UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GT SOLAR HOLDINGS, LLC GFI ENERGY VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES, CA 90049 |
 |  X |  |  |
OCM/GFI POWER OPPORTUNITIES FUND II LP GFI ENERGY VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES, CA 90049 |
 |  X |  |  |
OCM/GFI POWER OPPORTUNITIES FUND II CAYMAN LP GFI ENERGY VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES, CA 90049 |
 |  X |  |  |
GFI POWER OPPORTUNITIES FUND II GP, LLC GFI ENERGY VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES, CA 90049 |
 |  X |  |  |
GFI POWER OPPORTUNITIES FUND II GP (CAYMAN) LTD. GFI ENERGY VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES, CA 90049 |
 |  X |  |  |
GFI Energy Ventures, LLC GFI ENERGY VENTURES LLC 11611 SAN VICENTE BOULEVARD, SUITE 710 LOS ANGELES, CA 90049 |
 |  X |  |  |
/s/ Peter P. Massumi By power of attorney | 07/24/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. GFI Energy Ventures LLC, or "GFI," 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, composed of two representatives of GFI (any of Messrs. Lawrence D. Gilson, Richard K. Landers, Ian A. Schapiro and Andrew G. Osler). |
(2) | GFI Power Opportunities Fund II, GP, LLC is the general partner of the Main Fund. GFI Power Opportunities Fund II GP (Cayman) Ltd. is the general partner of the Cayman Fund. GFI is the managing member of GFI Power Opportunities Fund II GP, LLC. By virtue of the ownership structure described above, each of the OCM/GFI Funds, GFI, GFI Power Opportunities Fund II, GP, LLC, GFI Power Opportunities Fund II GP (Cayman) Ltd., Lawrence D. Gilson, Richard K. Landers, Ian A. Schapiro and Andrew G. Osler (collectively, the "GFI Group") may be deemed to have beneficial ownership of the shares owned by GT Solar Holdings, LLC. The GFI Group expressly disclaims beneficial ownership of the shares held by GT Solar Holdings, LLC, except to the extent of their respective pecuniary interests therein. |
(3) | This amended Form 3 is being filed to correct the number of shares as reported in the reporting person's original Form 3. |