Filing Details
- Accession Number:
- 0000921895-20-001147
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-17 19:14:26
- Reporting Period:
- 2020-04-15
- Accepted Time:
- 2020-04-17 19:14:26
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1452857 | Steel Partners Holdings L.p. | SPLP | () | NY |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1005784 | G Warren Lichtenstein | C/O Steel Partners Holdings L.p. 590 Madison Avenue, 32Nd Floor New York NY 10022 | Executive Chairman | Yes | Yes | Yes | No |
1504325 | Steel Partners, Ltd. | 590 Madison Avenue, 32Nd Floor New York NY 10022 | No | No | Yes | No | |
1547324 | Wgl Capital Llc | 590 Madison Avenue, 32Nd Floor New York NY 10022 | No | No | Yes | No | |
1606923 | Sph Spv-I Llc | 590 Madison Avenue, 32Nd Floor New York NY 10022 | No | 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 Units No Par Value | Acquisiton | 2020-04-15 | 2 | $4.80 | 186,812 | No | 4 | P | Indirect | By Steel Partners, Ltd. |
Common Units No Par Value | Acquisiton | 2020-04-16 | 100 | $5.00 | 186,912 | No | 4 | P | Indirect | By Steel Partners, Ltd. |
Common Units No Par Value | Acquisiton | 2020-04-17 | 200 | $4.95 | 187,112 | No | 4 | P | Indirect | By Steel Partners, Ltd. |
Common Units No Par Value | Acquisiton | 2020-04-17 | 400 | $4.96 | 187,512 | No | 4 | P | Indirect | By Steel Partners, Ltd. |
Common Units No Par Value | Acquisiton | 2020-04-17 | 100 | $5.00 | 187,612 | No | 4 | P | Indirect | By Steel Partners, Ltd. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Steel Partners, Ltd. |
No | 4 | P | Indirect | By Steel Partners, Ltd. |
No | 4 | P | Indirect | By Steel Partners, Ltd. |
No | 4 | P | Indirect | By Steel Partners, Ltd. |
No | 4 | P | Indirect | By Steel Partners, Ltd. |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Units No Par Value | 1,537,623 | Direct | |
Common Units No Par Value | 1,540,706 | Indirect | By SPH SPV-I LLC |
Common Units No Par Value | 6,362,920 | Indirect | By WGL Capital LLC |
6% Series A Preferred Units | 410,787 | Direct |
Footnotes
- This Form 4 is filed jointly by WGL Capital LLC ("WGL"), Steel Partners, Ltd. ("SPL"), SPH SPV-I LLC ("SPH SPV") and Warren G. Lichtenstein (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding Common Units. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein.
- Mr. Lichtenstein, as the Managing Member of SPH SPV, may be deemed to beneficially own the Common Units owned directly by SPH SPV.
- Mr. Lichtenstein, as the Chief Executive Officer and a control person of SPL, may be deemed to beneficially own the Common Units owned directly by SPL.
- SPL, as the sole Member of WGL, and Mr. Lichtenstein, as the Manager of WGL and the Chief Executive Officer and a control person of SPL, may be deemed to beneficially own the Common Units owned directly by WGL.
- The Form 4 filed by the Reporting Persons on March 30, 2020 discloses ownership of 94,922 Common Units held directly by Mr. Lichtenstein. Since the filing of the Form 4, an aggregate of 1,442,701 Common Units held by grantor retained annuity trusts of which Mr. Lichtenstein is the sole trustee and sole annuitant, referred to in the Form 4 as the 2018 GRAT, 2019 GRAT and 2020 GRAT, were transferred to Mr. Lichtenstein.
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.