Filing Details

Accession Number:
0000038777-18-000153
Form Type:
13D Filing
Publication Date:
2018-03-23 16:54:54
Filed By:
Franklin Resources Inc
Company:
Goodrich Petroleum Corp (NYSE:GDP)
Filing Date:
2018-03-23
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
Franklin Resources, Inc 2,735,459 0 2,735,459 0 2,735,459 23.2%
Charles B. Johnson 2,735,459 23.2%
Rupert H. Johnson, Jr 2,735,459 23.2%
Franklin Advisers, Inc 2,735,459 23.2%
Filing

 

      CUSIP NO. 382410843                                                                            Page 1 of 11

 

 

 

 

                                                UNITED STATES

                                      SECURITIES AND EXCHANGE COMMISSION

                                            Washington, D.C. 20549

 

                                                SCHEDULE 13D/A

 

                                  Under the Securities Exchange Act of 1934

                                              (Amendment No. 9)*

 

                                        GOODRICH PETROLEUM CORPORATION

                                               (Name of Issuer)

 

                                   Common Stock, par value $0.01 per share

                                        (Title of Class of Securities)

 

                                                  382410843 

                                                (CUSIP Number)

 

                                                  Maria Gray

                                         Vice President and Secretary

                                           Franklin Resources, Inc.

                                             One Franklin Parkway

                                           San Mateo, CA 94403‑1906

                                                 800‑632‑2350 

                         (Name, Address and Telephone Number of Person Authorized to

                                     Receive Notices and Communications)

 

                                                 March 16, 2018

                           (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 §§240.13d‑1I, 240.13d‑1(f) or

      240.13d‑1(g), check the following box.[  ]

 

      Note: Schedules filed in paper format shall include a signed original and five copies of the schedule,

      including all exhibits. See §240.13d‑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 the 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 hereto).

 

 


 

 

 

      CUSIP NO. 382410843                                                                            Page 2 of 11

 

 

1.       NAMES OF REPORTING PERSONS.     

 

             Franklin Resources, Inc.  

 

      2.     CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

             (a) 

             (b) X

 

      3.     SEC USE ONLY

 

      4.     SOURCE OF FUNDS

 

             OO

 

      5.     CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED

             PURSUANT TO ITEMS 2(d) OR 2I[ ]

 

      6.     CITIZENSHIP OR PLACE OF ORGANIZATION

 

             Delaware 

 

      NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:

 

      7.     SOLE VOTING POWER

 

             (See Item 5)

 

      8.     SHARED VOTING POWER

 

             (See Item 5)

 

      9.     SOLE DISPOSITIVE POWER

 

             (See Item 5)

 

      10.    SHARED DISPOSITIVE POWER

 

             (See Item 5)

 

      11.    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

              2,735,459[1]

 

      12.    CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES

             CERTAIN SHARES [ ]

 

      13.    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             23.2%[2]

 

      14.    TYPE OF REPORTING PERSON

 

             HC, CO (See Item 5)

 


[1] Includes 410,157 shares of common stock issuable on conversion of debt securities(as computed under Rule

    13d‑3(d)(1)(i)).

 

[2]  Percentage of class is based on 11,359,887 outstanding shares of Common Stock as of March 2, 2018, as reported on

   Goodrich Petroleum Corporation’s Annual Report on Form 10-K for the quarter ended December 31, 2017, filed with

   the Securities Exchange Commission on March 2, 2018.

 


 

 

 

      CUSIP NO. 382410843                                                                            Page 3 of 11

 

1.       NAMES OF REPORTING PERSONS.    

 

             Charles B. Johnson

 

      2.     CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

             (a) 

             (b) X

 

      3.     SEC USE ONLY

 

      4.     SOURCE OF FUNDS

 

             OO 

 

      5.     CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED

             PURSUANT TO ITEMS 2(d) OR 2I[ ]

 

      6.     CITIZENSHIP OR PLACE OF ORGANIZATION

 

             USA 

 

      NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:

 

      7.     SOLE VOTING POWER

 

             (See Item 5)

 

      8.     SHARED VOTING POWER

 

             (See Item 5)

 

      9.     SOLE DISPOSITIVE POWER

 

             (See Item 5)

 

      10.    SHARED DISPOSITIVE POWER

 

             (See Item 5)

 

      11.    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

              

              2,735,459[3]

 

      12.    CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES

             CERTAIN SHARES [ ]

 

 

      13.    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

              

             23.2%[4]

 

      14.    TYPE OF REPORTING PERSON

 

             HC,IN (See Item 5)

 


[3]   Includes 410,157 shares of common stock issuable on conversion of debt securities(as computed under Rule

    13d‑3(d)(1)(i)).

