0001104659-17-028478.txt : 20170502 0001104659-17-028478.hdr.sgml : 20170502 20170501174952 ACCESSION NUMBER: 0001104659-17-028478 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170502 DATE AS OF CHANGE: 20170501 GROUP MEMBERS: CARL WESTCOTT, LLC GROUP MEMBERS: CARLA WESTCOTT GROUP MEMBERS: COMMODORE PARTNERS, LTD. GROUP MEMBERS: COURT H. WESTCOTT GROUP MEMBERS: G.K. WESTCOTT LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COMSTOCK RESOURCES INC CENTRAL INDEX KEY: 0000023194 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 941667468 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38546 FILM NUMBER: 17802242 BUSINESS ADDRESS: STREET 1: 5300 TOWN AND COUNTRY BLVD STREET 2: STE 500 CITY: FRISCO STATE: TX ZIP: 75034 BUSINESS PHONE: 9726688800 MAIL ADDRESS: STREET 1: 5300 TOWN AND COUNTRY BLVD STREET 2: STE 500 CITY: FRISCO STATE: TX ZIP: 75034 FORMER COMPANY: FORMER CONFORMED NAME: COMSTOCK TUNNEL & DRAINAGE CO DATE OF NAME CHANGE: 19880121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WESTCOTT CARL H CENTRAL INDEX KEY: 0001007864 STATE OF INCORPORATION: TX FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1620 CITY: DALLAS STATE: TX ZIP: 75201 SC 13D/A 1 a17-12185_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 17)*

 

Comstock Resources, Inc.

(Name of Issuer)

 

Common Stock, par value $0.50 per share

(Title of Class of Securities)

 

205768203

(CUSIP Number)

 

Carl H. Westcott

100 Crescent Court, Suite 1620

Dallas, TX 75201

214-777-5003

 

with a copy to:

 

Crews Lott

Baker & McKenzie LLP

2300 Trammell Crow Center

2001 Ross Avenue

Dallas, TX 75201

214-978-3000

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

April 27, 2017

(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-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box o.

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 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).

 



 

CUSIP No.   205768203

13D

 

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Carl H. Westcott

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds
PF

 

 

5.

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

7.

Sole Voting Power
759,000 (1)

 

8.

Shared Voting Power
362,441 (1)

 

9.

Sole Dispositive Power
759,000 (1)

 

10.

Shared Dispositive Power
395,683 (1) (2)

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,154,683 (1) (2)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
7.51% (3)

 

 

14.

Type of Reporting Person
IN

 


(1)                                 Carl H. Westcott directly holds 759,000 shares of common stock, par value $0.50 per share (the “Common Stock”), of Comstock Resources, Inc., a Nevada corporation (the “Issuer”). Additionally, Mr. Westcott exercises shared voting and disposition power over 362,441 shares of Common Stock with Court H. Westcott as managers of Carl Westcott, LLC, the general partner of each of Commodore Partners, Ltd. (“Commodore Partners”), which directly owns 338,441 shares of Common Stock, and G.K. Westcott LP (“GK Westcott”), which directly owns 24,000 shares of Common Stock.

 

(2)                                 Carl H. Westcott has shared discretionary authority to purchase and dispose of shares of Common Stock under various accounts for the benefit of the following persons, who directly hold the following amounts of shares of Common Stock: Court H. Westcott, 4,000 shares; Carla Westcott, 11,692 shares; Peter Underwood, 13,500 shares; Francisco Trejo, Jr., 2,050 shares; and Rosie Greene, 2,000 shares. Carl H. Westcott does not exercise any voting power over any such shares of Common Stock owned by the aforementioned individuals and expressly disclaims beneficial ownership of such shares.

 

(3)                                 The percentage ownership is based on 15,376,987 shares of Common Stock outstanding, as reported by the Issuer in its registration statement on Form S-3 filed on April 25, 2017.

 

2



 

CUSIP No.   205768203

13D

 

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Commodore Partners, Ltd.

03-0476201

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds
WC

 

 

5.

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Texas

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

7.

