Filing Details

Accession Number:
0001104659-10-049365
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-09-21 18:15:29
Reporting Period:
2010-09-21
Filing Date:
2010-09-21
Accepted Time:
2010-09-21 18:15:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1394954 Gt Solar International Inc. SOLR Semiconductors & Related Devices (3674) 030606749
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1402746 Oaktree Fund Gp I, L.p. C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1403382 Oaktree Holdings, Inc. C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1403525 Oaktree Capital Group Holdings Gp, Llc C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1403527 Oaktree Capital Group Holdings, L.p. C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1403528 Oaktree Capital Group, Llc C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1403530 Oaktree Capital I, L.p. C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1407178 Ocm Holdings I, Llc C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1407181 Oaktree Holdings, Llc C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
Yes No Yes No
1440020 Ocm Power Opportunities Fund Ii Gp, L.p. C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
No No Yes No
1440179 Ltd. (Cayman) Gp Ii Fund Opportunities Power Ocm C/O Oaktree Capital Management, L.p.
333 South Grand Avenue, 28Th Floor
Los Angeles CA 90071
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2010-09-21 650,000 $7.39 51,138,149 No 4 S Indirect By GT Solar Holdings, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By GT Solar Holdings, LLC
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock, $0.01 Par Value Restricted Stock Unit $0.00 10,772 10,772 Indirect
Common Stock, $0.01 Par Value Restricted Stock Unit $0.00 20,254 20,254 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
10,772 10,772 Indirect
20,254 20,254 Indirect
Footnotes
  1. On September 21, 2010, GT Solar Holdings, LLC sold an additional 650,000 shares in connection with the partial exercise of the underwriters' over-allotment option pursuant to the underwriting agreement for the offering of shares that closed on September 15, 2010.
  2. These shares are owned directly by GT Solar Holdings, LLC. OCM/GFI Power Opportunities Fund II, L.P., or the "Main Fund," and OCM/GFI Power Opportunities Fund II (Cayman), L.P. ("Cayman Fund" and together with the Main Fund, "OCM/GFI Funds") are together the managing member of GT Solar Holdings, LLC. Oaktree Capital Management, L.P. ("OCM") is one of the two investment managers of each of the OCM/GFI Funds. Voting and investment power with respect to securities owned by the OCM/GFI Funds is exercised by a four-person committee, including two representatives of OCM (any two of Messrs. Stephen A. Kaplan, Michael P. Harmon, Bruce A. Karsh and Howard S. Marks).
  3. Oaktree Holdings, Inc. is the general partner of OCM. Oaktree Capital Group, LLC is the sole shareholder of Oaktree Holdings, Inc. Oaktree Capital Group Holdings, L.P. controls Oaktree Capital Group, LLC. Oaktree Capital Group Holdings GP, LLC is the general partner of Oaktree Capital Group Holdings, L.P. Oaktree Capital Group Holdings GP, LLC is managed by Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer and Kevin L. Clayton.
  4. By virtue of the ownership structure described above, each of the OCM/GFI Funds, Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group, LLC, Oaktree Holdings, Inc., OCM, Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer, Kevin L. Clayton and Michael P. Harmon may be deemed to have beneficial ownership of the shares owned by GT Solar Holdings, LLC. Each of the foregoing persons expressly disclaims beneficial ownership of the shares held by GT Solar Holdings, LLC, except to the extent of their respective pecuniary interests therein.
  5. Represents 10,772 restricted stock units. Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of the restricted stock units is subject to the continued service of R. Chad Van Sweden as a director of GT Solar International, Inc. The restricted stock units vest on February 9, 2011. Shares of common stock will be delivered to the reporting person on vesting.
  6. These securities are directly owned by OCM. By virtue of the ownership structure described above, each of Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group, LLC, Oaktree Holdings, Inc., Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer, Kevin L. Clayton and Michael P. Harmon may be deemed to have beneficial ownership of the shares owned by OCM. Each of the foregoing persons expressly disclaims beneficial ownership of the shares held by OCM, except to the extent of their respective pecuniary interests therein.
  7. Represents 20,254 restricted stock units. Each restricted stock unit represents the right to receive one share of common stock upon vesting. Vesting of half of the restricted stock units is subject to the continued service of J. Bradford Forth as a director of GT Solar International, Inc., and vesting of the other half is subject to the continued service of R. Chad Van Sweden as a director of GT Solar International, Inc. The restricted stock units vest on the earlier of (i) the day preceding the next annual meeting of GT Solar International, Inc. and (ii) August 11, 2011. Shares of common stock will be delivered to OCM FIE, L.P. ("OCM FIE") on vesting.
  8. These securities are directly owned by OCM FIE. Oaktree Fund GP, LLC is the general partner of OCM FIE. Oaktree Fund GP I, L.P. is the managing member of Oaktree Fund GP, LLC. Oaktree Capital I, L.P. is the general partner of Oaktree Fund GP I, L.P. OCM Holdings I, LLC is the general partner of Oaktree Capital I, L.P. Oaktree Holdings, LLC is the managing member of OCM Holdings I, LLC. Oaktree Capital Group, LLC is the managing member of Oaktree Holdings, LLC. Oaktree Capital Group Holdings, L.P. controls Oaktree Capital Group, LLC. Oaktree Capital Group Holdings GP, LLC is the general partner of Oaktree Capital Group Holdings, L.P.
  9. By virtue of the ownership structure described above, each of Oaktree Capital Group Holdings GP, LLC, Oaktree Capital Group Holdings, L.P., Oaktree Capital Group, LLC, Oaktree Holdings, LLC, OCM Holdings I, LLC, Oaktree Capital I, L.P., Oaktree Fund GP I, L.P., Oaktree Fund GP, LLC, Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, Larry W. Keele, Stephen A. Kaplan, John B. Frank, David Kirchheimer and Kevin L. Clayton may be deemed to have beneficial ownership of the restricted stock units owned by OCM FIE. Each of the foregoing persons expressly disclaims beneficial ownership of the restricted stock units held by OCM FIE, except to the extent of their respective pecuniary interests therein.