EVERYWARE GLOBAL, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 69 rows, 69 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-06-02: Reporting owner CLINTON GROUP INC | CLINTON MAGNOLIA FUND LTD | Clinton Spotlight Master Fund LP; Form 4/A; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2015-06-02: Reporting owner Hall George E.; Form 4/A; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2015-06-02: Reporting owner Hall George E.; Form 4/A; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2015-06-02: Reporting owner PRESSER STEPHEN; Form 4; Security Warrants to Purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-06-02 | CLINTON GROUP INC | CLINTON MAGNOLIA FUND LTD | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4/A | Warrants Derivative · Indirect · Note | J Other acquisition or disposition (describe transaction) | −4,423,851 0 owned after | $6.00 exercise price | 2015-06-09 | |
| 2015-06-02 | Hall George E. 10% Owner | 4/A | Warrants Derivative · Indirect · Note | J Other acquisition or disposition (describe transaction) | −4,423,851 0 owned after | $6.00 exercise price | 2015-06-09 | |
| 2015-06-02 | Hall George E. 10% Owner | 4/A | Warrants Derivative · Indirect · Note | J Other acquisition or disposition (describe transaction) | −300,000 0 owned after | $6.00 exercise price | 2015-06-09 | |
| 2015-06-02 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,736,355 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,067 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Executive Co-Investment Fund, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,167 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners II, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,553,221 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund II, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −49,194 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Monomoy General Partner II, L.P. | Monomoy Capital Management, L.P. | Monomoy Capital Partners II, L.P. | MCP Supplemental Fund II, L.P. | Monomoy Capital Partners, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Executive Co-Investment Fund, L.P. | Monomoy General Partner, L.P. | Monomoy Ultimate GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,736,355 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Monomoy General Partner II, L.P. | Monomoy Capital Management, L.P. | Monomoy Capital Partners II, L.P. | MCP Supplemental Fund II, L.P. | Monomoy Capital Partners, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Executive Co-Investment Fund, L.P. | Monomoy General Partner, L.P. | Monomoy Ultimate GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,067 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Monomoy General Partner II, L.P. | Monomoy Capital Management, L.P. | Monomoy Capital Partners II, L.P. | MCP Supplemental Fund II, L.P. | Monomoy Capital Partners, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Executive Co-Investment Fund, L.P. | Monomoy General Partner, L.P. | Monomoy Ultimate GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Executive Co-Investment Fund, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,167 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Monomoy General Partner II, L.P. | Monomoy Capital Management, L.P. | Monomoy Capital Partners II, L.P. | MCP Supplemental Fund II, L.P. | Monomoy Capital Partners, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Executive Co-Investment Fund, L.P. | Monomoy General Partner, L.P. | Monomoy Ultimate GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners II, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,553,221 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Monomoy General Partner II, L.P. | Monomoy Capital Management, L.P. | Monomoy Capital Partners II, L.P. | MCP Supplemental Fund II, L.P. | Monomoy Capital Partners, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Executive Co-Investment Fund, L.P. | Monomoy General Partner, L.P. | Monomoy Ultimate GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund II, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −49,194 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,736,355 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,067 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Executive Co-Investment Fund, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,167 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners II, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,553,221 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund II, L.P. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −49,194 0 owned after | $0.01 exercise price | 2015-06-04 | |
| 2015-06-02 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Note | J Other acquisition or disposition (describe transaction) | −4,423,851 0 owned after | $6.00 exercise price | 2015-06-04 | |
| 2015-06-02 | Hall George E. 10% Owner | 4 | Warrants Derivative · Indirect · Note | J Other acquisition or disposition (describe transaction) | −4,423,851 0 owned after | $6.00 exercise price | 2015-06-04 | |
| 2015-06-02 | Hall George E. 10% Owner | 4 | Warrants Derivative · Indirect · Note | J Other acquisition or disposition (describe transaction) | −300,000 0 owned after | $6.00 exercise price | 2015-06-04 | |
| 2014-07-30 | Monomoy Capital Management, L.P. | Monomoy General Partner, L.P. | Monomoy General Partner II, L.P. | Monomoy Capital Partners, L.P. | Monomoy Ultimate GP, LLC | MCP Supplemental Fund II, L.P. | Monomoy Executive Co-Investment Fund, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Capital Partners II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,736,355 2,736,355 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Monomoy Capital Management, L.P. | Monomoy General Partner, L.P. | Monomoy General Partner II, L.P. | Monomoy Capital Partners, L.P. | Monomoy Ultimate GP, LLC | MCP Supplemental Fund II, L.P. | Monomoy Executive Co-Investment Fund, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Capital Partners II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,067 85,067 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Monomoy Capital Management, L.P. | Monomoy General Partner, L.P. | Monomoy General Partner II, L.P. | Monomoy Capital Partners, L.P. | Monomoy Ultimate GP, LLC | MCP Supplemental Fund II, L.P. | Monomoy Executive Co-Investment Fund, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Capital Partners II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Executive Co-Investment Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,167 14,167 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Monomoy Capital Management, L.P. | Monomoy General Partner, L.P. | Monomoy General Partner II, L.P. | Monomoy Capital Partners, L.P. | Monomoy Ultimate GP, LLC | MCP Supplemental Fund II, L.P. | Monomoy Executive Co-Investment Fund, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Capital Partners II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners II, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,553,221 1,553,221 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Monomoy Capital Management, L.P. | Monomoy General Partner, L.P. | Monomoy General Partner II, L.P. | Monomoy Capital Partners, L.P. | Monomoy Ultimate GP, LLC | MCP Supplemental Fund II, L.P. | Monomoy Executive Co-Investment Fund, L.P. | MCP SUPPLEMENTAL FUND, L.P. | Monomoy Capital Partners II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund II, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,194 49,194 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,736,355 2,736,355 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,067 85,067 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Executive Co-Investment Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,167 14,167 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners II, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,553,221 1,553,221 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | Collin Daniel Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund II, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,194 49,194 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,736,355 2,736,355 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,067 85,067 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Executive Co-Investment Fund, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,167 14,167 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By Monomoy Capital Partners II, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,553,221 1,553,221 owned after | $0.01 exercise price | 2014-08-01 | |
| 2014-07-30 | PRESSER STEPHEN Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · By MCP Supplemental Fund II, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,194 49,194 owned after | $0.01 exercise price | 2014-08-01 | |
| 2013-05-23 holding as of filing | Clinton Spotlight Master Fund LP 10% Owner | 3 | Warrants to Purchase Common Stock Derivative · Direct | Holding | $12.00 exercise price | 2013-05-23 | ||
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4/A | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,423,831 4,423,831 owned after | $6.00 exercise price | 2013-08-27 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4/A | Warrants to Puchase Common Stock Derivative · Indirect · See Footnote. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $6.00 exercise price | 2013-08-27 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | Clinton Spotlight Master Fund LP | CLINTON GROUP INC 10% Owner | 10% Owner | Director, 10% Owner | 4/A | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,423,851 0 owned after | $12.00 exercise price | 2013-08-27 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | Clinton Spotlight Master Fund LP | CLINTON GROUP INC 10% Owner | 10% Owner | Director, 10% Owner | 4/A | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,423,851 4,423,851 owned after | $6.00 exercise price | 2013-08-27 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | Clinton Spotlight Master Fund LP | CLINTON GROUP INC 10% Owner | 10% Owner | Director, 10% Owner | 4/A | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −300,000 0 owned after | $12.00 exercise price | 2013-08-27 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | Clinton Spotlight Master Fund LP | CLINTON GROUP INC 10% Owner | 10% Owner | Director, 10% Owner | 4/A | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $6.00 exercise price | 2013-08-27 | |
| 2013-05-21 | Baldwin Thomas J Director, Officer (Chairman and CEO) | 4 | Warrants to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Baldwin Thomas J Director, Officer (Chairman and CEO) | 4 | Warrants to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | −300,000 4,423,851 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | +300,000 300,000 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,423,851 0 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,211,925 2,211,925 owned after | $6.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −300,000 0 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Puchase Common Stock Derivative · Indirect · See Footnote. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $6.00 exercise price | 2013-05-23 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | −300,000 4,423,851 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | +300,000 300,000 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | +2,211,925 2,211,925 owned after | $6.00 exercise price | 2013-05-23 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | −300,000 0 owned after | $12.00 exercise price | 2013-05-23 | |
| 2013-05-21 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC | Clinton Spotlight Master Fund LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote. | J Other acquisition or disposition (describe transaction) | +150,000 150,000 owned after | $6.00 exercise price | 2013-05-23 | |
| 2013-04-30 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +50,000 557,184 owned after | $1.10 | 2013-05-01 | |
| 2013-04-30 | CLINTON GROUP INC | CLINTON MAGNOLIA FUND LTD 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +50,000 557,184 owned after | $1.10 | 2013-05-01 | |
| 2013-04-04 | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,184 507,184 owned after | $0.80 | 2013-04-08 | |
| 2013-04-04 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,184 507,184 owned after | $0.80 | 2013-04-08 | |
| 2013-01-17 holding as of filing | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC 10% Owner | 10% Owner | 3 | Sponsor Warrants Derivative · Indirect · See Footnote | Holding | $12.00 exercise price | 2013-01-17 | ||
| 2013-01-17 holding as of filing | CLINTON MAGNOLIA FUND LTD | CLINTON GROUP INC 10% Owner | 10% Owner | 3 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $12.00 exercise price | 2013-01-17 | ||
| 2012-07-26 | ROIC Acquisition Holdings LP 10% Owner | 4 | Sponsor Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,166,667 0 owned after | $0.73 | 2013-01-17 | |
| 2012-07-26 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +500,000 500,000 owned after | $0.73 | 2013-01-17 | |
| 2012-07-26 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Sponsor Warrants Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +4,166,667 4,166,667 owned after | $0.73 | 2013-01-17 | |
| 2012-04-20 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.60 | 2013-01-17 | |
| 2012-02-29 | ROIC Acquisition Holdings LP 10% Owner | 4 | Sponsor Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −4,166,667 4,166,667 owned after | $0.75 | 2013-01-17 | |
| 2012-02-29 | Hall George E. Director, Officer (Chief Investment Officer), 10% Owner | 4 | Sponsor Warrants Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,166,667 4,166,667 owned after | $0.75 | 2013-01-17 | |
| 2012-02-29 | Baldwin Thomas J Director, Officer (Chairman and CEO) | 4 | Warrants to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $12.00 exercise price | 2013-01-17 |