Sole Voting Power
338,441 (1)

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
338,441 (1)

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
338,441 (1)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
2.20% (2)

 

 

14.

Type of Reporting Person
PN

 


(1)                                 Carl H. Westcott and Court H. Westcott exercise shared voting and disposition power over the 338,441 shares of Common Stock as the managers of Carl Westcott, LLC, the general partner of Commodore Partners.

 

(2)                                 The percentage ownership is based on 15,376,987 shares of Common Stock outstanding, as reported by the Issuer in its registration statement on Form S-3 filed on April 25, 2017.

 

3



 

CUSIP No.   205768203

13D

 

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

G.K. Westcott LP

20-2443941

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds
WC

 

 

5.

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Texas

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

7.

Sole Voting Power
24,000 (1)

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
24,000 (1)

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
24,000 (1)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.16% (2)

 

 

14.

Type of Reporting Person
PN

 


(1)                                 Carl H. Westcott and Court H. Westcott exercise shared voting and disposition power over the 24,000 shares of Common Stock as the managers of Carl Westcott, LLC, the general partner of GK Westcott.

 

(2)                                 The percentage ownership is based on 15,376,987 shares of Common Stock outstanding, as reported by the Issuer in its registration statement on Form S-3 filed on April 25, 2017.

 

4



 

CUSIP No.   205768203

13D

 

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Carl Westcott, LLC

75-2655092

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds
AF

 

 

5.

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
Texas

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

7.

Sole Voting Power
362,441 (1)

 

8.

Shared Voting Power
0

 

9.

Sole Dispositive Power
362,441 (1)

 

10.

Shared Dispositive Power
0

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
362,441 (1)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
2.36% (2)

 

 

14.

Type of Reporting Person
HC

 


(1)                                 Carl H. Westcott and Court H. Westcott exercise shared voting and disposition power over the 307,000 shares of Common Stock as the managers of Carl Westcott, LLC, the general partner of each of Commodore Partners, which directly owns 338,441 shares of Common Stock, and GK Westcott, which directly owns 24,000 shares of Common Stock.

 

(2)                                 The percentage ownership is based on 15,376,987 shares of Common Stock outstanding, as reported by the Issuer in its registration statement on Form S-3 filed on April 25, 2017.

 

5



 

CUSIP No.   205768203

13D

 

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Court H. Westcott

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds
PF

 

 

5.

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

7.

Sole Voting Power
4,000 (1)

 

8.

Shared Voting Power
362,441 (2)

 

9.

Sole Dispositive Power
0 (1)

 

10.

Shared Dispositive Power
366,441 (1) (2)

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
366,441 (1) (2)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
2.38% (3)

 

 

14.

Type of Reporting Person
IN

 


(1)                                 Consists of 4,000 shares of Common Stock held of record by Court H. Westcott, Trustee of the Court H. Westcott Living Trust.  Carl H. Westcott has shared discretionary authority to purchase and dispose of those shares of Common Stock for the benefit of such reporting person, but does not exercise any voting power with respect to such shares.  Carl H. Westcott expressly disclaims beneficial ownership of any such shares of Common Stock.

 

(2)                                 Carl H. Westcott and Court H. Westcott exercise shared voting and disposition power over 362,441 shares of Common Stock as the managers of Carl Westcott, LLC, the general partner of each of Commodore Partners, which directly owns 338,441 shares of Common Stock, and GK Westcott, which directly owns 24,000 shares of Common Stock.

 

(3)                                 The percentage ownership is based on 15,376,987 shares of Common Stock outstanding, as reported by the Issuer in its registration statement on Form S-3 filed on April 25, 2017.

 

6



 

CUSIP No.   205768203

13D

 

 

 

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (Entities Only).

 

Carla Westcott

 

 

2.

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds
PF

 

 

5.

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
United States of America

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

7.

Sole Voting Power
11,692 (1)

 

8.

Shared Voting Power
0 (1)

 

9.

Sole Dispositive Power
0 (1)

 

10.

Shared Dispositive Power
11,692 (1)

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
11,692 (1)

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
0.08% (2)

 

 

14.