 

[4]  Percentage of class is based on 11,359,887 outstanding shares of Common Stock as of March 2, 2018, as reported on

   Goodrich Petroleum Corporation’s Annual Report on Form 10-K for the quarter ended December 31, 2017, filed with

   the Securities Exchange Commission on March 2, 2018.

 


 

 

 

      CUSIP NO.  382410843                                                                           Page 4 of 11

 

 

1.       NAMES OF REPORTING PERSONS.    

 

             Rupert H. Johnson, Jr.

 

      2.     CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

             (a) 

             (b) X

 

      3.     SEC USE ONLY

 

      4.     SOURCE OF FUNDS

 

             OO 

 

      5.     CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED

             PURSUANT TO ITEMS 2(d) OR 2I[ ]

 

      6.     CITIZENSHIP OR PLACE OF ORGANIZATION

 

             USA 

 

      NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:

 

      7.     SOLE VOTING POWER

 

             (See Item 5)

 

      8.     SHARED VOTING POWER

 

             (See Item 5)

 

      9.     SOLE DISPOSITIVE POWER

 

             (See Item 5)

 

      10.    SHARED DISPOSITIVE POWER

 

             (See Item 5)

 

      11.    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

              2,735,459[5]

 

      12.    CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES

             CERTAIN SHARES [ ]

 

 

      13.    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             23.2%[6]

              

 

      14.    TYPE OF REPORTING PERSON

 

             HC,IN (See Item 5)

 


[5]Includes 410,157 shares of common stock issuable on conversion of debt securities(as computed under Rule

   13d‑3(d)(1)(i)).

 

[6]  Percentage of class is based on 11,359,887 outstanding shares of Common Stock as of March 2, 2018, as reported on

   Goodrich Petroleum Corporation’s Annual Report on Form 10-K for the quarter ended December 31, 2017, filed with

   the Securities Exchange Commission on March 2, 2018.

 


 

 

      CUSIP NO.   382410843                                                                          Page 5 of 11

 

 

1.       NAMES OF REPORTING PERSONS.    

 

             Franklin Advisers, Inc.

 

      2.     CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

             (a) 

             (b) X

 

      3.     SEC USE ONLY

 

      4.     SOURCE OF FUNDS

 

             OO, WC

 

      5.     CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED

             PURSUANT TO ITEMS 2(d) OR 2I[ ]

 

      6.     CITIZENSHIP OR PLACE OF ORGANIZATION

 

             California 

 

      NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:

 

      7.     SOLE VOTING POWER

 

               2,735,459 

 

      8.     SHARED VOTING POWER

 

              0  

 

      9.     SOLE DISPOSITIVE POWER

 

              2,735,459 

 

      10.    SHARED DISPOSITIVE POWER

 

              0  

 

      11.    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

              2,735,459[7]

 

      12.    CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES

             CERTAIN SHARES [ ]

 

 

      13.    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

             23.2%[8]

 

      14.    TYPE OF REPORTING PERSON

 

             IA,CO (See Item 5)

 


[7]  Includes 410,157 shares of common stock issuable on conversion of debt securities(as computed under Rule

   13d‑3(d)(1)(i)).

 

[8]  Percentage of class is based on 11,359,887 outstanding shares of Common Stock as of March 2, 2018, as reported on

   Goodrich Petroleum Corporation’s Annual Report on Form 10-K for the quarter ended December 31, 2017, filed with

   the Securities Exchange Commission on March 2, 2018.


 

      CUSIP NO. 382410843                                                                            Page 6 of 11

 

 

This Amendment No. 9 to the Statement on Schedule 13D amends the Statement on Schedule 13D originally filed with the Securities and Exchange Commission on October 24, 2016, as previously amended on January 10, 2017, March 3, 2017, June 2, 2017, September 28, 2017, November 16, 2017, January 5, 2018, February 15, 2018  and on February 23, 2018 which relates to shares of Common Stock, par value $0.01 per share (the “Shares”), of GOODRICH PETROLEUM CORPORATION a Delaware  corporation (the “Issuer”). The Issuer’s principal executive offices are located at 801 Louisiana, Suite 700, Houston, Texas, 77002.

