Swift Energy Company
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(Name of Issuer)
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Common Stock, $0.01 par value
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(Title of Class of Securities)
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87073T105
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(CUSIP Number)
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December 31, 2016
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(Date of Event Which Requires Filing of this Statement)
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✓
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Rule 13d-1(b)
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☐ |
Rule 13d-1(c)
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☐
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Rule 13d-1(d)
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* |
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.
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1
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NAME OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
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Pentwater Capital Management LP
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware USA
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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577,147
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6
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SHARED VOTING POWER
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7
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SOLE DISPOSITIVE POWER
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577,147
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8
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SHARED DISPOSITIVE POWER
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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577,147
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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(1) 5.75%
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12
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TYPE OF REPORTING PERSON*
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IA
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Item 1(a). | Name of Issuer: |
Item 1(b). | Address of Issuer's Principal Executive Offices: |
Item 2(a). | Name of Person Filing: |
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
Item 2(c). | Citizenship: |
Item 2(d). | Title of Class of Securities: |
Item 2(e). | CUSIP Number: 87073T105 |
Item 3. |
If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
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(a)
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☐ |
Broker or dealer registered under Section 15 of the Exchange Act.
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(b) | ☐ | Bank as defined in Section 3(a)(6) of the Exchange Act. |
(c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Exchange Act. |
(d) | ☐ | Investment company registered under Section 8 of the Investment Company Act. |
(e) | ✓ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
(f) | ☐ | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
(g) | ☐ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
(h) | ☐ | A 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) | ☐ | Group, in accordance with |
Item 4. | Ownership. |
(a) | Amount beneficially owned: 577,147 |
(b) | Percent of class: 5.75% |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote: 577,147 |
(ii) | Shared power to vote or to direct the vote: |
(iii) | Sole power to dispose or to direct the disposition of: 577,147 |
(iv) | Shared power to dispose or to direct the disposition of: |
Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More Than Five Percent on Behalf of Another Person. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10.
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Certifications.
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February 14, 2017
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(Date)
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/s/ Neal Nenadovic | |
(Signature)
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Neal Nenadovic/Chief Financial Officer
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(Name/Title)
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