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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mangrove Partners Master Fund, Ltd. PO BOX 309, UGLAND HOUSE, S. CHURCH ST. GEORGE TOWN, E9 KY1-1104 |
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Mangrove Partners Fund (Cayman), Ltd. MAPLES CORP. SVCS, PO BOX 309 UGLAND HOUSE, S. CHURCH STREET GEORGE TOWN, E9 KY1-1104 |
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Mangrove Partners Fund, L.P. 645 MADISON AVENUE, 14TH FLOOR NEW YORK, NY 10022 |
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MANGROVE CAPITAL 645 MADISON AVENUE, 14TH FLOOR NEW YORK, NY 10022 |
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AUGUST NATHANIEL H. 645 MADISON AVENUE, 14TH FLOOR NEW YORK, NY 10022 |
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MANGROVE PARTNERS 645 MADISON AVENUE, 14TH FLOOR NEW YORK, NY 10022 |
/s/ Nathaniel H. August, as Director of The Mangrove Partners Master Fund, Ltd. | 02/15/2017 | |
**Signature of Reporting Person | Date | |
/s/ Nathaniel H. August, as Director of Mangrove Partners, the Investment Manager of the Reporting Person | 02/15/2017 | |
**Signature of Reporting Person | Date | |
/s/ Nathaniel H. August, as Director of Mangrove Capital, the General Partner of the Reporting Person | 02/15/2017 | |
**Signature of Reporting Person | Date | |
/s/ Nathaniel H. August as director of Mangrove Capital | 02/15/2017 | |
**Signature of Reporting Person | Date | |
/s/ Nathaniel H. August | 02/15/2017 | |
**Signature of Reporting Person | Date | |
/s/ Nathaniel H. August as director of Mangrove Partners | 02/15/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." |
(2) | The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital. |