13D Filing: Grizzlyrock Institutional Value Partners, LP and Potbelly Corp (PBPB)

1

NAME OF REPORTING PERSON

Vivaldi Asset Management, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a) ☐
(b) T

3

SEC USE ONLY

4

SOURCE OF FUNDS (SEE INSTRUCTIONS)

OO – Funds of investment advisory clients

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

☐

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH

7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

1,021,124

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

1,021,124

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,021,124

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

T

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

4.1%

14

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

IA