
solarseven/Shutterstock.com
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
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 | 4,597,000 | 4,597,000 | 4,597,000 | 9.6% | ||
HARVEST CAPITAL STRATEGIES | 4,527,249 | 4,527,249 | 4,527,249 | 9.4% | ||
HARVEST SMALL CAP PARTNERS MASTER, LTD | 1,968,324 | 1,968,324 | 1,968,324 | 4.1% | ||
HARVEST SMALL CAP PARTNERS | 1,481,676 | 1,481,676 | 1,481,676 | 3.1% | ||
HSCP STRATEGIC I | 1,000,000 | 1,000,000 | 1,000,000 | 2.1% | ||
HARVEST FINANCIAL PARTNERS | 51,825 | 51,825 | 51,825 | Less than 1% | ||
DONALD DESTINO | 77,249 | 77,249 | 77,249 | Less than 1% | ||
CRAIG BAUM | 7,500 | 7,500 | 7,500 | Less than 1% | ||
SATURNINO FANLO | 4,000 | 4,000 | 4,000 | Less than 1% | ||
GEORGE W. GRESHAM | 4,050 | 4,050 | 4,050 | 0% | ||
PHILIP B. LIVINGSTON | Less than 1% |
Follow Joseph A. Jolson's Harvest Capital Strategies
Page 1 of 22 – SEC Filing
OLSHAN FROME WOLOSKY LLP
(Name, Address and Telephone Number of Person
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 2 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON JEFFREY B. OSHER | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 4,597,000 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 4,597,000 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,597,000 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.6% | ||
14 | TYPE OF REPORTING PERSON IN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 3 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON HARVEST CAPITAL STRATEGIES LLC | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS WC, 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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 4,527,249 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 4,527,249 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,527,249 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.4% | ||
14 | TYPE OF REPORTING PERSON IA |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 4 of 22 – 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) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,968,324 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 1,968,324 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,968,324 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.1% | ||
14 | TYPE OF REPORTING PERSON CO |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 5 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON HARVEST SMALL CAP PARTNERS, LP | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,481,676 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 1,481,676 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,481,676 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.1% | ||
14 | TYPE OF REPORTING PERSON PN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 6 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON HSCP STRATEGIC I, LP | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,000,000 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 1,000,000 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,000,000 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.1% | ||
14 | TYPE OF REPORTING PERSON PN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 7 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON HARVEST FINANCIAL PARTNERS, LP | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 51,825 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 51,825 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 51,825 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON PN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 8 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON DONALD DESTINO | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 77,249 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 77,249 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 77,249 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON IN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 9 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON CRAIG BAUM | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 7,500 | |
8 | SHARED VOTING POWER – 0 – | ||
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 | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON IN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 10 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON SATURNINO FANLO | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 4,000 | |
8 | SHARED VOTING POWER – 0 – | ||
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 | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON IN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 11 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON GEORGE W. GRESHAM | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS | ||
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER – 0 – | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER – 0 – | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON – 0 – | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% | ||
14 | TYPE OF REPORTING PERSON IN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 12 of 22 – SEC Filing