Type of Reporting Person
IN

 


(1)                                 Carla Westcott directly holds 11,692 shares of Common Stock.  Carl H. Westcott has shared discretionary authority to purchase and dispose of those shares of Common Stock for the benefit of such reporting person, but does not exercise any voting power with respect to such shares.  Carl H. Westcott expressly disclaims beneficial ownership of any such shares of Common Stock.

 

(2)                                 The percentage ownership is based on 15,376,987 shares of Common Stock outstanding, as reported by the Issuer in its registration statement on Form S-3 filed on April 25, 2017.

 

7



 

Item 1. Security and Issuer

 

This Amendment No. 17 to Schedule 13D (“Amendment No. 17”) amends and supplements the original Schedule 13D filed on June 11, 2015 (as amended by Amendment No. 1, Amendment No. 2, Amendment No. 3, Amendment No. 4, Amendment No. 5, and Amendment No. 6, Amendment No. 7, Amendment No. 8, Amendment No. 9, Amendment No. 10, Amendment No. 11, Amendment No. 12, Amendment No. 13, Amendment No. 14, Amendment No. 15, and Amendment No. 16, the “Schedule 13D”), Amendment No. 1 to Schedule 13D filed on June 30, 2015 (“Amendment No. 1”), Amendment No. 2 to Schedule 13D filed on July 6, 2015 (“Amendment No. 2”), Amendment No. 3 to Schedule 13D filed on July 20, 2015 (“Amendment No. 3”), Amendment No. 4 to Schedule 13D filed on August 10, 2015 (“Amendment No. 4”), Amendment No. 5 to Schedule 13D filed on May 25, 2016 (“Amendment No. 5”), Amendment No. 6 to Schedule 13D filed on September 6, 2016 (“Amendment No. 6”), Amendment No. 7 to Schedule 13D filed on September 21, 2016 (“Amendment No. 7”), Amendment No. 8 to Schedule 13D filed on December 5, 2016 (“Amendment No. 8”), Amendment No. 9 to Schedule 13D filed on December 16, 2016 (“Amendment No. 9”), Amendment No. 10 to Schedule 13D filed on January 3, 2017 (“Amendment No. 10”), Amendment No. 11 to Schedule 13D filed on January 17, 2017 (“Amendment No. 11”), Amendment No. 12 to Schedule 13D filed on January 27, 2017 (“Amendment No. 12”), Amendment No. 13 to Schedule 13D (“Amendment No. 13”) filed on February 7, 2017, Amendment No. 14 to Schedule 13D (“Amendment No. 14”) filed on February 17, 2017, Amendment No. 15 to Schedule 13D (“Amendment No. 15”) filed on March 16, 2017, and Amendment No. 16 to Schedule 13D (“Amendment No. 16”) filed April 13, 2017. This Amendment No. 17 is filed jointly on behalf of Carl H. Westcott, Commodore Partners, Ltd., G.K. Westcott LP, Carl Westcott, LLC, Court H. Westcott, and Carla Westcott (the “Reporting Persons”) relating to their beneficial ownership of the common stock, par value $0.50 per share (the “Common Stock”) of Comstock Resources, Inc., a Nevada corporation (the “Issuer”), whose principal executive offices are located at 5300 Town and Country Blvd., Suite 500, Frisco, Texas 75034. On August 1, 2016, the Issuer effected a 1-for-5 reverse stock split.

 

This Amendment No. 17 is filed pursuant to Rules 13d-1 and 13d-5 under the Securities Exchange Act of 1934, as amended, to reflect a change aggregating more than one percent (1%) in the beneficial ownership of the outstanding Common Stock in which Carl H. Westcott may be deemed to have a beneficial interest. Unless otherwise indicated, all capitalized terms used herein but not defined shall have the same meanings as set forth in the Schedule 13D.

 

Item 2. Identity and Background

 

Item 3. Source and Amount of Funds or Other Consideration

 

The information set forth or incorporated in Items 4 and 6 hereof are incorporated herein by reference.

