STREAM GLOBAL SERVICES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows, 61 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-17: Reporting owner Nisswa Acquisition Master Fund Ltd.; Form 4; Security Warrants; Transaction Holding.
- 2009-11-04: Reporting owner ARES PARTNERS MANAGEMENT CO LLC | Ares Corporate Opportunities Fund II, L.P. | ACOF Management II, L.P. | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P.; Form 4; Security Warrants (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2009-10-01: Reporting owner ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC; Form 4; Security Warrants (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2009-05-15: Reporting owner MILLENNIUM MANAGEMENT LLC | ENGLANDER ISRAEL A | INTEGRATED CORE STRATEGIES (US) LLC; Form 4; Security Warrant; Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-17 holding as of filing | Nisswa Acquisition Master Fund Ltd. Other (no longer 10% owner) | 4 | Warrants Derivative · Direct | Holding | 1,651,900 owned after | $6.00 exercise price | 2009-12-17 | |
| 2009-11-04 | ARES PARTNERS MANAGEMENT CO LLC | Ares Corporate Opportunities Fund II, L.P. | ACOF Management II, L.P. | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −425,000 0 owned after | $0.15 | 2009-11-05 | |
| 2009-10-01 | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,500,000 0 owned after | $6.00 exercise price | 2009-10-02 | |
| 2009-05-15 | MILLENNIUM MANAGEMENT LLC | ENGLANDER ISRAEL A | INTEGRATED CORE STRATEGIES (US) LLC Other (May be deemed a group member.) | Other | 10% Owner | 4 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,500,000 922,692 owned after | $0.20 | 2009-05-19 | |
| 2009-05-12 holding as of filing | BROOKSIDE CAPITAL MANAGEMENT LLC | FERRANTE DOMENIC J | Brookside Capital Trading Fund, L.P. | Brookside Capital Investors II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See Footnote | Holding | $6.00 exercise price | 2009-05-12 | ||
| 2009-04-20 | ENGLANDER ISRAEL A | INTEGRATED CORE STRATEGIES (US) LLC | MILLENNIUM MANAGEMENT LLC Other | 10% Owner | Other (May be deemed a group member.) | 4 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −66,800 5,422,692 owned after | $0.18 | 2009-04-22 | |
| 2009-03-11 holding as of filing | ENGLANDER ISRAEL A | MILLENCO LLC | INTEGRATED CORE STRATEGIES (US) LLC | MILLENNIUM MANAGEMENT LLC Other | Other (May be deemed a group member.) | 10% Owner | Other (May be deemed a group member.) | 4 | Warrant Derivative · Direct | Holding | 5,489,492 owned after | $6.00 exercise price | 2009-03-11 | |
| 2009-02-26 | MILLENNIUM MANAGEMENT LLC | INTEGRATED CORE STRATEGIES (US) LLC | ENGLANDER ISRAEL A | MILLENCO LLC Other (May be deemed a group member.) | 10% Owner | Other | Other (May be deemed a group member.) | 4 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −20,900 5,489,492 owned after | $0.19 | 2009-03-02 | |
| 2009-02-24 | Third Point Offshore Master Fund, L.P. | Third Point Advisors II L.L.C. 10% Owner | 10% Owner | 4 | Warrants to purchase Common Stock, par value $0.001/share Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −28,000 1,900,300 owned after | $0.17 | 2009-10-08 | |
| 2009-02-24 | INTEGRATED CORE STRATEGIES (US) LLC | ENGLANDER ISRAEL A | MILLENCO LLC | MILLENNIUM MANAGEMENT LLC 10% Owner | Other | Other (May be deemed a group member.) | Other (May be deemed a group member.) | 4 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −73,400 5,510,392 owned after | $0.19 | 2009-02-25 | |
| 2009-02-23 | INTEGRATED CORE STRATEGIES (US) LLC | ENGLANDER ISRAEL A | MILLENCO LLC | MILLENNIUM MANAGEMENT LLC 10% Owner | Other | Other (May be deemed a group member.) | Other (May be deemed a group member.) | 4 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −51,600 5,583,792 owned after | $0.19 | 2009-02-25 | |
| 2009-01-09 holding as of filing | Third Point Advisors II L.L.C. | Third Point Offshore Master Fund, L.P. 10% Owner | 10% Owner | 3 | Warrants to purchase Common Stock Derivative · Direct | Holding | $6.00 exercise price | 2009-01-09 | ||
| 2009-01-01 | Third Point Offshore Fund, Ltd. 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,928,300 0 owned after | $6.00 exercise price | 2009-01-09 | |
| 2008-12-17 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200,000 329,116 owned after | $0.30 | 2008-12-18 | |
| 2008-12-17 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +884 330,000 owned after | $0.38 | 2008-12-18 | |
| 2008-12-17 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −200,000 329,116 owned after | $0.30 | 2008-12-17 | |
| 2008-12-17 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −884 330,000 owned after | $0.38 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $0.27 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 9,000 owned after | $0.27 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 59,000 owned after | $0.27 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,850 99,850 owned after | $0.27 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +21,000 120,850 owned after | $0.30 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +400 121,250 owned after | $0.28 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +7,500 128,750 owned after | $0.29 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4/A | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +366 129,116 owned after | $0.29 | 2008-12-18 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $0.27 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 9,000 owned after | $0.27 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 59,000 owned after | $0.27 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,850 99,850 owned after | $0.27 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +21,000 120,850 owned after | $0.30 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +400 121,250 owned after | $0.28 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +7,500 128,750 owned after | $0.29 | 2008-12-17 | |
