Filing Details
- Accession Number:
- 0000902664-15-004173
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-12 17:15:14
- Reporting Period:
- 2015-11-10
- Filing Date:
- 2015-11-12
- Accepted Time:
- 2015-11-12 17:15:14
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1014111 | Imation Corp | IMN | Magnetic & Optical Recording Media (3695) | 411838504 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1134119 | Clinton Group Inc | 601 Lexington Ave. 51St Floor New York NY 10022 | Yes | No | No | Yes | |
1566939 | E. George Hall | C/O Clinton Group Inc, 601 Lexington Ave 51St Floor New York NY 10021 | Yes | No | No | Yes | |
1567108 | Clinton Relational Opportunity Master Fund, L.p. | C/O Clinton Group, Inc. 601 Lexington Ave, 51St Floor New York NY 10022 | Yes | No | No | Yes | |
1577073 | Clinton Relational Opportunity Llc | C/O Clinton Group Inc. 601 Lexington Avenue, 51St Floor New York NY 10022 | Yes | No | No | Yes | |
1584551 | Geh Capital Inc. | C/O Clinton Group Inc., 601 Lexington Av 51St Floor New York NY 10022 | Yes | No | No | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-11-10 | 19,287 | $2.09 | 1,710,417 | No | 4 | P | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnotes |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 82,490 | Indirect | See footnotes |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.9897 to $2.1837, inclusive. The Reporting Person undertakes to provide to Imation Corp., any security holder of Imation Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
- The securities reported on this line may be deemed to be indirectly beneficially owned by Clinton Group, Inc. ("CGI"), which securities are directly held by Clinton Relational Opportunity Master Fund, L.P. ("CREL"), a mutual fund portfolio ("WKCAX") and another mutual fund portfolio ("CASF"). CGI is deemed to be the indirect beneficial owner of such securities by virtue of its ownership of Clinton Relational Opportunity, LLC, which serves as the investment manager of CREL, and sub-advisory agreements governing each of WKCAX and CASF. Mr. George E. Hall ("Mr. Hall") serves as the Chief Executive Officer of CGI. Mr. Hall is deemed to be the indirect beneficial owner of such securities by virtue of his direct and indirect control of CGI.
- For purposes of Rule 16a-1(a)(2) of the 1934 Act, each of the reporting persons disclaims beneficial ownership of the shares reported herein to the extent such beneficial ownership exceeds its pecuniary interest therein. Mr. Joseph A. DePerio ("Mr. DePerio") is an employee of CGI and serves as a member of the board of directors of the Issuer. Mr. DePerio submits his Section 16 filings independent of CGI. CGI disclaims beneficial ownership of any and all securities beneficially owned by Mr. DePerio.
- The Reporting Persons disclaim beneficial ownership of such securities, and this report shall not be deemed an admission that any Reporting Person is the beneficial owners of the securities for the purpose of Section 16 or for any other purpose, except to the extent of such Reporting Person's pecuniary interest therein.
- The securities reported on this line may be deemed to be indirectly beneficially owned by Mr. Hall, which securities are directly held by GEH Capital, Inc. ("GEHC"). Mr. Hall is deemed to be the indirect beneficial owner of such securities by virtue of his indirect ownership of GEHC.