Green Dot Corp (NYSE:GDOT): Joseph A. Jolson’s Harvest Capital Strategies filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
JEFFREY B. OSHER | 2,357,000 | 2,357,000 | 2,357,000 | 4.7% | ||
HARVEST CAPITAL STRATEGIES | 2,307,000 | 2,307,000 | 2,307,000 | 4.6% | ||
HARVEST SMALL CAP PARTNERS GP | 1,463,207 | 1,463,207 | 1,463,207 | 2.9% | ||
HARVEST SMALL CAP PARTNERS MASTER, LTD | 843,793 | 843,793 | 843,793 | 1.7% | ||
HARVEST SMALL CAP PARTNERS | 501,924 | 501,924 | 501,924 | Less% | ||
HSCP STRATEGIC I | 961,283 | 961,283 | 961,283 | 1.9% | ||
CRAIG BAUM | 4,000 | 4,000 | 4,000 | Less% |
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Page 1 of 16 – SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED
IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. 8)1
Green Dot Corporation
(Name
of Issuer)
Class A Common Stock,
par value $0.001 per share
(Title of Class of Securities)
39304D102
(CUSIP Number)
JEFFREY
B. OSHER
Harvest
Capital Strategies LLC
600 Montgomery Street, Suite 1700
San Francisco, California 94111
(415) 869-4433
STEVE WOLOSKY, ESQ.
ANDREW FREEDMAN, ESQ.
OLSHAN
FROME WOLOSKY LLP
1325
Avenue of the Americas
New
York, New York 10019
(212)
451-2300
(Name, Address and Telephone Number of Person
Authorized to Receive Notices
and Communications)
September 26, 2017
(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 §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following
box ¨.
Note: Schedules
filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See
§ 240.13d-7 for other parties to whom copies are to be sent.
1
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 disclosures provided
in a prior cover page.
The information required
on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
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Page 2 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
JEFFREY B. OSHER | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
OO, PF | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
USA | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 2,357,000 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
2,357,000 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
2,357,000 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
4.7% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IN |
2 |
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Page 3 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
HARVEST CAPITAL STRATEGIES LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
OO | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
DELAWARE | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 2,307,000 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
2,307,000 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
2,307,000 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
4.6% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IA |
3 |
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Page 4 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
HARVEST SMALL CAP PARTNERS GP, LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
OO | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
DELAWARE | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 1,463,207 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
1,463,207 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,463,207 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
2.9% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
4 |
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Page 5 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
HARVEST SMALL CAP PARTNERS MASTER, LTD. | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
WC | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
CAYMAN ISLANDS | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 843,793 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
843,793 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
843,793 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
1.7% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
CO |
5 |
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Page 6 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
HARVEST SMALL CAP PARTNERS, LP | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
WC | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
DELAWARE | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 501,924 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
501,924 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
501,924 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
Less than 1% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
6 |
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Page 7 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
HSCP STRATEGIC I, LP | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
WC | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
DELAWARE | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 961,283 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
961,283 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
961,283 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
1.9% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
7 |
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Page 8 of 16 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
CRAIG BAUM | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
PF | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
USA | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 4,000 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
4,000 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
4,000 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
Less than 1% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IN |
8 |
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Page 9 of 16 – SEC Filing
The following constitutes
Amendment No. 8 to the Schedule 13D filed by the undersigned (“Amendment No. 8”). This Amendment No. 8 amends the Schedule
13D as specifically set forth herein. As of the close of business on September 27, 2017, the Reporting Persons collectively owned
an aggregate of 2,361,000 Shares, constituting approximately 4.7% of the Shares outstanding.
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 3 is hereby amended
and restated to read as follows:
The Shares purchased by
each of Harvest Small Cap Master, Harvest Small Cap and HSCP Strategic were purchased with working capital (which may, at any
given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except
as otherwise noted, as set forth in Schedule B, which is incorporated by reference herein. The aggregate purchase price of
the 843,793 Shares beneficially owned by Harvest Small Cap Master is approximately $13,690,443, including brokerage commissions. The
aggregate purchase price of the 501,924 Shares beneficially owned by Harvest Small Cap is approximately $8,019,535, including
brokerage commissions. The aggregate purchase price of the 961,283 Shares beneficially owned by HSCP Strategic is approximately
$20,989,093, including brokerage commissions. The Shares held in the Osher Family Accounts were purchased in the open market with
personal funds. The aggregate purchase price of the 50,000 Shares held in the Osher Family Accounts is approximately $793,022,
including brokerage commissions. The aggregate purchase price of the 4,000 Shares beneficially owned by Mr. Baum is approximately
$70,058, including brokerage commissions.
