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 |
---|---|---|---|---|---|---|
Legion Partners | 732,087 | 732,087 | 3.68% | |||
Legion Partners | 33,020 | 33,020 | Less than 1% | |||
Legion Partners Special Opportunities | 268,427 | 268,427 | 1.35% | |||
Legion Partners | 1,033,534 | 1,033,534 | 5.19% | |||
Legion Partners Asset Management | 1,033,534 | 1,033,534 | 5.19% | |||
Legion Partners Holdings | 1,033,534 | 1,033,534 | 5.19% | |||
Christopher S. Kiper | 1,033,534 | 1,033,534 | 5.19% | |||
Raymond White | 1,033,534 | 1,033,534 | 5.19% | |||
4010 Partners | 35,000 | 35,000 | Less than 1% | |||
4010 General Partners | 35,000 | 35,000 | Less than 1% | |||
4010 Capital | 35,000 | 35,000 | Less than 1% | |||
Steven E. Litt | 35,000 | 35,000 | Less than 1% |
Page 1 of 22 – 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. 1)1
Genesco Inc.
(Name
of Issuer)
Common Stock, $1.00 par value per share
(Title of Class of Securities)
371532102
(CUSIP Number)
CHRISTOPHER Legion 9401 Wilshire Blvd, Suite 705 Beverly Hills, CA 90212 (310) | STEVEN 4010 48 Brookridge Greenwich, 646-863-8024 |
STEVE
WOLOSKY, 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)
January 19, 2018
(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).
1 |
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Page 2 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Legion Partners, L.P. I | |||||||||||||||||||
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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 732,087 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
732,087 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
732,087 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
3.68% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
2 |
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Page 3 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Legion Partners, L.P. II | |||||||||||||||||||
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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 33,020 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
33,020 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
33,020 | |||||||||||||||||||
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 |
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Page 4 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Legion Partners Special Opportunities, L.P. VIII | |||||||||||||||||||
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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 268,427 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
268,427 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
268,427 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
1.35% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
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Page 5 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Legion Partners, 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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,033,534 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
5.19% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
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Page 6 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Legion Partners Asset Management, 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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,033,534 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
5.19% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IA |
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Page 7 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Legion Partners Holdings, 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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,033,534 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
5.19% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
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Page 8 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Christopher S. Kiper | |||||||||||||||||||
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 | ||||||||||||||||||
USA | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,033,534 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
5.19% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IN |
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Page 9 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Raymond White | |||||||||||||||||||
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 | ||||||||||||||||||
USA | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,033,534 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,033,534 | |||||||||||||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||||||||||
5.19% | |||||||||||||||||||
14 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IN |
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Page 10 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
4010 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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 35,000 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
35,000 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
35,000 | |||||||||||||||||||
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 | ||||||||||||||||||
PN |
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Page 11 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
4010 General Partners, LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
AF | |||||||||||||||||||
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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 35,000 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
35,000 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
35,000 | |||||||||||||||||||
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 | ||||||||||||||||||
OO |
11 |
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Page 12 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
4010 Capital, LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
AF | |||||||||||||||||||
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 | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 35,000 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
35,000 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
35,000 | |||||||||||||||||||
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 | ||||||||||||||||||
OO |
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Page 13 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Steven E. Litt | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | SOURCE OF FUNDS | ||||||||||||||||||
AF | |||||||||||||||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ☐ | |||||||||||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
United States of America | |||||||||||||||||||
NUMBER OF | 7 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | – 0 – | ||||||||||||||||||
OWNED BY | 8 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 35,000 | ||||||||||||||||||
PERSON WITH | 9 | SOLE DISPOSITIVE POWER | |||||||||||||||||
– 0 – | |||||||||||||||||||
10 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
35,000 | |||||||||||||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
35,000 | |||||||||||||||||||
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 |
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Page 14 of 22 – SEC Filing
The following constitutes
Amendment No. 1 to the Schedule 13D filed by the undersigned (the “Amendment No. 1”). This Amendment No. 1 amends the
Schedule 13D as specifically set forth herein.