1 | NAME OF REPORTING PERSON PHILIP B. LIVINGSTON | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 4,050 | |
8 | SHARED VOTING POWER – 0 – | ||
9 | SOLE DISPOSITIVE POWER 4,050 | ||
10 | SHARED DISPOSITIVE POWER – 0 – | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,050 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON IN |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 13 of 22 – SEC Filing
Item 2. | Identity and Background. |
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 4. | Purpose of Transaction. |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 14 of 22 – SEC Filing
Item 5. | Interest in Securities of the Issuer. |
A. | Mr. Osher |
| (a) | As of the close of business on May 23, 2016, 147,000 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) 1,968,324 Shares owned by Harvest Small Cap Master, (ii) 1,481,676 Shares owned by Harvest Small Cap, and (iii) 1,000,000 Shares owned by HSCP Strategic. |
| (b) | 1. Sole power to vote or direct vote: 4,597,000 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 4,597,000 |
| 4. Shared power to dispose or direct the disposition: 0 |
| (c) | Mr. Osher has not entered into any transactions in the Shares since the filing of Amendment No. 3 to the Schedule 13D. The transactions in the Shares on behalf of each of Harvest Small Cap Master and Harvest Small Cap since the filing of Amendment No. 3 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
B. | Harvest Capital |
| (a) | As of the close of business on May 23, 2016, 25,424 Shares were held in the Harvest Capital Accounts. Harvest Capital, as the investment manager of Harvest Small Cap Master and the investment adviser to the Harvest Capital Accounts and as the general partner of each of Harvest Small Cap, HSCP Strategic and Harvest Financial, may be deemed the beneficial owner of the (i) 1,968,324 Shares owned by Harvest Small Cap Master, (ii) 1,481,676 Shares owned by Harvest Small Cap, (iii) 1,000,000 Shares owned by HSCP Strategic, (iv) 51,825 Shares owned by Harvest Financial, and (v) 25,424 Shares held in the Harvest Capital Accounts. |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 15 of 22 – SEC Filing
| (b) | 1. Sole power to vote or direct vote: 4,527,249 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 4,527,249 |
| 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. 3 to the Schedule 13D. The transactions in the Shares on behalf of each of Harvest Small Cap Master, Harvest Small Cap, and Harvest Financial and through the Harvest Capital Accounts since the filing of Amendment No. 3 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
C. | Harvest Small Cap Master |
| (a) | As of the close of business on May 23, 2016, Harvest Small Cap Master beneficially owned 1,968,324 Shares. |
| (b) | 1. Sole power to vote or direct vote: 1,968,324 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 1,968,324 |
| 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. 3 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
D. | Harvest Small Cap |
| (a) | As of the close of business on May 23, 2016, Harvest Small Cap beneficially owned 1,481,676 Shares. |
| (b) | 1. Sole power to vote or direct vote: 1,481,676 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 1,481,676 |
| 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. 3 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 16 of 22 – SEC Filing
E. | HSCP Strategic |
| (a) | As of the close of business on May 23, 2016, HSCP Strategic beneficially owned 1,000,000 Shares. |
| (b) | 1. Sole power to vote or direct vote: 1,000,000 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 1,000,000 |
| 4. Shared power to dispose or direct the disposition: 0 |
| (c) | HSCP Strategic has not entered into any transactions in the Shares since the filing of Amendment No. 3 to the Schedule 13D. |
F. | Harvest Financial |
| (a) | As of the close of business on May 23, 2016, Harvest Financial beneficially owned 51,825 Shares. |
| (b) | 1. Sole power to vote or direct vote: 51,825 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 51,825 |
| 4. Shared power to dispose or direct the disposition: 0 |
| (c) | The transactions in the Shares by Harvest Financial since the filing of Amendment No. 3 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
G. | Mr. Destino |
| (a) | Mr. Destino, as the portfolio manager of Harvest Financial and the manager of the Harvest Capital Accounts and as a managing director of Harvest Capital, may be deemed the beneficial owner of the (i) 51,825 Shares owned by Harvest Financial and (ii) 25,424 Shares held in the Harvest Capital Accounts. |
| (b) | 1. Sole power to vote or direct vote: 77,249 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 77,249 |
| 4. Shared power to dispose or direct the disposition: 0 |
| (c) | Mr. Destino has not entered into any transactions in the Shares since the filing of Amendment No. 3 to the Schedule 13D. The transactions in the Shares on behalf of Harvest Financial and through the Harvest Capital Accounts since the filing of Amendment No. 3 to the Schedule 13D are set forth in Schedule B and are incorporated herein by reference. |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 17 of 22 – SEC Filing
