Filing Details

Accession Number:
0001104659-10-049367
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-09-21 18:15:58
Reporting Period:
2010-09-21
Filing Date:
2010-09-21
Accepted Time:
2010-09-21 18:15:58
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
1440204 Bradford J Forth C/O Oaktree Capital Management, L.p.
11611 San Vicente Boulevard, Suite 710
Los Angeles CA 90049
Yes 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. OCM/GFI Power Opportunities Fund II, L.P. ("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. GFI Power Opportunities Fund II GP (Cayman) Ltd. (the "Cayman Fund GP") is a general partner of the Cayman Fund. GFI Power Opportunities Fund II GP, LLC (the "Main Fund GP") is a general partner of the Main Fund and the sole shareholder of the Cayman Fund GP. By virtue of his interest in the Main Fund GP, Mr. Forth may be deemed to have indirect beneficial ownership of shares beneficially owned by the Main Fund GP. Mr. Forth expressly disclaims beneficial ownership of any shares held by the OCM/GFI Funds, the Cayman Fund GP, the Main Fund GP or GT Solar Holdings, LLC, except to the extent of his pecuniary interest therein.
  3. 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 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.
  4. These securities are directly owned by OCM. By virtue of being a managing director of OCM, Mr. Forth may be deemed to have or share beneficial ownership of shares beneficially owned by OCM or GT Solar Holdings, LLC. Mr. Forth expressly disclaims beneficial ownership of any shares held by the OCM/GFI Funds, OCM or GT Solar Holdings, LLC, except to the extent of his pecuniary interest therein.
  5. 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.
  6. These securities are directly owned by OCM FIE, L.P. ("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.
  7. Oaktree Capital Group Holdings GP, LLC is the general partner of Oaktree Capital Group Holdings, L.P. By virtue of his interest in Oaktree Capital Group Holdings GP, LLC, Mr. Forth may be deemed to have an indirect beneficial ownership of shares indirectly beneficially owned by OCM. Mr. Forth expressly disclaims beneficial ownership of any shares held by OCM FIE, Oaktree Fund GP, LLC, Oaktree Fund GP I, L.P., Oaktree Capital I, L.P., OCM Holdings I, LLC, Oaktree Holdings, LLC, Oaktree Capital Group, LLC, Oaktree Capital Group Holdings, L.P. and Oaktree Capital Group Holdings GP, LLC, except to the extent of his pecuniary interest therein.