| 2008-12-16 | FARRELL STEPHEN C Officer (Executive Vice President & CFO) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +366 129,116 owned after | $0.29 | 2008-12-17 | |
| 2008-12-12 | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC | ACOF Management II, L.P. | ARES PARTNERS MANAGEMENT CO LLC | Ares Corporate Opportunities Fund II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +425,000 7,925,000 owned after | $0.15 | 2008-12-15 | |
| 2008-10-31 | MILLENCO LLC | INTEGRATED CORE STRATEGIES (US) LLC | MILLENNIUM MANAGEMENT LLC | ENGLANDER ISRAEL A Other (May be deemed a group member.) | 10% Owner | Other (May be deemed a group member.) | Other | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −5,635,392 0 owned after | $6.00 exercise price | 2009-02-17 | |
| 2008-10-31 | MILLENCO LLC | INTEGRATED CORE STRATEGIES (US) LLC | MILLENNIUM MANAGEMENT LLC | ENGLANDER ISRAEL A Other (May be deemed a group member.) | 10% Owner | Other (May be deemed a group member.) | Other | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +5,635,392 5,635,392 owned after | $6.00 exercise price | 2009-02-17 | |
| 2008-10-30 holding as of filing | Third Point Offshore Fund, Ltd. 10% Owner | 3 | WARRANTS TO PURCHASE COMMON STOCK Derivative · Direct | Holding | $6.00 exercise price | 2008-10-30 | ||
| 2008-10-29 holding as of filing | ENGLANDER ISRAEL A | MILLENCO, L.L.C. | MILLENNIUM MANAGEMENT, L.L.C. Other | 10% Owner | Other (May be deemed a group member.) | 3 | Warrant Derivative · Direct | Holding | $6.00 exercise price | 2008-10-29 | ||
| 2008-10-27 holding as of filing | P SCHOENFELD ASSET MANAGEMENT LLC/NY 10% Owner | 3/A | "Warrants to purchase Common Stock (the ""Warrants"")" Derivative · Indirect · See FN | Holding | $6.00 exercise price | 2008-10-27 | ||
| 2008-10-27 holding as of filing | P SCHOENFELD ASSET MANAGEMENT LLC/NY 10% Owner | 4 | "Warrants to purchase Common Stock (the ""Warrants"")" Derivative · Indirect · See Footnotes | Holding | 1,163,100 owned after | $6.00 exercise price | 2008-10-27 | |
| 2008-10-23 holding as of filing | P SCHOENFELD ASSET MANAGEMENT LLC/NY 10% Owner | 3 | "Warrants to purchase Common Stock (the ""Warrants"")" Derivative · Indirect · See FN | Holding | $6.00 exercise price | 2008-10-23 | ||
| 2008-09-18 holding as of filing | Nisswa Acquisition Master Fund Ltd. 10% Owner | 3 | Warrants Derivative · Direct | Holding | $6.00 exercise price | 2008-09-18 | ||
| 2008-08-27 holding as of filing | Scheer Adam L | Klein Mark D | Aldebaran Investments, LLC | Radov Jeffrey | Peck Bradford 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | warrants Derivative · Indirect · See Footnotes | Holding | $6.00 exercise price | 2008-08-27 | ||
| 2008-08-18 holding as of filing | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | ARES MANAGEMENT LLC | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2008-08-18 | ||
| 2008-08-07 | CONWAY G DREW Director | 4 | Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −500,000 0 owned after | $6.00 exercise price | 2008-08-08 | |
| 2008-08-07 | O'Leary Kevin T Director | 4 | Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −500,000 0 owned after | $6.00 exercise price | 2008-08-08 | |
| 2008-08-07 | Murray R Scott Director, Officer (Chairman, President, and CEO) | 4 | Warrants (right to buy) Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −3,325,000 0 owned after | $6.00 exercise price | 2008-08-08 | |
| 2008-08-07 | Moore Stephen D Director | 4 | Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −350,000 0 owned after | $6.00 exercise price | 2008-08-08 | |
| 2008-08-07 | Joubert Paul G. Director | 4 | Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −500,000 0 owned after | $6.00 exercise price | 2008-08-08 | |
| 2008-08-07 | Flaherty Sheila Marie Officer (Chf Leg. & Adm. Off. Corp.Sec.) | 4 | Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −500,000 0 owned after | $6.00 exercise price | 2008-08-08 | |
| 2008-07-02 holding as of filing | Joubert Paul G. Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2008-07-02 | ||
| 2008-03-14 | Murray R Scott Director, Officer (Chairman, President, CEO, CFO) | 4 | Warrants (right to buy) Derivative · Indirect · See Explanatory note | P Open market or private purchase of non-derivative or derivative security | +300,000 3,325,000 owned after | $6.00 exercise price | 2008-03-17 | |
| 2008-03-14 | KANE CHARLES Officer (Former E.V.P., CFO, CAO, Treas) | 4 | Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −300,000 200,000 owned after | $6.00 exercise price | 2008-03-17 | |
| 2007-10-17 holding as of filing | Flaherty Sheila Marie Officer (Exec. V.P., General Counsel) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | Howe M. Benjamin Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | CONWAY G DREW Director | 3 | Warrants (Right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | KANE CHARLES Officer (Exec. V.P., CFO, CAO&Treas) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | O'Leary Kevin T Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | Moore Stephen D Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | Murray R Scott Director, Officer (Chairman, President and CEO) | 3 | Warrants (right to buy) Derivative · Indirect · See Explanatory Note | Holding | $6.00 exercise price | 2007-10-17 | ||
| 2007-10-17 holding as of filing | Linnell Lloyd R Officer (EVP &Chief Tech & Info Officer) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $6.00 exercise price | 2007-10-17 |