H. | Mr. Baum |
| (a) | As of the close of business on May 23, 2016, Mr. Baum directly owned 7,500 Shares. |
| (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 since the filing of Amendment No. 3 to the Schedule 13D. |
I. | Mr. Fanlo |
| (a) | As of the close of business on May 23, 2016, Mr. Fanlo directly owned 4,000 Shares. |
| (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) | Mr. Fanlo has not entered into any transactions in the Shares since the filing of Amendment No. 3 to the Schedule 13D. |
J. | Mr. Gresham |
| (a) | As of the close of business on May 23, 2016, Mr. Gresham did not own any Shares. |
| (b) | 1. Sole power to vote or direct vote: 0 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 0 |
| 4. Shared power to dispose or direct the disposition: 0 |
| (c) | Mr. Gresham has not entered into any transactions in the Shares since the filing of Amendment No. 3 to the Schedule 13D. |
K. | Mr. Livingston |
| (a) | As of the close of business on May 23, 2016, Mr. Livingston directly owned 4,050 Shares. |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 18 of 22 – SEC Filing
| (b) | 1. Sole power to vote or direct vote: 4,050 |
| 2. Shared power to vote or direct vote: 0 |
| 3. Sole power to dispose or direct the disposition: 4,050 |
| 4. Shared power to dispose or direct the disposition: 0 |
| (c) | Mr. Livingston has not entered into any transactions in the Shares since the filing of Amendment No. 3 to the Schedule 13D. |
Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
Item 7. | Material to be Filed as Exhibits. |
| 99.1 | Joint Filing Agreement by and among Harvest Small Cap Partners Masters, Ltd, Harvest Small Cap Partners, LP, HSCP Strategic I, LP, Harvest Financial Partners, LP, Harvest Capital Strategies LLC, Jeffrey B. Osher, Donald Destino, and Craig Baum, dated May 23, 2016. |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 19 of 22 – SEC Filing
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 General Partner | ||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
HSCP Strategic I, LP | |||
By: | Harvest Capital Strategies LLC General Partner | ||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
Harvest Financial Partners, LP | |||
By: | Harvest Capital Strategies LLC General Partner | ||
By: | /s/ Donald Destino | ||
Name: | Donald Destino | ||
Title: | Managing Director |
Harvest Capital Strategies LLC | |||
By: | /s/ Jeffrey B. Osher | ||
Name: | Jeffrey B. Osher | ||
Title: | Managing Director |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 20 of 22 – SEC Filing
/s/ Jeffrey B. Osher | |
JEFFREY B. OSHER Individually and as attorney-in-fact for Saturnino Fanlo, George W. Gresham, and Philip B. Livingston |
/s/ Donald Destino | |
DONALD DESTINO |
/s/ Craig Baum | |
CRAIG BAUM |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 21 of 22 – SEC Filing
Nature of the Transaction | Amount of Securities Purchased/(Sold) | Price ($) | Date of Purchase/Sale |
HARVEST SMALL CAP PARTNERS MASTER, LTD. | |||
Exercise of April 2016 Put Option ($30.00 Strike Price) | (228,300)1 | $30.0000 | 04/15/2016 |
Purchase to Cover Short Sale of Class A Common Stock | 16,042 | $21.6749 | 04/21/2016 |
Purchase to Cover Short Sale of Class A Common Stock | 17,189 | $22.1904 | 05/04/2016 |
Short Sale of Class A Common Stock | (570) | $22.0100 | 05/04/2016 |
Short Sale of Class A Common Stock | (54,142) | $22.4905 | 05/05/2016 |
Short Sale of Class A Common Stock | (21,514) | $22.9193 | 05/06/2016 |
Purchase to Cover Short Sale of Class A Common Stock | 14,279 | $23.4988 | 05/12/2016 |
HARVEST SMALL CAP PARTNERS, LP | |||
Exercise of April 2016 Put Option ($30.00 Strike Price) | (171,700)1 | $30.0000 | 04/15/2016 |
Purchase to Cover Short Sale of Class A Common Stock | 12,443 | $21.6749 | 04/21/2016 |
Purchase to Cover Short Sale of Class A Common Stock | 12,811 | $22.1905 | 05/04/2016 |
Short Sale of Class A Common Stock | (430) | $22.0100 | 05/04/2016 |
Short Sale of Class A Common Stock | (40,673) | $22.4905 | 05/05/2016 |
Short Sale of Class A Common Stock | (16,156) | $22.9193 | 05/06/2016 |
Purchase to Cover Short Sale of Class A Common Stock | 10,721 | $23.4988 | 05/12/2016 |
Follow Green Dot Corp (NYSE:GDOT)
Follow Green Dot Corp (NYSE:GDOT)
Page 22 of 22 – SEC Filing
HARVEST FINANCIAL PARTNERS, LP | |||
Purchase of Class A Common Stock | 1,246 | $21.7665 | 04/14/2016 |
Purchase of Class A Common Stock | 2,179 | $21.5546 | 04/15/2016 |
Purchase of Class A Common Stock | 934 | $21.4520 | 04/18/2016 |
HARVEST CAPITAL STRATEGIES LLC (Through the Harvest Capital Accounts) | |||
Purchase of Class A Common Stock | 754 | $21.7665 | 04/14/2016 |
Sale of Class A Common Stock | (2,500) | $21.7516 | 04/14/2016 |
Purchase of Class A Common Stock | 1,321 | $21.5546 | 04/15/2016 |
Sale of Class A Common Stock | (8,000) | $21.5818 | 04/15/2016 |
Purchase of Class A Common Stock | 566 | $21.4520 | 04/18/2016 |
Sale of Class A Common Stock | (3,000) | $21.4800 | 04/18/2016 |
Sale of Class A Common Stock | (25,891) | $21.5907 | 04/20/2016 |