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 3 is hereby
amended and restated in its entirety as follows:
The Shares purchased
by each of Legion Partners I, Legion Partners II, Legion Partners Special VIII and 4010 Partners 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 in Schedule A, which is incorporated herein by reference.
The aggregate purchase
price of the 732,087 Shares owned directly by Legion Partners I is approximately $21,149,941, including brokerage commissions.
The aggregate purchase price of the 33,020 Shares owned directly by Legion Partners II is approximately $937,435, including brokerage
commissions. The aggregate purchase price of the 268,427 Shares owned directly by Legion Partners Special VIII is approximately
$8,440,323, including brokerage commissions. The aggregate purchase price of the 35,000 Shares beneficially owned by 4010 Partners
is approximately $1,043,129, including brokerage commissions.
Item 5. | Interest in Securities of the Issuer. |
Item 5(a)-(c) is
hereby amended and restated in its entirety as follows:
(a) The
aggregate percentage of Shares reported owned by each person named herein is based upon 19,913,201 Shares outstanding as of November
24, 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 December 7, 2017.
A. | Legion Partners I |
(a) | As of the close of business on January 23, 2018, Legion Partners I beneficially owned 732,087 Shares. |
Percentage: Approximately
3.68%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 732,087 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 732,087 |
(c) | The transactions in the Shares by Legion Partners I since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
B. | Legion Partners II |
(a) | As of the close of business on January 23, 2018, Legion Partners I beneficially owned 33,020 Shares. |
Percentage: Less than
1.0%
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Page 15 of 22 – SEC Filing
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 33,020 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 33,020 |
(c) | The transactions in the Shares by Legion Partners II since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
C. | Legion Partners Special VIII |
(a) | As of the close of business on January 23, 2018, Legion Partners Special VIII beneficially owned 268,427 Shares. |
Percentage: Approximately
1.35%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 268,427 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 268,427 |
(c) | The transactions in the Shares by Legion Partners Special VIII since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
D. | Legion Partners, LLC |
(a) | As the general partner of each of Legion Partners I, Legion Partners II and Legion Partners Special VIII, Legion Partners, LLC may be deemed the beneficial owner of the (i) 732,087 Shares owned by Legion Partners I, (ii) 33,020 Shares owned by Legion Partners II, and (iii) 268,427 Shares owned by Legion Partners Special VIII. |
Percentage: Approximately
5.19%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,033,534 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,033,534 |
(c) | Legion Partners, LLC has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares by each of Legion Partners I, Legion Partners II and Legion Partners Special VIII since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
E. | Legion Partners Asset Management |
(a) | Legion Partners Asset Management, as the investment advisor of each of Legion Partners I, Legion Partners II and Legion Partners Special VIII, may be deemed the beneficial owner of the (i) 732,087 Shares owned by Legion Partners I, (ii) 33,020 Shares owned by Legion Partners II, and (iii) 268,427 Shares owned by Legion Partners Special VIII. |
Percentage: Approximately
5.19%
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Page 16 of 22 – SEC Filing
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,033,534 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,033,534 |
(c) | Legion Partners Asset Management has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares by each of Legion Partners I, Legion Partners II and Legion Partners Special VIII since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
F. | Legion Partners Holdings |
(a) | Legion Partners Holdings, as the sole member of Legion Partners Asset Management and sole member of Legion Partners, LLC, may be deemed the beneficial owner of the (i) 732,087 Shares owned by Legion Partners I, (ii) 33,020 Shares owned by Legion Partners II, and (iii) 268,427 Shares owned by Legion Partners Special VIII. |
Percentage: Approximately
5.19%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,033,534 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,033,534 |
(c) | Legion Partners Holdings has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares by each of Legion Partners I, Legion Partners II and Legion Partners Special VIII since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
G. | Messrs. Kiper and White |
(a) | Each of Messrs. Kiper and White, as a managing director of Legion Partners Asset Management and a managing member of Legion Partners Holdings, may be deemed the beneficial owner of the (i) 732,087 Shares owned by Legion Partners I, (ii) 33,020 Shares owned by Legion Partners II, and (iii) 268,427 Shares owned by Legion Partners Special VIII. |