 

This Amendment No. 9 to Schedule 13D amends and supplements the previously amended Schedule 13D as follows. Except as provided herein, this Amendment No. 9 to Schedule 13D does not modify any of the information previously reported on such Schedule 13D, including any amendment thereto.  The information herein is provided and is correct as of March 20, 2018.  Unless otherwise indicated, each capitalized term used but not defined herein shall have the meaning assigned to such term in such Schedule 13D as originally filed.

 

 

      Item 4.  Purpose of Transaction

 

The following paragraph is added to Item 4:

 

Between February 23, 2018 and March 20, 2018, the Funds sold 725,000 Shares in a public offering pursuant to the Issuer’s effective registration statement on behalf of the Funds.

 

      Item 5.   Interest in Securities of the Issuer

 

Item 5 is hereby amended and restated in its entirety to read as follows:

 

(a-b) The Shares may be deemed to be beneficially owned by FAV for purposes of Rule 13d-3 under the Act in their capacity as the investment advisers to the Funds pursuant to investment management contracts that grant them investment and/or voting power.  When an investment management contract (including a sub-advisory agreement) delegates to an investment management subsidiary investment discretion or voting power over the securities held in the investment advisory accounts that are subject to that agreement, FRI treats the investment management subsidiary as having sole investment discretion or voting authority, as the case may be, unless the agreement specifies otherwise.  Accordingly, FAV, as an investment management subsidiary, reports on Schedule 13D that it has sole investment discretion and voting authority over the securities covered by any such investment management agreement. 

 

 

      Beneficial ownership by Investment Management Subsidiaries and other FRI affiliates is being reported in conformity with the guidelines articulated by the SEC staff

      in Release No. 34-39538 (January 12, 1998) relating to organizations, such as FRI, where related entities exercise voting and investment powers over the securities

      being reported independently from each other.  The voting and investment powers held by Franklin Mutual Advisers, LLC (“FMA”) and Franklin Advisory Services, LLC

      (“FAS”), each an indirect wholly owned Investment Management Subsidiary, are exercised independently from FRI and from all other Investment Management Subsidiaries

      (FRI, its affiliates and the Investment Management Subsidiaries other than FMA and FAS are collectively, “FRI affiliates”).  Furthermore, internal policies and

      procedures of FMA, FAS and FRI establish informational barriers that prevent the flow between FMA and FAS, on the one hand, and the FRI affiliates, on the other

      hand, of information that relates to the voting and investment powers over the securities owned by their respective management clients.  Consequently, FMA and FAS

      report the securities over which they hold investment and voting power separately from the FRI affiliates for purposes of Section 13 of the Act.

       

Charles B. Johnson and Rupert H. Johnson, Jr. (the “Principal Shareholders”) each own in excess of 10%of FRI’s outstanding common stock and are the principal stockholders of FRI.  FRI and the Principal Shareholders may be deemed to be, for purposes of Rule 13d‑3 under the Act, the beneficial owners of securities held by persons and entities for whom or for which FRI’s subsidiaries provide investment management services.  The number of shares that may be deemed to be beneficially owned and the percentage of the class of which such shares are a part are reported in Items 11 and 13 of the cover pages for FRI and each of the Principal Shareholders.  Items 11 and 13 of the cover pages for FAV, FRI and each of the Principal Shareholders are incorporated herein by reference.  FRI, the Principal Shareholders and FAV disclaim any pecuniary interest in any of the Shares, Warrants and Notes.  In addition, the filing of the Schedule 13D on behalf of the Principal Shareholders, FRI and FAV should not be construed as an admission that any of them is, and each disclaims that it is, the beneficial owner, as defined in Rule 13d‑3, of any of the Shares, Warrants or Notes.

 

FRI, the Principal Shareholders and FAV believe that they are not a “group” within the meaning of Rule 13d‑5 under the Act and that they are not otherwise required to attribute to each other the beneficial ownership of the Shares, Warrants and Notes held by any of them or by any persons or entities for whom or for which FAV provides investment management services.