Item 5. | Interest in Securities of the Issuer. |
Item 5 is hereby amended
and restated to read as follows:
The aggregate
percentage of Shares reportedly owned by each person named herein is based upon 50,455,565 Shares outstanding, as of July 31, 2017,
which is the total number of Shares outstanding as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the
Securities and Exchange Commission on August 9, 2017.
A. | Mr. Osher |
(a) | As of the close of business on September 27, 2017, 50,000 Shares were held in the Osher Family Accounts, which Mr. Osher may be deemed to beneficially own. In addition, Mr. Osher, as the portfolio manager of each of Harvest Small Cap Master, Harvest Small Cap and HSCP Strategic and as a managing director of Harvest Capital, may be deemed the beneficial owner of the (i) 843,793 Shares owned by Harvest Small Cap Master, (ii) 501,924 Shares owned by Harvest Small Cap and (iii) 961,283 Shares owned by HSCP Strategic. |
Percentage: Approximately 4.7%
(b) | 1. Sole power to vote or direct vote: 2,357,000 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 2,357,000 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares on behalf of each of Harvest Small Cap Master, Harvest Small Cap, HSCP Strategic and through the Osher Family Accounts since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
9 |
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Page 10 of 16 – SEC Filing
B. | Harvest Capital |
(a) | Harvest Capital, as the investment manager of Harvest Small Cap Master, Harvest Small Cap and HSCP Strategic, may be deemed the beneficial owner of the (i) 843,793 Shares owned by Harvest Small Cap Master, (ii) 501,924 Shares owned by Harvest Small Cap and (iii) 961,283 Shares owned by HSCP Strategic. |
Percentage: Approximately 4.6%
(b) | 1. Sole power to vote or direct vote: 2,307,000 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 2,307,000 4. Shared power to dispose or direct the disposition: 0 |
(c) | Harvest Capital has not entered into any transactions in the Shares since the filing of Amendment No. 7 to the Schedule 13D. The transactions in the Shares on behalf of each of Harvest Small Cap Master, Harvest Small Cap and HSCP Strategic since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
C. | Harvest Small Cap GP |
(a) | Harvest Small Cap GP, as the general partner of Harvest Small Cap and HSCP Strategic, may be deemed the beneficial owner of the (i) 501,924 Shares owned by Harvest Small Cap and (ii) 961,283 Shares owned by HSCP Strategic. |
Percentage: Approximately 2.9%
(b) | 1. Sole power to vote or direct vote: 1,463,207 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 1,463,207 4. Shared power to dispose or direct the disposition: 0 |
(c) | Harvest Small Cap GP has not entered into any transactions in the Shares since the filing of Amendment No. 7 to the Schedule 13D. The transactions in the Shares on behalf of each of Harvest Small Cap and HSCP Strategic since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
D. | Harvest Small Cap Master |
(a) | As of the close of business on September 27, 2017, Harvest Small Cap Master beneficially owned 843,793 Shares. |
Percentage: Approximately 1.7%
(b) | 1. Sole power to vote or direct vote: 843,793 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 843,793 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by Harvest Small Cap Master since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
10 |
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Page 11 of 16 – SEC Filing
E. | Harvest Small Cap |
(a) | As of the close of business on September 27, 2017, Harvest Small Cap beneficially owned 501,924 Shares. |
Percentage: Less than 1%
(b) | 1. Sole power to vote or direct vote: 501,924 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 501,924 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by Harvest Small Cap since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
F. | HSCP Strategic |
(a) | As of the close of business on September 27, 2017, HSCP Strategic beneficially owned 961,283 Shares. |
Percentage: Approximately 1.9%
(b) | 1. Sole power to vote or direct vote: 961,283 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 961,283 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by HSCP Strategic since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
G. | Mr. Baum |
(a) | As of the close of business on September 27, 2017, Mr. Baum directly owned 4,000 Shares. |
Percentage: Less than 1%
(b) | 1. Sole power to vote or direct vote: 4,000 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 4,000 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by Mr. Baum since the filing of Amendment No. 7 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
11 |
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Page 12 of 16 – SEC Filing
Each Reporting
Person, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities
Exchange Act of 1934, as amended, may be deemed the beneficial owner of the Shares directly owned by the other Reporting Persons. Each
Reporting Person disclaims beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.
