Page 13 of 18 – SEC Filing
As of the date hereof, SRP beneficially owned 203,828 Shares, constituting approximately 0.69% of the shares of Common Stock outstanding. By virtue of their respective relationships with SRP discussed in further detail in Item 2, each of SRC Management, SRF Management and Mr. Waxman may be deemed to beneficially own the Shares owned directly by SRP. SRC Management, SRF Management and Spencer Waxman disclaim beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.
As of the date hereof, SRF Management serves as the sub-advisor for two separate funds that are not affiliates of the Reporting Persons, which funds collectively own an aggregate of 123,731 Shares, constituting approximately 0.42% of the shares of Common Stock outstanding. By virtue of their respective relationships with such funds discussed in greater detail in Item 2, each of SRF Management and Mr. Waxman may be deemed to beneficially own the Shares directly owned by such funds. SRF Management and Spencer Waxman disclaim beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.
As of the date hereof, SRMF beneficially owned 109,365 Shares, constituting approximately 0.37% of the shares of Common Stock outstanding. By virtue of their respective relationships with SRMF discussed in further detail in Item 2, each of SRG Management and Mr. Waxman may be deemed to beneficially own the Shares owned directly by SRMF. SRG Management and Spencer Waxman disclaim beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.
As of the date hereof, DMF beneficially owned 1,357,095 Shares, constituting approximately 4.61% of the shares of Common Stock outstanding. By virtue of their respective relationships with DMF discussed in further detail in Item 2, each of DF Management, DG Management and Mr. Waxman may be deemed to beneficially own the Shares owned directly by DMF. DG Management and Spencer Waxman disclaim beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.
(b) Each of SRP, SRC Management, SRF Management and Mr. Waxman share the power to vote or direct the vote of, and to dispose or direct the disposition of, the Common Stock beneficially owned by SRP. Each of SRF Management and Mr. Waxman share the power to vote or direct the vote of, and to dispose or direct the disposition of, any Shares directly held by the funds for whom SRF Management serves as sub-advisor. Each of SRMF, SRC Management, SRG Management and Mr. Waxman share the power to vote or direct the vote of, and to dispose or direct the disposition of, the Common Stock beneficially owned by SRMF. Each of DMF, DF Management, DG Management and Mr. Waxman share the power to vote or direct the vote of, and to dispose or direct the disposition of, the Common Stock beneficially owned by DMF. Information regarding each of SRC Management, SRF Management, SRG Management, DMF Management and Spencer Waxman is set forth in Item 2 of this Schedule 13D and is expressly incorporated by reference herein.
(c) The transactions effected by the Reporting Persons during the past 60 days are set forth on Schedule 1 attached hereto.
(d) Except as set forth in this Item 5, 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, except for the Shares held by third parties for whom SRF Management serves as sub-advisor.
(e) Not applicable.
| Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
On the date hereof, the Reporting Persons entered into a Joint Filing Agreement in which the parties agreed to the joint filing on behalf of each of them of statements on Schedule 13D, and any amendments thereto, with respect to the securities of the Issuer to the extent required by applicable law. The Joint Filing Agreement is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Except as described above in this Item 6, none of the Reporting Persons has any contracts, arrangements, understandings or relationships with respect to the securities of the Issuer.
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