 

 

 

 

 

 

 

 

 

 

 

 


 

 

 

 

 

 

 

CUSIP NO. 382410843

Page 7 of 11

 

 

 

 

The number of Shares as to which each reporting person on this Schedule 13D has:

 

(i)

Sole power to vote or to direct the vote of the Shares:

 

 

 

 

 

 

 

 

Franklin Resources, Inc.:

0

 

 

 

 

 

 

Charles B. Johnson:

0

 

 

 

 

 

 

Rupert H. Johnson, Jr.:

0

 

 

 

 

 

 

  Franklin Advisers, Inc.:                                                        2,735,459

 

 

 

 

 

 

 

 

(ii)

Shared power to vote or to direct the vote of the Shares:

0

 

 

 

 

(iii)

Sole power to dispose or to direct the disposition of the Shares:

 

 

 

 

 

 

 

Franklin Resources, Inc.:

0

 

 

 

 

 

 

Charles B. Johnson:

0

 

 

 

 

 

 

Rupert H. Johnson, Jr.:

0

 

 

 

 

 

 

  Franklin Advisers, Inc.:

    2,735,459

 

 

 

 

 

 

 

(iv)

Shared power to dispose or to direct the disposition of the Shares:

 0

           

 

 

      (c)    Other than as listed in Exhibit A-4, none of the reporting persons have effected any transactions in the Shares,

             Warrants or Notes during the past sixty days.

 

      (d)      

             Franklin High Income Fund, a series of Franklin High Income Trust, an investment company registered under

             the Investment Company Act of 1940, has an interest in 1,951,605 Shares(which includes 386,720 Shares

             issuable on conversion of debt securities), or 16.6% of the class of securities reported herein.

 

 

      (e)     Not applicable

 


 

CUSIP NO.  382410843                                                                      Page 8 of 11

 

 

      Item 7.  Material to Be Filed as Exhibits

 

      Exhibit A: Principal Executive Officers and Directors of FRI

 

      Exhibit A-4:    Transactions in the past 60 Days.

 

                                            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.

 

       Dated: March 23, 2018

 

 

 

Franklin Resources, Inc.

 

Charles B. Johnson

 

Rupert H. Johnson, Jr.

 

Franklin Advisers, Inc.

 

 

 

By:   /s/MARIA GRAY

      ‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑ 

     Maria Gray

     Vice President and Secretary of Franklin Resources, Inc.

 

     Attorney‑in‑Fact for Charles B. Johnson

 

     Attorney‑in‑Fact for Rupert H. Johnson, Jr.

 

     Secretary of Franklin Advisers, Inc.

 

 

 

 

Franklin High Income Trust on behalf of

                         Franklin High Income Fund

 

 

 

By:    /s/KIMBERLY H. NOVOTNY

      ‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑‑                                        

      Kimberly H. Novotny

      Vice President and Assistant Secretary of Franklin High Income Trust

 

       

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

 

CUSIP NO.  382410843                                                                      Page 9 of 11

 

                                   EXHIBIT A

      PRINCIPAL EXECUTIVE OFFICERS, DIRECTORS AND PRINCIPAL STOCKHOLDERS OF REPORTING PERSONS

 

Except where otherwise noted, each of the individuals named below is a citizen of the

United States with a principal business address as indicated below.

 

Name

Principal Occupation

Residence or Business Address

Gregory E. Johnson

Chairman of the Board, Chief Executive Officer and a Director, FRI

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Rupert H. Johnson, Jr

Vice Chairman, a Director and a Principal Stockholder, FRI
Director, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Jennifer M. Johnson

President and Chief Operating Officer, FRI

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Kenneth A. Lewis

Executive Vice President and Chief Financial Officer, FRI
Chief Financial Officer, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Craig S. Tyle

Executive Vice President and General Counsel, FRI

Chief Legal Officer, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Jed A. Plafker

Executive Officer, FRI

Franklin Resources, Inc. One Franklin Parkway
San Mateo, CA 94403-1906

Alok Sethi

Executive Officer, FRI

Citizen of India

Franklin Resources, Inc. One Franklin Parkway
San Mateo, CA 94403-1906

Peter K. Barker

Director, FRI; Retired

Franklin Resources, Inc. One Franklin Parkway
San Mateo, CA 94403-1906

Mariann Byerwalter

Director, FRI; Chairman of the Board, SRI International

Franklin Resources, Inc. One Franklin Parkway
San Mateo, CA 94403-1906

Charles E. Johnson

Director, FRI; Founder and Managing Member, Tano Capital, LLC

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Mark C. Pigott

Director, FRI; Executive Chairman and Director, PACCAR Inc.