 

With respect to each Reporting Person that is a natural person, the shares of Common Stock were acquired with the personal funds of such Reporting Person. The shares of Common Stock held by Commodore Partners, of which Carl Westcott, LLC is the sole general partner, were acquired with funds held by Commodore Partners for the general purpose of investing. The shares of Common Stock held by GK Westcott, of which Carl Westcott, LLC is the sole general partner, were acquired with funds held by GK Westcott for the general purpose of investing.

 

Item 4. Purpose of Transaction

 

This Item is being amended and supplemented to add the following:

 

The information set forth or incorporated in Items 3 and 6 hereof are incorporated herein by reference.

 

After accounting for all purchases and sales of Common Stock of the Reporting Persons since the filing of Amendment No. 16 (the period of April 13, 2017 through April 30, 2017), a net 228,625 shares of Common Stock were purchased by Carl H. Westcott during such period on his own behalf and on behalf of certain other Reporting Persons for an aggregate price of approximately $2,055,399.

 

Item 5. Interest in Securities of the Issuer.

 

This Item is being amended and supplemented to add the following:

 

(b)  The responses in rows 7, 8, 9 and 10 of the cover pages of this Statement are hereby incorporated by reference. Each of Court H. Westcott and Carla Westcott directly holds 4,000 and 11,692 shares of Common Stock, respectively, over which Carl H. Westcott shares dispositive power, but not voting power, pursuant to trading authorizations.  Additionally, Carl H. Westcott shares dispositive power, but not voting power, pursuant to trading authorizations, of 13,500, 2,050, and 2,000 shares of Common Stock held by Peter Underwood, Francisco Trejo, Jr., and Rosie Greene, respectively. Commodore Partners holds 338,441 shares of Common Stock, over

 

8



 

which Carl H. Westcott holds shared voting and dispositive power with Court H. Westcott as the managers of Carl Westcott, LLC, the sole general partner of Commodore Partners. GK Westcott holds 24,000 shares of Common Stock, over which Carl H. Westcott holds shared voting and dispositive power with Court H. Westcott as the managers of Carl Westcott, LLC, the sole general partner of GK Westcott.

 

(c)  After accounting for all purchases and sales of Common Stock of the Reporting Persons during the period of April 13, 2017 through April 30, 2017, a net 228,625 shares of Common Stock were sold by Carl H. Westcott on his own behalf and on behalf of the other Reporting Persons for an aggregate price of approximately $2,055,399.  All purchases and sales made in such period were made on the dates and at the prices set forth below. All purchases and sales listed below were affected in ordinary open market transactions.

 

Name of Reporting Person

 

Trade Date

 

Number of Shares
Purchased (Sold)

 

Price Per Share ($)

 

Carl H. Westcott

 

4/13/2017

 

400

 

9.85

 

Carl H. Westcott

 

4/13/2017

 

100

 

9.84

 

Carl H. Westcott

 

4/13/2017

 

335

 

9.88

 

Carl H. Westcott

 

4/13/2017

 

165

 

9.83

 

Carl H. Westcott

 

4/13/2017

 

570

 

10.00

 

Carl H. Westcott

 

4/13/2017

 

165

 

9.97

 

Carl H. Westcott

 

4/13/2017

 

165

 

9.93

 

Carl H. Westcott

 

4/13/2017

 

100

 

9.87

 

Carl H. Westcott

 

4/13/2017

 

500

 

9.73

 

Carl H. Westcott

 

4/13/2017

 

500

 

9.73

 

Carl H. Westcott

 

4/13/2017

 

500

 

9.82

 

Carl H. Westcott

 

4/13/2017

 

1,500

 

9.77

 

Carl H. Westcott

 

4/13/2017

 

400

 

9.77

 

Carl H. Westcott

 

4/13/2017

 

100

 

9.77

 

Carl H. Westcott

 

4/13/2017

 

5,000

 

9.50

 

Carl H. Westcott

 

4/17/2017

 

1,000

 

9.21

 

Carl H. Westcott

 

4/17/2017

 

1,000

 

9.22

 

Carl H. Westcott

 

4/17/2017

 

3,000

 

9.22

 

Carl H. Westcott

 

4/17/2017

 

800

 

9.21

 

Carl H. Westcott

 

