Filing Details
- Accession Number:
- 0001013594-19-000670
- Form Type:
- 13D Filing
- Publication Date:
- 2019-11-04 14:23:10
- Filed By:
- Iszo Capital
- Company:
- Horizon Kinetics Holding Corp (OTC:SLGDD)
- Filing Date:
- 2019-11-04
- SEC Url:
- 13D Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
IsZo Capital | 0 | 950,197 | 0 | 950,197 | 950,197 | 7.6% |
IsZo Capital GP | 0 | 950,197 | 0 | 950,197 | 950,197 | 7.6% |
IsZo Capital Management | 0 | 950,197 | 0 | 950,197 | 950,197 | 7.6% |
Brian L. Sheehy | 0 | 950,197 | 0 | 950,197 | 950,197 | 7.6% |
Filing
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(RULE 13D-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE
13d-2(a)
(Amendment No. 1)*
Scott’s Liquid Gold-Inc.
(Name of Issuer)
Common Stock $.10 par value
(Title of Class of Securities)
810202101
(CUSIP Number)
Eric Wagner, Esq.
Kleinberg, Kaplan, Wolff & Cohen, P.C.
551 Fifth Avenue, New York, New York 10176
(212) 986-6000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
October 31, 2019
(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 which is the subject of this Schedule 13D, and is filing this schedule because of
Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [X].
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7
for other parties to whom copies are to be sent.
* 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 | NAMES OF REPORTING PERSONS IsZo Capital LP | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see Instructions) (a) ⌧ (b) ◻ | |||
3 | SEC USE ONLY | |||
4 | SOURCE OF FUNDS (see Instructions) WC | |||
5 | CHECK 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 0 | ||
8 | SHARED VOTING POWER 950,197 | |||
9 | SOLE DISPOSITIVE POWER 0 | |||
10 | SHARED DISPOSITIVE POWER 950,197 | |||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 950,197 | |||
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) 7.6% | |||
14 | TYPE OF REPORTING PERSON (see Instructions) PN |
1 | NAMES OF REPORTING PERSONS IsZo Capital GP LLC | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see Instructions) (a) ⌧ (b) ◻ | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (see Instructions) WC, AF | ||
5 | CHECK 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 0 | |
8 | SHARED VOTING POWER 950,197 | ||
9 | SOLE DISPOSITIVE POWER 0 | ||
10 | SHARED DISPOSITIVE POWER 950,197 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 950,197 | ||
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) 7.6% | ||
14 | TYPE OF REPORTING PERSON (see Instructions) OO |
1 | NAMES OF REPORTING PERSONS IsZo Capital Management LP | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see Instructions) (a) ⌧ (b) ◻ | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (see Instructions) WC, AF | ||
5 | CHECK 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 0 | |
8 | SHARED VOTING POWER 950,197 | ||
9 | SOLE DISPOSITIVE POWER 0 | ||
10 | SHARED DISPOSITIVE POWER 950,197 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 950,197 | ||
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) 7.6% | ||
14 | TYPE OF REPORTING PERSON (see Instructions) PN |
1 | NAMES OF REPORTING PERSONS Brian L. Sheehy | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see Instructions) (a) ⌧ (b) ◻ | ||
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS (see Instructions) WC, AF | ||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) ◻ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 | |
8 | SHARED VOTING POWER 950,197 | ||
9 | SOLE DISPOSITIVE POWER 0 | ||
10 | SHARED DISPOSITIVE POWER 950,197 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 950,197 | ||
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) 7.6% | ||
14 | TYPE OF REPORTING PERSON (see Instructions) IN. HC |
The following constitutes Amendment No. 1 to the Schedule 13D filed by the undersigned (“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 of the Schedule 13D is hereby amended and restated in its entirety as follows:
The Reporting Persons may be deemed to constitute a group pursuant to Rule 13d-5(b) as a result of entering into a Joint
Filing Agreement as described below and filed as an exhibit to this statement. If the Reporting Persons are deemed to have formed a group, the Reporting Persons could be deemed to beneficially own the shares collectively held by the group, which would
be an aggregate 950,197 shares or 7.6% of the Common Stock of the Company; however, each of the Reporting Persons disclaims beneficial ownership of the shares held by other members of the group except as expressly set forth herein.
The aggregate purchase price of the 950,197 shares of Common Stock beneficially owned by the Reporting Persons is
approximately $1,330,275.80, not including brokerage commissions, which was funded with partnership funds of the Fund. The Fund effects purchases of securities primarily through margin accounts maintained for it with prime brokers, which may extend
margin credit to it as and when required to open or carry positions in the margin accounts, subject to applicable federal margin regulations, stock exchange rules and the prime brokers’ credit policies.
Item 5. | Interest in Securities of the Issuer. |
Subsections (a) and (c) of Item 5 of the Schedule 13D are hereby amended and restated in their entirety as set forth
below:
(a) As of the date of this filing, the Reporting Persons may be deemed to beneficially own 950,197 shares (the “Shares”), or approximately 7.6% of the outstanding Common Stock of the Issuer. The aggregate
percentages of Common Stock reported owned by the Reporting Persons is based upon approximately 12,459,463 shares outstanding, which is the total number of common shares outstanding on August 6, 2019 as reported in the Issuer’s Form 10-Q filed with
the Securities and Exchange Commission on August 7, 2019.
(c) Except as set forth on Schedule 1 hereto, no transactions in the Common Stock were effected during the past 60 days by the Reporting Persons, or, to the best of the knowledge of the Reporting
Persons, by any of the other persons named in response to Item 2, if any.
After reasonable inquiry and to the best of its knowledge and belief, the undersigned each certifies that the information with respect to it set forth in this
statement is true, complete and correct.
Dated: November
4, 2019
| ISZO CAPITAL LP | |
| By: | IsZo Capital GP LLC, its General Partner |
| | |
| By: s/ Brian L. Sheehy | |
| | Name: Brian L. Sheehy Title: Managing Member |
| ISZO CAPITAL GP LLC | |
| | |
| By: | /s/ Brian L. Sheehy |
| | Name: Brian L. Sheehy |
| | Title: Managing Member |
| ISZO CAPITAL MANAGEMENT LP | |
| By: | IsZo Management Corp., its General Partner |
| | |
| | By: /s/ Brian L. Sheehy |
| | Name: Brian L. Sheehy Title: President |
| | |
| /s/ Brian L. Sheehy | ||
Brian L. Sheehy | |||
SCHEDULE 1
Transaction in Securities of the Issuer During the Past 60 Days
Date | Security | Amount of Shs. Bought/(Sold) | Approx. price ($) per Share |
10/31/2019 | Common Stock | (500,000) | $1.151 |
1 Not including brokerage commissions.