Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
---------------------------
SCHEDULE 13D
(Amendment No. 11)
Under the Securities Exchange Act of 1934
HAWAIIAN HOLDINGS, INC.
(Name of Issuer)
Common Stock, par value $0.01 per share
(Title of Class of Securities)
419879-101
(CUSIP Number)
Thomas X. Fritsch, Esq.
885 Third Avenue
34th Floor
New York, New York 10022
Tel. No.: (212) 888-5500
COPY TO:
Daniel A. Etna, Esq.
Herrick, Feinstein LLP
2 Park Avenue
New York, New York 10016
Tel. No.: (212) 592-1557
(Name, Address and Telephone Number of Persons
Authorized to Receive Notices and Communications)
January 7, 2005
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box | |.
(Continued on following pages)
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SCHEDULE 13D
Cusip No. 419879-101
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION Nos. OF ABOVE PERSONS (ENTITIES ONLY)
AIP, LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) | |
(b) |X|
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3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | |
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 7 SOLE VOTING POWER
SHARES None
-------------------------------------------------------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
-------------------------------------------------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING None
-------------------------------------------------------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,159,403
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,159,403
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | |
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.99%
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14 TYPE OF REPORTING PERSON
CO (limited liability company)
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2
Cusip No. 419879-101
----------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION Nos. OF ABOVE PERSONS (ENTITIES ONLY)
Jeffrey A. Smith
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) | |
(b) |X|
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3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
N/A
----------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | |
----------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
----------------------------------------------------------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES None
-------------------------------------------------------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY None
-------------------------------------------------------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING None
-------------------------------------------------------------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 2,159,403
----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,159,403
----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | |
----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.99%
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14 TYPE OF REPORTING PERSON
IN
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AMENDMENT NO. 11 TO SCHEDULE 13D
Amendment No. 11 ("Amendment") to the Schedule 13D filed by, among others,
the reporting persons listed above with respect to the Common Stock, par value
$.01 per share (the "Common Stock"), of Hawaiian Holdings, Inc., a Delaware
corporation (the "Company"), dated as of January 18, 1996, as amended by
Amendment No. 1, dated as of January 31, 1996, as amended by Amendment No. 2,
dated as of December 19, 2001, as amended by Amendment No. 3, dated as of April
22, 2002, as amended by Amendment No. 4, dated as of May 7, 2002, as amended by
Amendment No. 5, dated as of May 31, 2002, as amended by Amendment No. 6, dated
as of July 11, 2002, as amended by Amendment No. 7, dated as of September 9,
2002, as amended by Amendment No. 8, dated as of March 5, 2004, as amended by
Amendment No. 9, dated as of April 2, 2004, and as amended by Amendment No. 10,
dated June 22, 2004 (as so amended, the "Schedule 13D"). Unless otherwise
indicated, capitalized terms contained herein shall have the meaning ascribed to
them in the Schedule 13D.
This Amendment should be read in conjunction with, and is qualified in its
entirety by reference to, the Schedule 13D and the exhibits thereto.
Item 4. Purpose of Transaction
Item 4 of the Schedule 13D is hereby amended by the following:
On December 30, 2004, AIP entered into an agreement with, among others, RC
Aviation which, among other things, amended and restated certain transfer
restriction provisions (the "Amended and Restated Transfer Restrictions")
contained in the AIP Stockholders Agreement. The Amended and Restated Transfer
Restrictions are attached hereto as Exhibit 10.1 and incorporated herein by
reference.
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Item 5. Interest in Securities of the Issuer
Item 5(a) of the Schedule 13D is hereby amended as follows:
(a) As a result of the sale of shares of Common Stock by AIP on January 7,
2005, as more particularly described in Item 5(c) below, as of the close of
business on January 12, 2005, AIP beneficially owned directly 2,149,403 shares
of Common Stock. The 2,149,403 shares of Common Stock beneficially owned
directly by AIP constitute approximately 6.99% of the shares of Common Stock
outstanding on January 7, 2005. As of the close of business on January __, 2005,
Mr. Smith beneficially owned indirectly the 2,149,403 shares of Common Stock
beneficially owned directly by AIP. Mr. Smith disclaims beneficial ownership of
such shares of Common Stock for all other purposes.
As of the close of business on January 12, 2005, Mr. Smith did not
beneficially own directly any shares of Common Stock.
Item 5(b) of the Schedule 13D is hereby amended as follows:
(b) As a result of being the Managing Member of AIP, Mr. Smith may be
deemed to share with AIP the power to dispose or to direct the disposition of
the 2,149,403 shares of Common Stock beneficially owned directly by AIP. Mr.
Smith disclaims beneficial ownership of such shares of Common Stock for all
other purposes. Under the AIP Stockholders Agreement, RC Aviation has the sole
power to vote or to direct the vote of the 2,149,403 shares of Common Stock
beneficially owned directly by AIP.
As a result of entering into the AIP Stockholders Agreement with RC
Aviation, AIP may be deemed to have formed a "group" with RC Aviation within the
meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended.
Accordingly, AIP may be deemed to share beneficial ownership of the 10,000,000
shares of Common Stock beneficially owned directly by RC Aviation. If AIP were
determined to be the beneficial owner of the Common Stock owned by RC Aviation,
AIP would be the beneficial owner of 12,149,403 shares of Common Stock,
representing approximately 39.5% of the shares of Common Stock outstanding on
January 7, 2005. Each of AIP and Mr. Smith disclaims beneficial ownership of all
shares of Common Stock beneficially owned by RC Aviation.
Item 5(c) of the Schedule 13D is hereby amended as follows:
(c) On December 7, 2005, AIP sold 2,000,000 shares of Common Stock by
means of an open market sale at a per share sales price of $6.55.
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Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to
Securities of the Issuer
Item 6 of the Schedule 13D is hereby supplemented as follows:
See Item 4 for a description of the Amended and Restated Transfer
Restrictions.
Item 7. Material to be Filed as Exhibits
Exhibit Number Document Description
-------------- --------------------
10.1 Amended and Restated Transfer Restrictions
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated: January 12, 2005
AIP, LLC
By: /s/ Jeffery A. Smith
-------------------------------
Name: Jeffery A. Smith
Title: Managing Member
/s/ Jeffery A. Smith
-------------------------------
Jeffery A. Smith
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