Amended Statement of Beneficial Ownership (3/a)
21 Februar 2018 - 5:55PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Phoenix Investment Adviser LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/12/2018
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3. Issuer Name
and
Ticker or Trading Symbol
DITECH HOLDING Corp [DHCP]
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(Last)
(First)
(Middle)
420 LEXINGTON AVE, SUITE 2040
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
NEW YORK, NY 10170
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
2/14/2018
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, $0.01 Par Value per Share
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5689
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I
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JLP Partners Master Fund LP
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Common Stock, $0.01 Par Value per Share
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524721
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I
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JLP Credit Opportunity Master Fund Ltd
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Common Stock, $0.01 Par Value per Share
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111894
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I
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Mercer Investment Fund
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Common Stock, $0.01 Par Value per Share
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49616
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I
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JLP Credit Opportunity IDF Series Interests of the SALI Multi-Series Fund LP
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Series A Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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9692
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$20.63
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I
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JLP Partners Master Fund LP
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Series A Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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893971
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$20.63
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I
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JLP Credit Opportunity Master Fund Ltd
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Series A Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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190635
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$20.63
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I
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Mercer Investment Fund
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Series A Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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84531
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$20.63
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I
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JLP Credit Opportunity IDF Series Interests of the SALI Multi-Series Fund LP
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Series B Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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7690
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$28.25
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I
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JLP Partners Master Fund LP
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Series B Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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709347
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$28.25
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I
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JLP Credit Opportunity Master Fund Ltd
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Series B Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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151265
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$28.25
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I
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Mercer Investment Fund
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Series B Warrants
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2/12/2018
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2/9/2028
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Common Stock, $0.01 Par Value per Share
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67073
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$28.25
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I
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JLP Credit Opportunity IDF Series Interests of the SALI Multi-Series Fund LP
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Mandatorily Convertible Preferred
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2/9/2018
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2/9/2023
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Common Stock, $0.01 Par Value per Share
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356307
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(1)
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I
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JLP Credit Opportunity Master Fund Ltd
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Mandatorily Convertible Preferred
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2/9/2018
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2/9/2023
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Common Stock, $0.01 Par Value per Share
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100833
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(1)
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I
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Mercer Investment Fund
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Mandatorily Convertible Preferred
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2/9/2018
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2/9/2023
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Common Stock, $0.01 Par Value per Share
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48749
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(1)
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I
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JLP Credit Opportunity IDF Series Interests of the SALI Multi-Series Fund LP
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Explanation of Responses:
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(1)
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Convertible based upon a conversion multiple of 114.9750 as disclosed in Exhibit 3.1 to the Issuer's Form 8-K filed on February 13, 2018. The reporting person's original Form 3 used a conversion multiple of 144.9750 as disclosed in Exhibit 3.1 to the Issuer's Form 8-K filed on February 9, 2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Phoenix Investment Adviser LLC
420 LEXINGTON AVE
SUITE 2040
NEW YORK, NY 10170
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X
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Signatures
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/s/ Jeffrey Peskind, Managing Member
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2/21/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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