4/17/2017

 

200

 

9.20

 

Carl H. Westcott

 

4/17/2017

 

4,100

 

9.20

 

Carl H. Westcott

 

4/17/2017

 

300

 

9.20

 

Carl H. Westcott

 

4/17/2017

 

600

 

9.19

 

Carl H. Westcott

 

4/17/2017

 

500

 

9.32

 

Carl H. Westcott

 

4/17/2017

 

500

 

9.32

 

Carl H. Westcott

 

4/17/2017

 

2,000

 

9.25

 

Carl H. Westcott

 

4/17/2017

 

5,000

 

9.22

 

Carl H. Westcott

 

4/17/2017

 

500

 

9.16

 

Carl H. Westcott

 

4/17/2017

 

200

 

9.16

 

Carl H. Westcott

 

4/17/2017

 

1,800

 

9.16

 

Carl H. Westcott

 

4/18/2017

 

500

 

9.23

 

Carl H. Westcott

 

4/18/2017

 

4,000

 

9.17

 

Carl H. Westcott

 

4/18/2017

 

500

 

9.08

 

Carl H. Westcott

 

4/18/2017

 

500

 

9.09

 

Carl H. Westcott

 

4/18/2017

 

500

 

9.09

 

Carl H. Westcott

 

4/18/2017

 

500

 

9.09

 

 

9



 

Name of Reporting Person

 

Trade Date

 

Number of Shares
Purchased (Sold)

 

Price Per Share ($)

 

Carl H. Westcott

 

4/18/2017

 

5,000

 

9.04

 

Carl H. Westcott

 

4/18/2017

 

3,361

 

9.00

 

Carl H. Westcott

 

4/19/2017

 

(2,561

)

9.21

 

Carl H. Westcott

 

4/19/2017

 

(100

)

9.17

 

Carl H. Westcott

 

4/19/2017

 

(400

)

9.16

 

Carl H. Westcott

 

4/19/2017

 

(900

)

9.16

 

Carl H. Westcott

 

4/19/2017

 

(3,600

)

9.16

 

Carl H. Westcott

 

4/20/2017

 

(2,508

)

9.19

 

Carl H. Westcott

 

4/20/2017

 

2,508

 

9.04

 

Carl H. Westcott

 

4/20/2017

 

2,508

 

9.02

 

Carl H. Westcott

 

4/20/2017

 

1,000

 

9.08

 

Carl H. Westcott

 

4/20/2017

 

2,500

 

9.00

 

Carl H. Westcott

 

4/20/2017

 

3,542

 

8.94

 

Carl H. Westcott

 

4/20/2017

 

858

 

8.94

 

Carl H. Westcott

 

4/20/2017

 

600

 

8.94

 

Carl H. Westcott

 

4/20/2017

 

5,000

 

8.92

 

Carl H. Westcott

 

4/20/2017

 

5,000

 

8.91

 

Carl H. Westcott

 

4/21/2017

 

500

 

8.95

 

Carl H. Westcott

 

4/21/2017

 

500

 

9.00

 

Carl H. Westcott

 

4/21/2017

 

500

 

8.94

 

Carl H. Westcott

 

4/21/2017

 

1,000

 

8.94

 

Carl H. Westcott

 

4/21/2017

 

500

 

8.89

 

Carl H. Westcott

 

4/21/2017

 

500

 

8.89

 

Carl H. Westcott

 

4/21/2017

 

2,000

 

8.89

 

Carl H. Westcott

 

4/21/2017

 

2,000

 

8.88

 

Carl H. Westcott

 

4/21/2017

 

2,500

 

8.92

 

Carl H. Westcott

 

4/21/2017

 

5,000

 

8.90

 

Carl H. Westcott

 

4/21/2017

 

5,000

 

8.85

 

Carl H. Westcott

 

4/24/2017

 

750

 

8.32

 

Carl H. Westcott

 

4/24/2017

 

4,250

 

8.50

 

Carl H. Westcott

 

4/24/2017

 

1,192

 

8.49

 

Carl H. Westcott

 

4/24/2017

 

500

 

8.65

 