Percentage: Approximately
5.19%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,033,534 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,033,534 |
(c) | None |
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H. | 4010 Partners |
(a) | As of the close of business on January 23, 2018, 4010 Partners beneficially owned 35,000 Shares. |
Percentage: Less than
1%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 35,000 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 35,000 |
(c) | The transactions in the Shares by 4010 Partners since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
I. | 4010 General Partner |
(a) | As of the general partner of 4010 Partners, 4010 General Partner may be deemed to beneficially own the 35,000 Shares beneficially owned by 4010 Partners. |
Percentage: Less than
1%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 35,000 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 35,000 |
(c) | 4010 General Partner has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares by 4010 Partners since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
J. | 4010 Capital |
(a) | As of the investment manager to 4010 Partners, 4010 Capital may be deemed to beneficially own the 35,000 Shares beneficially owned by 4010 Partners. |
Percentage: Less than
1%
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 35,000 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 35,000 |
(c) | 4010 Capital has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares by 4010 Partners since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
K. | Mr. Litt |
(a) | As of the managing member of 4010 General Partner, Mr. Litt may be deemed to beneficially own the 35,000 Shares beneficially owned by 4010 Partners. |
Percentage: Less than
1%
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Page 18 of 22 – SEC Filing
(b) | 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 35,000 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 35,000 |
(c) | Mr. Litt has not entered into any transactions in the Shares since the filing of the Schedule 13D. The transactions in the Shares by 4010 Partners since the filing of the Schedule 13D are set forth in Schedule A and are incorporated herein by reference. |
The filing of this
Schedule 13D shall not be construed as an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities
Exchange Act of 1934, as amended, the beneficial owners of any of the securities reported herein. Each of the Reporting Persons
specifically disclaims beneficial ownership of the securities reported herein that are not directly owned by such Reporting Person,
except to the extent of their 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:
On January 19,
2018, put options sold short by Legion Partners I referencing an aggregate of 231,400 Shares, which had an exercise price of $25.00
per Share, expired unexercised, put options sold short by Legion Partners I referencing an aggregate of 124,300 Shares, which had
an exercise price of $30.00 per Share, expired unexercised, put options sold short by Legion Partners I referencing an aggregate
of 21,700 Shares, which had an exercise price of $35.00 per Share, expired unexercised, put options sold short by Legion Partners
II referencing an aggregate of 10,600 Shares, which had an exercise price of $25.00 per Share, expired unexercised, put options
sold short by Legion Partners II referencing an aggregate of 6,100 Shares, which had an exercise price of $30.00 per Share, expired
unexercised, put options sold short by Legion Partners II referencing an aggregate of 400 Shares, which had an exercise price of
$35.00 per Share, expired unexercised, and put options referencing an aggregate of 18,400 Shares sold short by Legion Partners
Special VIII, which had an exercise price of $35.00 per Share, expired unexercised, as further detailed on Schedule A hereto, which
is incorporated by reference herein.
Legion Partners I
has sold short in over-the-counter market American-style put options referencing an aggregate of 103,600 Shares, which have an
exercise price of $35.00 and expire on March 16, 2018, as further detailed on Schedule A hereto, which is incorporated by reference
herein.
Legion Partners II
has sold short in over-the-counter market American-style put options referencing an aggregate of 4,100 Shares, which have an exercise
price of $35.00 and expire on March 16, 2018, as further detailed on Schedule A hereto, which is incorporated by reference herein.
Legion Partners Special
VIII has sold short in over-the-counter market American-style put options referencing an aggregate of 11,800 Shares, which have
an exercise price of $35.00 and expire on March 16, 2018, as further detailed on Schedule A hereto, which is incorporated by reference
herein.
On January 19, 2018,
4010 Partners exercised over-the-counter market American-style call options referencing an aggregate of 16,000 Shares, as further
detailed on Schedule A hereto, which is incorporated by reference herein.
