Filing Details
- Accession Number:
- 0000919574-21-005490
- Form Type:
- 13D Filing
- Publication Date:
- 2021-08-18 20:00:00
- Filed By:
- Harbert Discovery Fund, Lp
- Company:
- Streamline Health Solutions Inc. (NASDAQ:STRM)
- Filing Date:
- 2021-08-19
- SEC Url:
- 13D Filing
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 |
|---|---|---|---|---|---|---|
| Harbert Discovery Fund | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
| Harbert Discovery Fund GP | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
| Harbert Fund Advisors, Inc | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
| Harbert Management Corporation | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
| Jack Bryant | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
| Kenan Lucas | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
| Raymond Harbert | 0 | 3,966,637 | 0 | 3,966,637 | 3,966,637 | 8.4% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 6)*
| Streamline Health Solutions Inc. |
| (Name of Issuer) |
| Common Stock, $0.01 par value |
| (Title of Class of Securities) |
| 86323X106 |
| (CUSIP Number) |
| Kevin A. McGovern, Esq. 2100 Third Avenue North Suite 600 Birmingham, AL 35203 Telephone Number 205-987-5500 |
| (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
| August 16, 2021 |
| (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 ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [_]. |
| * 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. | |
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Harbert Discovery Fund, 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| Delaware | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| PN | |||
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Harbert Discovery Fund GP, 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| Delaware | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| OO | |||
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Harbert Fund Advisors, Inc. | |||
| 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| Alabama | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| IA, CO | |||
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Harbert Management Corporation | |||
| 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| Alabama | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| CO | |||
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Jack Bryant | |||
| 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| United States of America | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| IN | |||
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Kenan Lucas | |||
| 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| United States of America | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| IN | |||
CUSIP No. | 86323X106 |
| 1. | NAME OF REPORTING PERSONS | ||
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||
| Raymond Harbert | |||
| 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 ITEMS 2(d) OR 2(e) | [_] | |
| 6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
| United States of America | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 7. | SOLE VOTING POWER | ||
| 0 | |||
| 8. | SHARED VOTING POWER | ||
| 3,966,637 | |||
| 9. | SOLE DISPOSITIVE POWER | ||
| 0 | |||
| 10. | SHARED DISPOSITIVE POWER | ||
| 3,966,637 | |||
| 11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
| 3,966,637 | |||
| 12. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | [_] | |
| 13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||
| 8.4% | |||
| 14. | TYPE OF REPORTING PERSON | ||
| IN | |||
| CUSIP No. | 86323X106 |
| Item 1. | Security and Issuer. | ||
| The name of the issuer is Streamline Health Solutions, Inc., a Delaware corporation (the "Issuer"). The address of the Issuer's principal executive offices is 11800 Amber Park Drive, Suite 125, Alpharetta, GA 30009, United States of America. This Schedule 13D relates to the Issuer's common stock, $0.01 par value (the "Shares"). | |||
| Item 2. | Identity and Background. | ||
| (a) | This Schedule 13D is being filed jointly by:
(i) Harbert Discovery Fund, LP, a Delaware limited partnership (the “Fund”),
(ii) Harbert Discovery Fund GP, LLC, a Delaware limited liability company (the “Fund GP”),
(iii) Harbert Fund Advisors, Inc., an Alabama corporation (“HFA”),
(iv) Harbert Management Corporation, an Alabama corporation (“HMC”),
(v) Jack Bryant, a United States citizen,
(vi) Kenan Lucas, a United States citizen, and
(vii) Raymond Harbert, a United States citizen.
Each of the Fund, the Fund GP, HFA, HMC, Mr. Bryant, Mr. Lucas and Mr. Harbert are referred to as a “Reporting Person” and collectively as the “Reporting Persons.” Each of the Reporting Persons is party to that certain Joint Filing Agreement attached hereto as Exhibit A. Accordingly, the Reporting Persons are hereby filing a joint Schedule 13D. The Fund is a private investment fund. The Fund GP is the Fund’s general partner. HFA is an investment adviser registered with the United States Securities and Exchange Commission and the investment adviser to the Fund. HMC Is the parent of HFA. Mr. Lucas is the Managing Director and Portfolio Manager of the Fund GP. Mr. Bryant is an Executive Vice President and Senior Managing Director of HMC. Mr. Harbert is the Chairman and Chief Executive Officer of HMC and HFA.
