Page 3 of 8 – SEC Filing CUSIP No. 439104100 Page 3 of 8 Pages
1 NAME OF REPORTING PERSON
J. Carlo Cannell
I.R.S. Identification Nos. of above persons (entities only)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☐
(b) ☐
3 SEC USE ONLY
4 SOURCE OF FUNDS
(see instructions)
WC/OO
5 CHECK 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*
332,225
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER*
332,225
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
332,225
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐
(see instructions)
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
3.81%*
14 TYPE OF REPORTING PERSON
IN
* Based on information set forth on the Form 10-Q of Hooper Holmes, Inc.,
(the “Company”) as filed with the Securities and Exchange Commission on
August 15, 2016, there were 8,714,636 shares of Common Stock (on post split basis) par value $0.04
per share (the “Shares”), of the Company issued and outstanding as of
July 31, 2016.
As of September 15, 2016 (the “Reporting Date”),Tristan Partners, L.P. (“Tristan”),
the Tristan Offshore Fund Ltd. (“Tristan Offshore”) and sundry separately managed accounts, over
which J. Carlo Cannell has investment discretion (the “Cannell SMAs” and collectively
with Tristan and Tristan Offshore, the “Investment Vehicles”),
held in the aggregate 332,225 Shares.
| CUSIP No. 439104100 | Page 3 of 8 Pages |
| 1 | NAME OF REPORTING PERSON J. Carlo Cannell I.R.S. Identification Nos. of above persons (entities only) | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐ | |||
| 3 | SEC USE ONLY | |||
| 4 | SOURCE OF FUNDS (see instructions) WC/OO | |||
| 5 | CHECK 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* 332,225 | ||
| 8 | SHARED VOTING POWER 0 | |||
| 9 | SOLE DISPOSITIVE POWER* 332,225 | |||
| 10 | SHARED DISPOSITIVE POWER 0 | |||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 332,225 | |||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ☐ (see instructions) | |||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 3.81%* | |||
| 14 | TYPE OF REPORTING PERSON IN | |||
* Based on information set forth on the Form 10-Q of Hooper Holmes, Inc.,
(the “Company”) as filed with the Securities and Exchange Commission on
August 15, 2016, there were 8,714,636 shares of Common Stock (on post split basis) par value $0.04
per share (the “Shares”), of the Company issued and outstanding as of
July 31, 2016.
As of September 15, 2016 (the “Reporting Date”),Tristan Partners, L.P. (“Tristan”),
the Tristan Offshore Fund Ltd. (“Tristan Offshore”) and sundry separately managed accounts, over
which J. Carlo Cannell has investment discretion (the “Cannell SMAs” and collectively
with Tristan and Tristan Offshore, the “Investment Vehicles”),
held in the aggregate 332,225 Shares.