(d)
No person other than the Reporting Persons is known to have the right to receive, or
the power to direct the receipt of dividends from, or proceeds from the sale of, the Shares.
(e) As
of September 26, 2017, the Reporting Persons ceased to be the beneficial owners of more than 5% of the Shares of the Issuer.
Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
Item 6 is hereby amended
to add the following:
As previously disclosed in Amendment
No. 7 to the Schedule 13D, Harvest Capital and certain of its affiliates (collectively, “Harvest”) entered into a
Sales Trading Plan Agreement (the “Sales Plan”) with Goldman Sachs & Co. LLC (“GS”), dated August
21, 2017, for the purpose of effecting sales of Shares of the Issuer in compliance with, among other things, Rule 10b5-1 of the
Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder. The Sales Plan is tiered based
upon certain volume and pricing thresholds and allows for the sale of Shares by GS on behalf of Harvest. Shares sold pursuant
to the Sales Plan may only be sold in accordance with trading requirements adopted by the Reporting Persons, and there can be
no assurance as to how many Shares, if any, will be sold pursuant to the Sales Plan or at what price any such Shares will be sold.
12 |
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Page 13 of 16 – SEC Filing
SIGNATURES
After reasonable
inquiry and to the best of his knowledge and belief, each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Dated: September 28, 2017
Harvest Small Cap Partners Master, Ltd. | |||
By: | Harvest Capital Strategies LLC Investment Manager | ||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
Harvest Small Cap Partners, LP | |||
By: | Harvest Capital Strategies LLC Investment Manager | ||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
HSCP Strategic I, LP | |||
By: | Harvest Capital Strategies LLC Investment Manager | ||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
Harvest Capital Strategies LLC | |||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
Harvest Small Cap Partners GP, LLC | |||
By: | Harvest Capital Strategies LLC Investment Manager of the Limited Partner | ||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
/s/ Jeffrey B. Osher | |
JEFFREY B. OSHER |
/s/ Craig Baum | |
CRAIG BAUM |
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Page 14 of 16 – SEC Filing
SCHEDULE B
Transactions in the Shares Since
the Filing of Amendment No. 7 to the Schedule 13D
Nature of the Transaction | Amount of Securities Purchased/(Sold) | Price ($) | Date of Purchase/Sale |
HARVEST
SMALL CAP PARTNERS MASTER, lTD.
Sale of Class A Common Stock | (26,187) | 46.4987 | 8/22/2017 |
Sale of Class A Common Stock | (19,876) | 46.5885 | 8/22/2017 |
Sale of Class A Common Stock | (18,495) | 46.8098 | 8/23/2017 |
Sale of Class A Common Stock | (20,200) | 46.7960 | 8/23/2017 |
Sale of Class A Common Stock | (18,835) | 47.5239 | 8/24/2017 |
Sale of Class A Common Stock | (5,565) | 48.5987 | 9/20/2017* |
Sale of Class A Common Stock | (17,436) | 48.6140 | 9/20/2017* |
Sale of Class A Common Stock | (6,072) | 48.3592 | 9/21/2017* |
Sale of Class A Common Stock | (14,676) | 48.3468 | 9/21/2017* |
Sale of Class A Common Stock | (5,928) | 48.5337 | 9/22/2017* |
Sale of Class A Common Stock | (18,356) | 48.5446 | 9/22/2017* |
Sale of Class A Common Stock | (5,926) | 47.6821 | 9/25/2017* |
Sale of Class A Common Stock | (12,039) | 47.6656 | 9/25/2017* |
Sale of Class A Common Stock | (5,828) | 48.1462 | 9/26/2017* |
Sale of Class A Common Stock | (53,351) | 48.1297 | 9/26/2017* |
Sale of Class A Common Stock | (21,930) | 49.6136 | 9/27/2017* |
Sale of Class A Common Stock | (5,927) | 49.4998 | 9/27/2017* |
__________________________________
*
Represents a sale of Class A Common Stock that was effected in the open market pursuant to a 10b5-1 Sales Trading Plan.