Set forth on Exhibit B attached hereto is the name and present principal occupation or employment, principal business address and citizenship of the executive officers and directors of HFA and HMC. To the best of the Reporting Persons’ knowledge, except as otherwise set forth herein, none of the persons listed on Exhibit B beneficially owns any securities of the Issuer or is a party to any contract, agreement or understanding required to be disclosed herein. | ||
| (b) | The principal business address for each of the Reporting Persons is 2100 Third Avenue North, Suite 600, Birmingham, Alabama 35203. | ||
| (c) | The principal business of the Fund is purchasing, holding and selling securities for investment purposes. The principal business of the Fund GP is serving as the general partner of the Fund. The principal business of HMC and its wholly-owned subsidiary HFA is serving as an alternative asset management firm to various private funds, including the Fund. The principal occupation of Mr. Lucas is serving as the Managing Director and Portfolio Manager of the Fund GP and as the portfolio manager for other clients. The principal occupation of Mr. Bryant is serving as an Executive Vice President and Senior Managing Director of HMC. The principal occupation of Mr. Harbert is serving as the Chairman and Chief Executive Officer of HMC and HFA. | ||
| (d) | No Reporting Person or any person listed on Exhibit B has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). | ||
| (e) | No Reporting Person or any person listed on Exhibit B has, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws. | ||
| Item 3. | Source and Amount of Funds or Other Consideration. | ||
| The funds for the purchase of the Shares by the Fund came from the working capital of the Fund, over which HFA, HMC, the Fund GP, Jack Bryant, Kenan Lucas and Raymond Harbert, through their roles described above in Item 2(c), exercise investment discretion. No borrowed funds were used to purchase the Shares, other than borrowed funds used for working capital purposes in the ordinary course of business. The total costs of the Shares directly owned by the Fund is approximately $4,924,547. | |||
| Item 4. | Purpose of Transaction. | ||
| There have been no changes from the Schedule 13D Amendment No.5 filed on March 4, 2021. | |||
| Item 5. | Interest in Securities of the Issuer. | ||
| (a) - (e) | As of the date hereof, HFA, HMC, Raymond Harbert, the Fund GP, the Fund, Jack Bryant and Kenan Lucas may be deemed to be the beneficial owners of 3,966,637 Shares, constituting 8.4% of the Shares, based upon 47,401,699* shares outstanding as of the date hereof. | ||
| HFA has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares. | |||
| HMC has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares. | |||
| The Fund GP has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares. | |||
| The Fund has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares. | |||
| Jack Bryant has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares. | |||
| Kenan Lucas has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares. | |||
| Raymond Harbert has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 3,966,637 Shares; has the sole power to dispose or direct the disposition of 0 Shares; and has the shared power to dispose or direct the disposition of 3,966,637 Shares.
There have been no transactions by the Reporting Persons in the Shares within the last 60 days. | |||
| *This outstanding Shares figure reflects the sum of (i) the number of outstanding Shares at June 4, 2021, as reported in the Issuer's Form 8-K, filed on August 2, 2021 and (ii) the number of Shares being issued by the Issuer pursuant to a purchase agreement as reported in the Issuer’s Form 8-K, filed on August 18, 2021. | |||
| Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. | ||
| See Item 4 above. | |||
| Item 7. | Material to be Filed as Exhibits. | ||
| Exhibit A: Joint Filing Agreement. | |||
| Exhibit B: 2021 Officers and Directors of HFA and HMC
| |||
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| August 19, 2021 | |||
| (Date) | |||
| Harbert Discovery Fund, LP* | |||
| By: | Harbert Discovery Fund GP, LLC, | ||
| its General Partner | |||
| By: | Harbert Management Corporation, | ||
| its Managing Member | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| Harbert Discovery Fund GP, LLC* | |||
| By: | Harbert Management Corporation, | ||
| its Managing Member | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| Harbert Fund Advisors, Inc.* | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| Harbert Management Corporation* | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| s/ Jack Bryant* | |||
| Jack Bryant | |||
| /s/ Kenan Lucas* | |||
| Kenan Lucas | |||
| /s/ Raymond Harbert* | |||
| Raymond Harbert | |||
* This reporting person disclaims beneficial ownership of these reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that any such person is the beneficial owner of these securities for purposes of Section 16 of the U.S. Securities Exchange Act of 1934, as amended, or for any other purpose.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001).
Exhibit A
AGREEMENT
The undersigned agree that this Amendment Number 6 to Schedule 13D, dated August 19, 2021, relating to the Common Stock, $0.01 par value of Streamline Health Solutions Inc. shall be filed on behalf of the undersigned.
| August 19, 2021 | |||
| (Date) | |||
| Harbert Discovery Fund, LP | |||
| By: | Harbert Discovery Fund GP, LLC, | ||
| its General Partner | |||
| By: | Harbert Management Corporation, | ||
| its Managing Member | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| Harbert Discovery Fund GP, LLC | |||
| By: | Harbert Management Corporation, | ||
| its Managing Member | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| Harbert Fund Advisors, Inc. | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| Harbert Management Corporation | |||
| By: | /s/ John McCullough | ||
| Executive Vice President and General Counsel | |||
| s/ Jack Bryant | |||
| Jack Bryant | |||
| /s/ Kenan Lucas | |||
| Kenan Lucas | |||
| /s/ Raymond Harbert | |||
| Raymond Harbert | |||
Exhibit B
Titled Officers and Directors of Harbert Fund Advisors, Inc. and Harbert Management Corporation
| Name and Position | Principal Occupation | Principal Business Address | Citizenship | |||
| Raymond J. Harbert Chief Executive Officer and Chairman of HFA and HMC | Serving as Chairman and CEO of HMC | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA | |||
| John F. Bryant Executive Vice President and Director of HMC | Serving as Executive Vice President and a Director of HMC | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA | |||
| Charles D. Miller Executive Vice President of HFA and HMC | Serving as EVP of HMC | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA | |||
| Raymond J, Harbert, Jr. Executive Vice President & Chief Financial Officer of HFA and HMC & Director of HMC | Serving as EVP, CFO and a director of HMC | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA | |||
| John W. McCullough Executive Vice President, General Counsel & Director of HFA and HMC | Serving as EVP, GC and a director of HMC | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA | |||
| J. Travis Pritchett President & Chief Operating Officer of HFA and HMC & Director of HMC | Serving as President, COO and a director of HMC | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA | |||
| Michael C. Bauder Chief Compliance Officer of HFA and HMC & Director of HFA | Serving as CCO of HFA and HMC and a Director of HFA | 2100 Third Avenue North, Suite 600; Birmingham, AL 35203 | USA |