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Highbridge Capital Management LLC – ‘SC 13G/A’ on 2/13/20 re: Estre Ambiental, Inc.

On:  Thursday, 2/13/20, at 4:11pm ET   ·   Accession #:  902664-20-1044   ·   File #:  5-90227

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/13/20  Highbridge Capital Management LLC SC 13G/A               1:70K  Estre Ambiental, Inc.             Schulte Roth & Z… LLP/FA

Amendment to Statement of Acquisition of Beneficial Ownership by a Passive Investor   —   Sch. 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Estre Ambiental, Inc.                               HTML     38K 


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
                                              
 
SCHEDULE 13G/A
                                              
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 2)*
 

Estre Ambiental, Inc.

(Name of Issuer)
 

Ordinary Shares, par value $0.0001 per share

(Title of Class of Securities)
 

G3206V100

(CUSIP Number)
 

December 31, 2019

(Date of event which requires filing of this statement)
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed:
 
¨ Rule 13d-1(b)
x Rule 13d-1(c)
¨ Rule 13d-1(d)
 
(Page 1 of 8 Pages)

 

______________________________

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 C: 

 

CUSIP No. G3206V10013G/APage  C: 2 of 8 Pages

 

1

NAMES OF REPORTING PERSONS

Highbridge Capital Management, LLC

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

State of Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

3,625,000 Ordinary Shares issuable upon exercise of warrants

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

3,625,000 Ordinary Shares issuable upon exercise of warrants

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,625,000 Ordinary Shares issuable upon exercise of warrants

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

7.36%

12

TYPE OF REPORTING PERSON

IA, OO

         

 

 C: 

 

CUSIP No. G3206V10013G/APage 3 of 8 Pages

 

 

1

NAMES OF REPORTING PERSONS

Highbridge MSF International Ltd. (formerly known as 1992 MSF International Ltd.)

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Cayman Islands, British West Indies

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

3,625,000 Ordinary Shares issuable upon exercise of warrants

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

3,625,000 Ordinary Shares issuable upon exercise of warrants

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,625,000 Ordinary Shares issuable upon exercise of warrants

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

7.36%

12

TYPE OF REPORTING PERSON

OO

         
 C: 

 

CUSIP No. G3206V10013G/APage 4 of 8 Pages

 

Item 1(a). NAME OF ISSUER:
   
  The name of the issuer is Estre Ambiental, Inc. (the "Company").

 

Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
   
  The Company's principal executive offices are located at
4509, Avenida Brigadeiro Faria Lima, 8th Floor, Vila Olímpia, São Paulo 04538-133—SP Brazil.

 

Item 2(a). NAME OF PERSON FILING:
Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE,
Item 2(c). RESIDENCE:
  CITIZENSHIP:

 

  This statement is filed by:
   
  (i)

Highbridge Capital Management, LLC

277 Park Avenue, 23rd Floor

New York, New York 10172

Citizenship: State of Delaware

   
  (ii)

Highbridge MSF International Ltd. (formerly known as 1992 MSF International Ltd.)

c/o Highbridge Capital Management, LLC

277 Park Avenue, 23rd Floor

New York, New York 10172

Citizenship: Cayman Islands

   
  The foregoing persons are hereinafter sometimes collectively referred to as the "Reporting Persons."  

 

Item 2(d). TITLE OF CLASS OF SECURITIES:
   
  Ordinary Shares, par value $0.0001 per share (the "Ordinary Shares").

 

Item 2(e). CUSIP NUMBER:
   
  G3206V100

 

 C: 

 

CUSIP No. G3206V10013G/APage 5 of 8 Pages

 

 

Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:

 

  (a) ¨ Broker or dealer registered under Section 15 of the Act,
  (b) ¨ Bank as defined in Section 3(a)(6) of the Act,
  (c) ¨ Insurance Company as defined in Section 3(a)(19) of the Act,
  (d) ¨ Investment Company registered under Section 8 of the Investment Company Act of 1940,
  (e) ¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E),
  (f) ¨ Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F),
  (g) ¨ Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G),
  (h) ¨ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act,
  (i) ¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act,
  (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J),
  (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

 

  If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution:                                                                  

 

Item 4. OWNERSHIP.
   
  (a) Amount beneficially owned:
   
  As of December 31, 2019, (i) Highbridge MSF International Ltd. may be deemed to beneficially own 3,625,000 Ordinary Shares issuable upon exercise of warrants and (ii) Highbridge Capital Management, LLC, as the trading manager of 1992 MSF International Ltd., may be deemed to be the beneficial owner of the 3,625,000 Ordinary Shares issuable upon exercise of warrants held by Highbridge MSF International Ltd.

 

 C: 

 

CUSIP No. G3206V10013G/APage 6 of 8 Pages

 

 

  (b) Amount beneficially owned:
   
  The percentages used herein and in the rest of this Schedule 13G/A are calculated based upon 45,636,732 Ordinary Shares outstanding as of December 31, 2018, as reported in the Company's Amendment No. 1 to its Annual Report on Form 20-F/A for the fiscal year ended December 31, 2018 filed with the Securities and Exchange Commission on June 7, 2019, and assumes the exercise of the reported warrants.  Therefore, as of December 31, 2019, (i) Highbridge MSF International Ltd. may be deemed to beneficially own approximately 7.36% of the outstanding Ordinary Shares and (ii) Highbridge Capital Management, LLC may be deemed to beneficially own approximately 7.36% of the outstanding Ordinary Shares.
   
  The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of the Ordinary Shares issuable upon exercise of warrants held by Highbridge MSF International Ltd.

 

  (c) Number of shares as to which such person has:
     
    (i) Sole power to vote or to direct the vote
       
      0
       
    (ii) Shared power to vote or to direct the vote
       
      See Item 4(a)
       
    (iii) Sole power to dispose or to direct the disposition of
       
      0
       
    (iv) Shared power to dispose or to direct the disposition of
       
      See Item 4(a)

 

Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
   
  Not applicable.

 

Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
   
  Not applicable.
 C: 

 

CUSIP No. G3206V10013G/APage 7 of 8 Pages

 

 

Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
   
  Not applicable.

 

Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
   
  Not applicable.

 

Item 9. NOTICE OF DISSOLUTION OF GROUP.
   
  Not applicable.

 

Item 10. CERTIFICATION.
   
  Each Reporting Person hereby makes the following certification:
   
  By signing below the Reporting Person certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 C: 

 

CUSIP No. G3206V10013G/APage 8 of 8 Pages

SIGNATURES

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

DATED:  February 13, 2020
 
HIGHBRIDGE CAPITAL MANAGEMENT, LLC
     
     
By: /s/ John Oliva  
Name: John Oliva  
Title: Managing Director  
     
HIGHBRIDGE MSF INTERNATIONAL LTD.
     
     
By:

Highbridge Capital Management, LLC

its Trading Manager

     
     
By: /s/ John Oliva  
Name: John Oliva  
Title: Managing Director  

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G/A’ Filing    Date    Other Filings
Filed on:2/13/20SC 13G/A
12/31/19
6/7/1920-F/A
12/31/1813F-HR,  20-F,  20-F/A,  NT 20-F
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