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HARVEST
SMALL CAP PARTNERS, LP
Sale of Class A Common Stock | (15,662) | 46.4987 | 8/22/2017 |
Sale of Class A Common Stock | (11,888) | 46.5885 | 8/22/2017 |
Sale of Class A Common Stock | (11,061) | 46.8098 | 8/23/2017 |
Sale of Class A Common Stock | (12,082) | 46.7960 | 8/23/2017 |
Sale of Class A Common Stock | (11,274) | 47.5239 | 8/24/2017 |
Sale of Class A Common Stock | (3,892) | 48.5987 | 9/20/2017* |
Sale of Class A Common Stock | (12,194) | 48.6140 | 9/20/2017* |
Sale of Class A Common Stock | (3,385) | 48.3592 | 9/21/2017* |
Sale of Class A Common Stock | (8,179) | 48.3468 | 9/21/2017* |
Sale of Class A Common Stock | (3,529) | 48.5337 | 9/22/2017* |
Sale of Class A Common Stock | (10,925) | 48.5446 | 9/22/2017* |
Sale of Class A Common Stock | (3,531) | 47.6821 | 9/25/2017* |
Sale of Class A Common Stock | (7,174) | 47.6656 | 9/25/2017* |
Sale of Class A Common Stock | (3,629) | 48.1462 | 9/26/2017* |
Sale of Class A Common Stock | (33,222) | 48.1297 | 9/26/2017* |
Sale of Class A Common Stock | (13,059) | 49.6136 | 9/27/2017* |
Sale of Class A Common Stock | (3,530) | 49.4998 | 9/27/2017* |
HSCP STRATEGIC
I, LP
Sale of Class A Common Stock | (15,006) | 46.4987 | 8/22/2017 |
Sale of Class A Common Stock | (11,390) | 46.5885 | 8/22/2017 |
Sale of Class A Common Stock | (5,444) | 46.8098 | 8/23/2017 |
__________________________________
*
Represents a sale of Class A Common Stock that was effected in the open market pursuant to a 10b5-1 Sales Trading Plan.
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Sale of Class A Common Stock | (5,946) | 46.7960 | 8/23/2017 |
Sale of Class A Common Stock | (5,546) | 47.5239 | 8/24/2017 |
Sale of Class A Common Stock | (5,543) | 48.5987 | 9/20/2017* |
Sale of Class A Common Stock | (17,370) | 48.6140 | 9/20/2017* |
Sale of Class A Common Stock | (5,543) | 48.3592 | 9/21/2017* |
Sale of Class A Common Stock | (13,399) | 48.3468 | 9/21/2017* |
Sale of Class A Common Stock | (5,543) | 48.5337 | 9/22/2017* |
Sale of Class A Common Stock | (17,165) | 48.5446 | 9/22/2017* |
Sale of Class A Common Stock | (5,543) | 47.6821 | 9/25/2017* |
Sale of Class A Common Stock | (11,263) | 47.6656 | 9/25/2017* |
Sale of Class A Common Stock | (5,543) | 48.1462 | 9/26/2017* |
Sale of Class A Common Stock | (50,751) | 48.1297 | 9/26/2017* |
Sale of Class A Common Stock | (20,511) | 49.6136 | 9/27/2017* |
Sale of Class A Common Stock | (5,543) | 49.4998 | 9/27/2017* |
JEFFREY B. OSHER
(Through the
Osher Family Accounts)
Sale of Class A Common Stock | (12,500) | 46.5669 | 8/22/2017 |
Sale of Class A Common Stock | (12,500) | 46.8118 | 8/23/2017 |
Sale of Class A Common Stock | (12,500) | 47.5008 | 8/24/2017 |
CRAIG BAUM
Sale of Class A Common Stock | (750) | 46.3950 | 8/22/2017 |
Sale of Class A Common Stock | (750) | 46.8538 | 8/23/2017 |
__________________________________
*
Represents a sale of Class A Common Stock that was effected in the open market pursuant to a 10b5-1 Sales Trading Plan.