Carl H. Westcott

 

4/24/2017

 

(2,500

)

8.72

 

Carl H. Westcott

 

4/24/2017

 

(2,500

)

8.75

 

Carl H. Westcott

 

4/24/2017

 

(2,500

)

8.78

 

Carl H. Westcott

 

4/24/2017

 

(200

)

8.70

 

Carl H. Westcott

 

4/24/2017

 

(558

)

8.69

 

Carl H. Westcott

 

4/24/2017

 

(1,742

)

8.69

 

Carl H. Westcott

 

4/24/2017

 

500

 

8.66

 

Carl H. Westcott

 

4/24/2017

 

500

 

8.66

 

Carl H. Westcott

 

4/24/2017

 

1,500

 

8.66

 

Carl H. Westcott

 

4/24/2017

 

700

 

8.66

 

Carl H. Westcott

 

4/24/2017

 

800

 

8.66

 

Carl H. Westcott

 

4/24/2017

 

1,500

 

8.66

 

 

10



 

Name of Reporting Person

 

Trade Date

 

Number of Shares
Purchased (Sold)

 

Price Per Share ($)

 

Carl H. Westcott

 

4/24/2017

 

250

 

8.66

 

Carl H. Westcott

 

4/24/2017

 

1,000

 

8.65

 

Carl H. Westcott

 

4/24/2017

 

(1,217

)

8.65

 

Carl H. Westcott

 

4/25/2017

 

(4,000

)

8.87

 

Carl H. Westcott

 

4/25/2017

 

500

 

8.96

 

Carl H. Westcott

 

4/25/2017

 

4,600

 

8.95

 

Carl H. Westcott

 

4/25/2017

 

400

 

8.95

 

Carl H. Westcott

 

4/25/2017

 

2,000

 

8.84

 

Carl H. Westcott

 

4/25/2017

 

1,100

 

8.83

 

Carl H. Westcott

 

4/25/2017

 

900

 

8.83

 

Carl H. Westcott

 

4/25/2017

 

2,000

 

8.84

 

Carl H. Westcott

 

4/25/2017

 

2,000

 

8.84

 

Carl H. Westcott

 

4/25/2017

 

4

 

8.83

 

Carl H. Westcott

 

4/25/2017

 

1,000

 

8.83

 

Carl H. Westcott

 

4/25/2017

 

(841

)

9.00

 

Carl H. Westcott

 

4/25/2017

 

(3,159

)

8.98

 

Carl H. Westcott

 

4/25/2017

 

(4,000

)

9.03

 

Carl H. Westcott

 

4/25/2017

 

(2,500

)

9.08

 

Carl H. Westcott

 

4/26/2017

 

400

 

9.33

 

Carl H. Westcott

 

4/26/2017

 

100

 

9.25

 

Carl H. Westcott

 

4/26/2017

 

1,000

 

9.32

 

Carl H. Westcott

 

4/26/2017

 

500

 

9.03

 

Carl H. Westcott

 

4/26/2017

 

500

 

9.03

 

Carl H. Westcott

 

4/26/2017

 

300

 

9.05

 

Carl H. Westcott

 

4/26/2017

 

700

 

9.09

 

Carl H. Westcott

 

4/26/2017

 

463

 

9.03

 

Carl H. Westcott

 

4/26/2017

 

500

 

9.09

 

Carl H. Westcott

 

4/26/2017

 

(2,500

)

9.25

 

Carl H. Westcott

 

4/26/2017

 

(2,500

)

9.28

 

Carl H. Westcott

 

4/26/2017

 

1,000

 

9.21

 

Carl H. Westcott

 

4/26/2017

 

1,000

 

9.19

 

Carl H. Westcott

 

4/26/2017

 

600

 

9.19

 

Carl H. Westcott

 

4/26/2017

 

400

 

9.19

 

Carl H. Westcott

 

4/26/2017

 

1,000

 

9.18

 

Carl H. Westcott

 

4/26/2017

 

500

 

9.13

 

Carl H. Westcott

 

4/26/2017

 

1,500

 

9.14

 

Carl H. Westcott

 

4/26/2017

 

