|
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 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARBERT MANAGEMENT CORP 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
Harbert Discovery Fund, LP HARBERT DISCOVERY FUND GP, LLC 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
HARBERT DISCOVERY FUND GP, LLC 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
HARBERT DISCOVERY CO-INVESTMENT FUND I, LP 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
HARBERT DISCOVERY CO-INVESTMENT FUND I GP, LLC 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
HARBERT FUND ADVISORS, INC. 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
BRYANT JOHN F. C/O HARBERT MANAGEMENT CORPORATION 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
LUCAS KENAN C/O HARBERT MANAGEMENT CORPORATION 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM, AL 35203 |
X | |||
HARBERT RAYMOND J 2100 THIRD AVENUE NORTH SUITE 600 BIRMINGHAM, AL 35203 |
X |
Harbert Discovery Fund, LP, By: Harbert Discovery Fund GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel | 08/20/2019 | |
**Signature of Reporting Person | Date | |
Harbert Discovery Fund GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel | 08/20/2019 | |
**Signature of Reporting Person | Date | |
Harbert Discovery Co-Investment Fund I, LP, By: Harbert Discovery Co-Investment Fund I GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel | 08/20/2019 | |
**Signature of Reporting Person | Date | |
Harbert Discovery Co-Investment Fund I GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel | 08/20/2019 | |
**Signature of Reporting Person | Date | |
Harbert Fund Advisors, Inc., By: /s/ John McCullough, Executive Vice President and General Counsel | 08/20/2019 | |
**Signature of Reporting Person | Date | |
Harbert Management Corporation, By: /s/ John McCullough, Executive Vice President and General Counsel | 08/20/2019 | |
**Signature of Reporting Person | Date | |
/s/ Jack Bryant | 08/20/2019 | |
**Signature of Reporting Person | Date | |
/s/ Kenan Lucas | 08/20/2019 | |
**Signature of Reporting Person | Date | |
s/ Raymond Harbert | 08/20/2019 | |
**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) | The securities reported herein are held by Harbert Discovery Fund, LP (the "Discovery Fund") and Harbert Discovery Co-Investment Fund I, LP (the "Discovery Co-Investment Fund" and together with the Discovery Fund, the "Funds"). Harbert Discovery Fund GP, LLC ( the "Discovery Fund GP") is the general partner of the Discovery Fund, and Harbert Discovery Co-Investment Fund I GP, LLC is the general partner of the Discovery Co-Investment Fund (and together with Harbert Discovery Fund GP, the "Fund GPs"). Harbert Fund Advisors, Inc. is the investment adviser to the Funds. Harbert Management Corporation ("HMC") is the managing member of the Fund GPs. Jack Bryant is a Senior Advisor to the Discovery Fund, and a Vice President and Senior Managing Director of HMC. Kenan Lucas is the managing director and portfolio manager of the Funds. Raymond Harbert is the controlling shareholder, Chairman and Chief Executive Officer of HMC. |
Remarks: Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |