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 | 3,781,122 | 3,781,122 | 3,781,122 | 7.6% | ||
HARVEST CAPITAL STRATEGIES | 3,634,122 | 3,634,122 | 3,634,122 | 7.3% | ||
HARVEST SMALL CAP PARTNERS GP | 2,159,148 | 2,159,148 | 2,159,148 | 4.3% | ||
HARVEST SMALL CAP PARTNERS MASTER, LTD | 1,474,974 | 1,474,974 | 1,474,974 | 3.0% | ||
HARVEST SMALL CAP PARTNERS | 882,715 | 882,715 | 882,715 | 1.8% | ||
HSCP STRATEGIC I | 1,276,433 | 1,276,433 | 1,276,433 | 2.6% | ||
CRAIG BAUM | 7,500 | 7,500 | 7,500 | Less% |
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Page 1 of 18 – 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. 6)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)
July 31, 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 18 – 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 | 3,781,122 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
3,781,122 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
3,781,122 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
7.6% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IN |
2 |
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Page 3 of 18 – 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 | 3,634,122 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
3,634,122 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
3,634,122 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
7.3% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IA |
3 |
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Page 4 of 18 – 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 | 2,159,148 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
2,159,148 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
2,159,148 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
4.3% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
4 |
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Page 5 of 18 – 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 | 1,474,974 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
1,474,974 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,474,974 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
3.0% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
CO |
5 |
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Page 6 of 18 – 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 | 882,715 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
882,715 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
882,715 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
1.8% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
6 |
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Page 7 of 18 – 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 | 1,276,433 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
1,276,433 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,276,433 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
2.6% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
7 |
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Page 8 of 18 – 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 | 7,500 | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | – 0 – | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
7,500 | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
– 0 – | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
7,500 | |||||||||||||||||||
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 18 – SEC Filing
The following constitutes
Amendment No. 6 to the Schedule 13D filed by the undersigned (“Amendment No. 6”). This Amendment No. 6 amends the
Schedule 13D as specifically set forth herein. As of the close of business on August 2, 2017, the Reporting Persons collectively
owned an aggregate of 3,788,622 Shares, constituting approximately 7.6% 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 1,474,974
Shares beneficially owned by Harvest Small Cap Master is approximately $24,607,693, including brokerage commissions. The
aggregate purchase price of the 882,715 Shares beneficially owned by Harvest Small Cap is approximately $14,445,161, including
brokerage commissions. The aggregate purchase price of the 1,276,433 Shares beneficially owned by HSCP Strategic is
approximately $28,229,120, 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 147,000 Shares held in the Osher Family Accounts is approximately
$2,317,255, including brokerage commissions. The aggregate purchase price of the 7,500 Shares beneficially owned by Mr. Baum is
approximately $131,359, including brokerage commissions.
Item 4. | Purpose of Transaction. |
Item 4 is hereby amended
to add the following:
As further described
in Item 6 below, 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 May 19, 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 “Exchange Act”). The Sales Plan
is tiered based upon certain volume and pricing thresholds and has been undertaken in large part to effectuate a rebalancing of
Harvest’s portfolio in light of the significant appreciation in the Issuer’s stock price since the filing of the Schedule
13D over a year and a half ago.
Item 5. | Interest in Securities of the Issuer. |
Items 5(a) –
(c) are hereby amended and restated to read as follows:
The aggregate percentage
of Shares reportedly owned by each person named herein is based upon 49,750,548 Shares outstanding, as of April 30, 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 May 10, 2017.
A. | Mr. Osher |
(a) | As of the |
Percentage: Approximately 7.6%
9 |
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Page 10 of 18 – SEC Filing
(b) | 1. Sole power to vote or direct vote: 3,781,122 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 3,781,122 4. Shared power to dispose or direct the disposition: 0 |
(c) | Mr. Osher has not entered into any transactions in the Shares during the past sixty (60) days. The transactions in the Shares on behalf of each of Harvest Small Cap Master, Harvest Small Cap and HSCP Strategic during the past sixty (60) days are set forth in Schedule B and are incorporated herein by reference. |
B. | Harvest Capital |
(a) | Harvest Capital, |
Percentage: Approximately 7.3%
(b) | 1. Sole power to vote or direct vote: 3,634,122 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 3,634,122 4. Shared power to dispose or direct the disposition: 0 |
(c) | Harvest Capital has not entered into any transactions in the Shares during the past sixty (60) days. The transactions in the Shares on behalf of each of Harvest Small Cap Master, Harvest Small Cap and HSCP Strategic during the past sixty (60) days are set forth in Schedule B and are incorporated herein by reference. |
C. | Harvest Small Cap GP |
(a) | Harvest Small |
Percentage: Approximately 4.3%
(b) | 1. Sole power to vote or direct vote: 2,159,148 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 2,159,148 4. Shared power to dispose or direct the disposition: 0 |
(c) | Harvest Small Cap GP has not entered into any transactions in the Shares during the past sixty (60) days. The transactions in the Shares on behalf of each of Harvest Small Cap and HSCP Strategic during the past sixty (60) days are set forth in Schedule B and are incorporated herein by reference. |
10 |
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Page 11 of 18 – SEC Filing
D. | Harvest Small Cap Master |
(a) | As of the |
Percentage: Approximately 3.0%
(b) | 1. Sole power to vote or direct vote: 1,474,974 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 1,474,974 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by Harvest Small Cap Master during the past sixty (60) days are set forth in Schedule B and are incorporated herein by reference. |
E. | Harvest Small Cap |
(a) | As of the |
Percentage: Approximately 1.8%
(b) | 1. Sole power to vote or direct vote: 882,715 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 882,715 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by Harvest Small Cap during the past sixty (60) days are set forth in Schedule B and are incorporated herein by reference. |
F. | HSCP Strategic |
(a) | As of the |
Percentage: Approximately 2.6%
(b) | 1. Sole power to vote or direct vote: 1,276,433 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 1,276,433 4. Shared power to dispose or direct the disposition: 0 |
(c) | The transactions in the Shares by HSCP Strategic during the past sixty (60) days are set forth in Schedule B and are incorporated herein by reference. |
11 |
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Page 12 of 18 – SEC Filing
G. | Mr. Baum |
(a) | As of the |
Percentage: Less than 1%
(b) | 1. Sole power to vote or direct vote: 7,500 2. Shared power to vote or direct vote: 0 3. Sole power to dispose or direct the disposition: 7,500 4. Shared power to dispose or direct the disposition: 0 |
(c) | Mr. Baum has not entered into any transactions in the Shares during the past sixty (60) days. |
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.
Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
Item 6 is hereby amended
to add the following:
As disclosed in Item
4 above, on May 19, 2017, Harvest entered into the Sales Plan with GS for the purpose of establishing a trading plan to effect
sales of Shares of the Issuer in compliance with all applicable laws, including, without limitation, Section 10(b) of the Exchange
Act, including, but not limited to, Rule 10b5-1. The Sales Plan allows for the sale of up to 760,400 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. A copy of the Sales Plan is attached as exhibit 99.1 hereto and is incorporated herein by reference.
Item 7. | Material to be Filed as Exhibits. |
Item 7 is hereby amended
to add the following exhibit:
99.1 | Sales Trading Plan Agreement between Harvest Capital Strategies LLC, Harvest Small Cap Partners, L.P., Harvest Small Cap Partners Master, Ltd., HSCP Strategic I, L.P. and Goldman Sachs & Co. LLC, dated May 19, 2017. |
12 |
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Page 13 of 18 – 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: August 2, 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 |
13 |
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Page 14 of 18 – SEC Filing
/s/ Jeffrey B. Osher | |
jEFFREY B. OSHER |
/s/ Craig Baum | |
craig baum |
14 |
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Page 15 of 18 – SEC Filing
SCHEDULE B
Transactions in the Shares During
the Past Sixty (60) Days*
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 | (8,877) | 39.7048 | 06/19/2017 |
Sale of Class A Common Stock | (9,870) | 39.4168 | 06/20/2017 |
Sale of Class A Common Stock | (7,698) | 39.4620 | 06/21/2017 |
Sale of Class A Common Stock | (20,031) | 39.0613 | 06/22/2017 |
Sale of Class A Common Stock | (2,205) | 39.0613 | 06/22/2017 |
Sale of Class A Common Stock | (18,888) | 39.2786 | 06/23/2017 |
Sale of Class A Common Stock | (10,775) | 38.8190 | 06/26/2017 |
Sale of Class A Common Stock | (10,488) | 38.9124 | 06/28/2017 |
Sale of Class A Common Stock | (2,337) | 38.7525 | 06/29/2017 |
Sale of Class A Common Stock | (10,760) | 38.7500 | 07/05/2017 |
Sale of Class A Common Stock | (3,244) | 38.6640 | 07/06/2017 |
Sale of Class A Common Stock | (11,167) | 39.3496 | 07/07/2017 |
Sale of Class A Common Stock | (9,628) | 39.3997 | 07/10/2017 |
Sale of Class A Common Stock | (9,141) | 39.5518 | 07/11/2017 |
Sale of Class A Common Stock | (15,889) | 39.8651 | 07/12/2017 |
Sale of Class A Common Stock | (12,250) | 39.7542 | 07/13/2017 |
Sale of Class A Common Stock | (14,421) | 39.9106 | 07/14/2017 |
Sale of Class A Common Stock | (16,527) | 39.9188 | 07/17/2017 |
*
Each sale of Class A Common Stock listed herein was effected in the open market pursuant to a 10b5-1 Sales Trading Plan.
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Page 16 of 18 – SEC Filing
Sale of Class A Common Stock | (4,573) | 39.7104 | 07/18/2017 |
Sale of Class A Common Stock | (6,020) | 39.9222 | 07/19/2017 |
Sale of Class A Common Stock | (8,137) | 40.1049 | 07/20/2017 |
Sale of Class A Common Stock | (1,872) | 40.1049 | 07/20/2017 |
Sale of Class A Common Stock | (4,601) | 39.8175 | 07/21/2017 |
Sale of Class A Common Stock | (16,347) | 39.7354 | 07/24/2017 |
Sale of Class A Common Stock | (12,894) | 40.2220 | 07/25/2017 |
Sale of Class A Common Stock | (8,449) | 40.6656 | 07/26/2017 |
Sale of Class A Common Stock | (6,527) | 40.4337 | 07/27/2017 |
Sale of Class A Common Stock | (11,753) | 40.1951 | 07/28/2017 |
Sale of Class A Common Stock | (10,099) | 40.2030 | 07/31/2017 |
Sale of Class A Common Stock | (17,649) | 40.2024 | 08/01/2017 |
Sale of Class A Common Stock | (7,415) | 39.7529 | 08/02/2017 |
HARVEST
SMALL CAP PARTNERS, LP
Sale of Class A Common Stock | (6,723) | 39.7048 | 06/19/2017 |
Sale of Class A Common Stock | (5,936) | 39.4168 | 06/20/2017 |
Sale of Class A Common Stock | (4,641) | 39.4620 | 06/21/2017 |
Sale of Class A Common Stock | (13,459) | 39.0613 | 06/22/2017 |
Sale of Class A Common Stock | (11,355) | 39.2786 | 06/23/2017 |
Sale of Class A Common Stock | (6,490) | 38.8190 | 06/26/2017 |
Sale of Class A Common Stock | (6,262) | 38.9124 | 06/28/2017 |
Sale of Class A Common Stock | (1,329) | 38.7525 | 06/29/2017 |
Sale of Class A Common Stock | (2,403) | 38.6595 | 06/30/2017 |
Sale of Class A Common Stock | (1,264) | 38.6536 | 07/03/2017 |
Sale of Class A Common Stock | (7,931) | 38.7500 | 07/05/2017 |
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Page 17 of 18 – SEC Filing
Sale of Class A Common Stock | (1,938) | 38.6640 | 07/06/2017 |
Sale of Class A Common Stock | (6,676) | 39.3496 | 07/07/2017 |
Sale of Class A Common Stock | (5,741) | 39.3997 | 07/10/2017 |
Sale of Class A Common Stock | (5,487) | 39.5518 | 07/11/2017 |
Sale of Class A Common Stock | (9,503) | 39.8651 | 07/12/2017 |
Sale of Class A Common Stock | (8,128) | 39.7542 | 07/13/2017 |
Sale of Class A Common Stock | (7,860) | 39.9106 | 07/14/2017 |
Sale of Class A Common Stock | (9,881) | 39.9188 | 07/17/2017 |
Sale of Class A Common Stock | (2,729) | 39.7104 | 07/18/2017 |
Sale of Class A Common Stock | (3,622) | 39.9222 | 07/19/2017 |
Sale of Class A Common Stock | (5,995) | 40.1049 | 07/20/2017 |
Sale of Class A Common Stock | (3,549) | 39.8175 | 07/21/2017 |
Sale of Class A Common Stock | (8,975) | 39.7354 | 07/24/2017 |
Sale of Class A Common Stock | (6,745) | 40.2220 | 07/25/2017 |
Sale of Class A Common Stock | (939) | 40.2220 | 07/25/2017 |
Sale of Class A Common Stock | (5,050) | 40.6656 | 07/26/2017 |
Sale of Class A Common Stock | (3,902) | 40.4337 | 07/27/2017 |
Sale of Class A Common Stock | (7,023) | 40.1951 | 07/28/2017 |
Sale of Class A Common Stock | (5,660) | 40.2030 | 07/31/2017 |
Sale of Class A Common Stock | (10,552) | 40.2024 | 08/01/2017 |
Sale of Class A Common Stock | (4,431) | 39.7529 | 08/02/2017 |
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Page 18 of 18 – SEC Filing
HSCP STRATEGIC
I, LP
Sale of Class A Common Stock | (3,900) | 39.7048 | 06/19/2017 |
Sale of Class A Common Stock | (3,883) | 39.4168 | 06/20/2017 |
Sale of Class A Common Stock | (3,031) | 39.4620 | 06/21/2017 |
Sale of Class A Common Stock | (8,768) | 39.0613 | 06/22/2017 |
Sale of Class A Common Stock | (7,429) | 39.2786 | 06/23/2017 |
Sale of Class A Common Stock | (4,241) | 38.8190 | 06/26/2017 |
Sale of Class A Common Stock | (4,114) | 38.9124 | 06/28/2017 |
Sale of Class A Common Stock | (900) | 38.7525 | 06/29/2017 |
Sale of Class A Common Stock | (590) | 38.6595 | 06/30/2017 |
Sale of Class A Common Stock | (310) | 38.6536 | 07/03/2017 |
Sale of Class A Common Stock | (4,673) | 38.7500 | 07/05/2017 |
Sale of Class A Common Stock | (1,271) | 38.6640 | 07/06/2017 |
Sale of Class A Common Stock | (4,377) | 39.3496 | 07/07/2017 |
Sale of Class A Common Stock | (3,770) | 39.3997 | 07/10/2017 |
Sale of Class A Common Stock | (3,591) | 39.5518 | 07/11/2017 |
Sale of Class A Common Stock | (6,232) | 39.8651 | 07/12/2017 |
Sale of Class A Common Stock | (5,002) | 39.7542 | 07/13/2017 |
Sale of Class A Common Stock | (5,469) | 39.9106 | 07/14/2017 |
Sale of Class A Common Stock | (6,479) | 39.9188 | 07/17/2017 |
Sale of Class A Common Stock | (1,792) | 39.7104 | 07/18/2017 |
Sale of Class A Common Stock | (2,367) | 39.9222 | 07/19/2017 |
Sale of Class A Common Stock | (3,929) | 40.1049 | 07/20/2017 |
Sale of Class A Common Stock | (2,001) | 39.8175 | 07/21/2017 |
Sale of Class A Common Stock | (6,216) | 39.7354 | 07/24/2017 |
Sale of Class A Common Stock | (5,051) | 40.2220 | 07/25/2017 |
Sale of Class A Common Stock | (3,314) | 40.6656 | 07/26/2017 |
Sale of Class A Common Stock | (2,560) | 40.4337 | 07/27/2017 |
Sale of Class A Common Stock | (4,609) | 40.1951 | 07/28/2017 |
Sale of Class A Common Stock | (3,868) | 40.2030 | 07/31/2017 |
Sale of Class A Common Stock | (6,922) | 40.2024 | 08/01/2017 |
Sale of Class A Common Stock | (2,908) | 39.7529 | 08/02/2017 |