1,500

 

9.14

 

Carl H. Westcott

 

4/26/2017

 

1,500

 

9.13

 

Carl H. Westcott

 

4/26/2017

 

400

 

9.16

 

Carl H. Westcott

 

4/26/2017

 

100

 

9.16

 

Carl H. Westcott

 

4/26/2017

 

500

 

9.16

 

Carl H. Westcott

 

4/26/2017

 

500

 

9.13

 

Carl H. Westcott

 

4/26/2017

 

1,000

 

9.09

 

Carl H. Westcott

 

4/26/2017

 

685

 

9.08

 

 

11



 

Name of Reporting Person

 

Trade Date

 

Number of Shares
Purchased (Sold)

 

Price Per Share ($)

 

Carl H. Westcott

 

4/26/2017

 

250

 

9.09

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.95

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.95

 

Carl H. Westcott

 

4/27/2017

 

4,400

 

8.94

 

Carl H. Westcott

 

4/27/2017

 

600

 

8.94

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.90

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.90

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.89

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.85

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.80

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.83

 

Carl H. Westcott

 

4/27/2017

 

3,400

 

8.85

 

Carl H. Westcott

 

4/27/2017

 

1,200

 

8.85

 

Carl H. Westcott

 

4/27/2017

 

400

 

8.85

 

Carl H. Westcott

 

4/27/2017

 

2,900

 

8.86

 

Carl H. Westcott

 

4/27/2017

 

200

 

8.85

 

Carl H. Westcott

 

4/27/2017

 

900

 

8.84

 

Carl H. Westcott

 

4/27/2017

 

400

 

8.84

 

Carl H. Westcott

 

4/27/2017

 

600

 

8.84

 

Carl H. Westcott

 

4/27/2017

 

5,000

 

8.85

 

Carl H. Westcott

 

4/27/2017

 

900

 

8.90

 

Carl H. Westcott

 

4/27/2017

 

3,600

 

8.89

 

Carl H. Westcott

 

4/27/2017

 

722

 

8.87

 

Carl H. Westcott

 

4/27/2017

 

700

 

8.86

 

Carl H. Westcott

 

4/27/2017

 

900

 

8.86

 

Carl H. Westcott

 

4/27/2017

 

7,578

 

8.90

 

Carl H. Westcott

 

4/27/2017

 

3,300

 

8.89

 

Carl H. Westcott

 

4/27/2017

 

1,200

 

8.88

 

Carl H. Westcott

 

4/27/2017

 

700

 

8.87

 

Carl H. Westcott

 

4/27/2017

 

400

 

8.86

 

Carl H. Westcott

 

4/27/2017

 

1,065

 

8.95

 

Carl H. Westcott

 

4/28/2017

 

(3,985

)

8.90

 

Carl H. Westcott

 

4/28/2017

 

(196

)

8.90

 

Carl H. Westcott

 

4/28/2017

 

(300

)

8.90

 

Carl H. Westcott

 

4/28/2017

 

(57

)

8.90

 

Carl H. Westcott

 

4/28/2017

 

(300

)

8.90

 

Carl H. Westcott

 

4/28/2017

 

(162

)

8.90

 

Commodore Partners

 

4/17/2017

 

100

 

9.18

 

Commodore Partners

 

4/17/2017

 

1,900

 

9.21

 

Commodore Partners

 

4/17/2017

 

4,900

 

9.44

 

Commodore Partners

 

4/17/2017

 

100

 

9.44

 

Commodore Partners

 

4/17/2017

 

5,000

 

9.34

 

Commodore Partners

 

4/17/2017

 

2,500

 

9.17

 

Commodore Partners

 

4/17/2017

 

1,205

 

9.17

 

 

12



 

Name of Reporting Person

 

Trade Date

 

Number of Shares
Purchased (Sold)

 

Price Per Share ($)

 

Commodore Partners

 

4/17/2017

 

1,800

 

9.17

 

Commodore Partners

 

4/18/2017

 

5,000

 

9.02

 

Commodore Partners

 

4/19/2017

 

(2,500

)

9.18

 

Commodore Partners

 