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Chutta Ratnathicam

Director, FRI; Retired

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Laura Stein

Director, FRI; Executive Vice President – General Counsel and Corporate Affairs, The Clorox Company

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Seth H. Waugh

 

Director, FRI; Non-Executive Chairman, Alex Brown, a division of Raymond James

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Geoffrey Y. Yang

Director, FRI; Managing Director and Founding Partner, Redpoint Ventures

 

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

 

 

 

 

 


 

 

 

 

 

 

 

CUSIP NO.      382410843                                                                   Page 10 of 11

 

 

Name

Principal Occupation

Residence or Business Address

Charles B. Johnson

Principal Stockholder, FRI

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

 

Edward B. Jamieson

President and a Director, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Madison S. Gulley

Executive Vice President, FAV

Franklin Resources, Inc.
300 S.E. 2nd Street

Ft. Lauderdale, FL 33301

Christopher J. Molumphy

Executive Vice President and Director, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Edward D. Perks

Executive Vice President, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Michael J. Hasenstab

Executive Vice President, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Michael P. McCarthy

Executive Vice President and Chief Investment Officer, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

Stephen H. Dover

Executive Vice President, FAV

Franklin Resources, Inc.
One Franklin Parkway
San Mateo, CA 94403-1906

William Y. Yun

Executive Vice President, FAV

Franklin Resources, Inc.
280 Park Avenue
New York, NY 10017

Thomas J. Fisher, Jr.

Executive Vice President, FAV

Franklin Resources, Inc.
280 Park Avenue
New York, NY 10017

Breda M. Beckerle

Chief Compliance Officer, FAV

Franklin Resources, Inc.
280 Park Avenue
New York, NY 10017

     FRI:    Franklin Resources, Inc.

              One Franklin Parkway

              San Mateo, CA 94403‑1906

 

     FRI is primarily engaged, through various subsidiaries, in providing investment management to the open-end investment companies in the Franklin Group of Funds and the Templeton Family of Funds and to domestic and international managed and institutional accounts.  FRI’s principal line of business is providing investment management, administration, distribution and related services to the Franklin Templeton Funds, managed accounts and other investment products. 

 

     FRI is the direct parent entity to FAV (see further description below).

 

     FAV: Franklin Advisers, Inc.

     One Franklin Parkway

     San Mateo, CA  94403 1906

 

     An investment adviser registered with the SEC and investment manager or sub adviser to a number of U.S. registered open end and closed end investment companies in the

     Franklin Templeton Group of Funds, non U.S. investment funds and private client accounts.

 

 

 

 

 

 


 

 

 

 

 

 

 

 

CUSIP NO.      382410843                                                                   Page 11 of 11

 

 

EXHIBIT A-4

 

TRANSACTIONS IN THE PAST 60 DAYS


   The transactions described below were sales of Common Stock.

 

Date of Transaction

Number of Shares

Price per Share

(in U.S. Dollars)

1/25/2018

700

12.5750

1/26/2018

68

12.0300

1/29/2018

4,600

12.0000

1/30/2018

29,100

12.0020

1/31/2018

3,600

11.6956

2/01/2018

9,100

11.5616

2/05/2018

5,900

11.1721

2/06/2018

20,400

11.0187

2/09/2018

2,375

10.9042

2/12/2018

6,800

11.0297

2/13/2018

2,000

10.9178

2/14/2018

1,090,357

11.0000

3/06/2018

2,700

11.0417

3/07/2018

8,600

10.7322

3/08/2018

800

10.8869

3/09/2018

8,500

10.4216

3/12/2018

3,200

10.6719

3/13/2018

16,787

11.2035

3/14/2018

200

11.1350

3/15/2018

2,600

11.0788

3/16/2018

25,953

10.7615

3/20/2018

655,660

10.7500

 

 

The transaction described below was a surrender of shares in a cashless exercise of the warrants.

 

2/07/2017

451

 

 

The transaction described below was the acquisition of shares received from the cashless exercise of the warrants.

 

2/07/2017

546,875