONS

BlueMountain Capital Management, LLC

  2

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (See instructions)

(a)  ☒        (b)  ☐

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See
instructions)

WC

  5

CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

  6

CITIZENSHIP OR PLACE OF
ORGANIZATION

Delaware, United States of America

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

2,409,106

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

2,409,106

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,409,106

12

CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES (see instructions)

13

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

25.6% (1)

14

TYPE OF REPORTING PERSON (See
instructions)

IA

(1) The percentage set forth in Row 13 of this Cover Page is based on the 9,424,534 shares of Common Stock (as defined in Item 1) outstanding as of November 1, 2017, as reported on Form
10-Q (as defined in Item 5).
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