4/20/2017

 

800

 

8.90

 

Commodore Partners

 

4/20/2017

 

4,301

 

8.92

 

Commodore Partners

 

4/20/2017

 

4,499

 

8.92

 

Commodore Partners

 

4/20/2017

 

400

 

8.92

 

Commodore Partners

 

4/20/2017

 

500

 

8.93

 

Commodore Partners

 

4/21/2017

 

2,500

 

8.94

 

Commodore Partners

 

4/21/2017

 

2,500

 

8.91

 

Commodore Partners

 

4/21/2017

 

300

 

8.94

 

Commodore Partners

 

4/21/2017

 

2,000

 

8.90

 

Commodore Partners

 

4/21/2017

 

200

 

8.89

 

Commodore Partners

 

4/21/2017

 

2,500

 

8.94

 

Commodore Partners

 

4/21/2017

 

1,900

 

8.88

 

Commodore Partners

 

4/21/2017

 

200

 

8.87

 

Commodore Partners

 

4/21/2017

 

400

 

8.87

 

Commodore Partners

 

4/21/2017

 

(2,500

)

8.95

 

Commodore Partners

 

4/24/2017

 

495

 

8.37

 

Commodore Partners

 

4/24/2017

 

1,000

 

8.48

 

Commodore Partners

 

4/25/2017

 

(2,500

)

9.12

 

Commodore Partners

 

4/26/2017

 

(300

)

9.33

 

Commodore Partners

 

4/26/2017

 

1,000

 

9.06

 

Commodore Partners

 

4/27/2017

 

10,000

 

8.95

 

Commodore Partners

 

4/27/2017

 

141

 

8.95

 

Commodore Partners

 

4/27/2017

 

100

 

8.94

 

Carla Westcott

 

4/20/2017

 

2,500

 

8.97

 

Carla Westcott

 

4/24/2017

 

92

 

8.65

 

Carla Westcott

 

4/25/2017

 

92

 

8.62

 

GK Westcott LP

 

4/27/2017

 

5,000

 

9.10

 

 

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

 

Item 7. Material to be Filed as Exhibits

 

Exhibit A

Joint Filing Agreement, dated June 8, 2015, by and among Carl H. Westcott, Commodore Partners, Ltd., G.K. Westcott LP, Carl Westcott, LLC, Jimmy Elizabeth Westcott, Chart H. Westcott, Court H. Westcott, and Carla Westcott (incorporated by reference to Exhibit A to the Schedule 13D filed with the Securities and Exchange Commission on June 11, 2015).

 

 

Exhibit B

Form of Authorization of Agent (incorporated by reference to Exhibit B to the Schedule 13D filed with the Securities and Exchange Commission on June 11, 2015).

 

 

Exhibit C

Power of Attorney, dated June 8, 2015 (incorporated by reference to Exhibit C to the Schedule 13D filed with the Securities and Exchange Commission on June 11, 2015).

 

13



 

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.

 

Date: May 1, 2017

 

Reporting Persons:

CARL H. WESTCOTT

 

 

 

/s/ Michael I. Smartt

 

Michael I. Smartt

 

Attorney-in-Fact

 

 

 

COMMODORE PARTNERS, LTD.

 

 

 

By: Carl Westcott, LLC, its general partner

 

 

 

/s/ Michael I. Smartt

 

Michael I. Smartt

 

Attorney-in-Fact

 

 

 

G.K. WESTCOTT LP

 

 

 

By: Carl Westcott, LLC, its general partner

 

 

 

/s/ Michael I. Smartt

 

Michael I. Smartt

 

Attorney-in-Fact

 

 

 

CARL WESTCOTT, LLC

 

 

 

/s/ Michael I. Smartt

 

Michael I. Smartt

 

Attorney-in-Fact

 

 

 

COURT H. WESTCOTT

 

 

 

/s/ Michael I. Smartt

 

Michael I. Smartt

 

Attorney-in-Fact

 

 

 

CARLA WESTCOTT

 

 

 

/s/ Michael I. Smartt

 

Michael I. Smartt

 

Attorney-in-Fact

 

14