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Page 19 of 22 – SEC Filing
SIGNATURES
After reasonable inquiry
and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true,
complete and correct.
Dated: January 24, 2018
Legion Partners, L.P. I | |||
By: | Legion Partners Asset Management, LLC | ||
Investment Advisor | |||
By: | /s/ Christopher S. Kiper | ||
Name: | Christopher S. Kiper | ||
Title: | Managing Director |
Legion Partners, L.P. II | |||
By: | Legion Partners Asset Management, LLC | ||
Investment Advisor | |||
By: | /s/ Christopher S. Kiper | ||
Name: | Christopher S. Kiper | ||
Title: | Managing Director |
Legion Partners Special Opportunities, L.P. VIII | |||
By: | Legion Partners Asset Management, LLC | ||
Investment Advisor | |||
By: | /s/ Christopher S. Kiper | ||
Name: | Christopher S. Kiper | ||
Title: | Managing Director |
Legion Partners, LLC | |||
By: | Legion Partners Holdings, LLC | ||
Managing Member | |||
By: | /s/ Christopher S. Kiper | ||
Name: | Christopher S. Kiper | ||
Title: | Managing Member |
Legion Partners Asset Management, LLC | |||
By: | /s/ Christopher S. Kiper | ||
Name: | Christopher S. Kiper | ||
Title: | Managing Director |
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Page 20 of 22 – SEC Filing
Legion Partners Holdings, LLC | |||
By: | /s/ Christopher S. Kiper | ||
Name: | Christopher S. Kiper | ||
Title: | Managing Member |
/s/ Christopher S. Kiper | |
Christopher S. Kiper |
/s/ Raymond White | |
Raymond White |
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Page 21 of 22 – SEC Filing
4010 Partners, LP | |||
By: | 4010 General Partner, LLC, its General Partner | ||
By: | /s/ Steven E. Litt | ||
Name: | Steven E. Litt | ||
Title: | Managing Member |
4010 General Partner, LLC | |||
By: | /s/ Steven E. Litt | ||
Name: | Steven E. Litt | ||
Title: | Managing Member |
4010 Capital, LLC | |||
By: | /s/ Steven E. Litt | ||
Name: | Steven E. Litt | ||
Title: | Managing Member |
/s/ Steven E. Litt | |
Steven E. Litt |
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Page 22 of 22 – SEC Filing
SCHEDULE A
Transaction in the Shares Since the Filing
of the Schedule 13D
Nature of Transaction | Date of Purchase/Sale | Securities Purchased/(Sold) | Price ($) |
Legion
Partners, L.P. I
Sale of March 2017 Put Option ($35.00)1 | 01/22/2018 | (137) | 2.4900 |
Sale of March 2017 Put Option ($35.00)1 | 01/23/2018 | (899) | 2.6500 |
Legion
Partners, L.P. II
Sale of March 2017 Put Option ($35.00)1 | 01/22/2018 | (5) | 2.4900 |
Sale of March 2017 Put Option ($35.00)1 | 01/23/2018 | (36) | 2.6500 |
Legion
Partners SPECIAL OPPORTUNITIES, L.P. VIII
Sale of March 2017 Put Option ($35.00)1 | 01/22/2018 | (16) | 2.4900 |
Sale of March 2017 Put Option ($35.00)1 | 01/23/2018 | (102) | 2.6500 |
4010
Partners, LP
Sale of January 2018 Call Option ($35.00) 2 | 01/17/2018 | (30) | .9900 |
Purchase of Common Stock3 | 01/19/2018 | 10,000 | 35.0000 |
Purchase of Common Stock3 | 01/19/2018 | 4,000 | 30.0000 |
Purchase of Common Stock3 | 01/19/2018 | 2,000 | 20.0000 |
Sale of Common Stock | 01/22/2018 | (1,500) | 36.5000 |
____________________
1 Represents American-style put option sold short in
the over-the-counter market with an expiration date of March 16, 2018.
2 Represents American-style call option sold in the over-the-counter market with an expiration date of January 19, 2018.
3 Represents exercise of American-style call option.