0000902664-16-004764.txt : 20160112 0000902664-16-004764.hdr.sgml : 20160112 20160112163025 ACCESSION NUMBER: 0000902664-16-004764 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160108 FILED AS OF DATE: 20160112 DATE AS OF CHANGE: 20160112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMATION CORP CENTRAL INDEX KEY: 0001014111 STANDARD INDUSTRIAL CLASSIFICATION: MAGNETIC & OPTICAL RECORDING MEDIA [3695] IRS NUMBER: 411838504 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 IMATION PL CITY: OAKDALE STATE: MN ZIP: 55128 BUSINESS PHONE: 6517044000 MAIL ADDRESS: STREET 1: 1 IMATION PLACE CITY: OAKDALE STATE: MN ZIP: 55128 FORMER COMPANY: FORMER CONFORMED NAME: 3M INFORMATION PROCESSING INC DATE OF NAME CHANGE: 19960619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hall George E. CENTRAL INDEX KEY: 0001566939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 161339062 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC, 510 MADISON AVE. STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GEH Capital Inc. CENTRAL INDEX KEY: 0001584551 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 161339063 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC., 601 LEXINGTON AV STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC., 601 LEXINGTON AV STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clinton Relational Opportunity LLC CENTRAL INDEX KEY: 0001577073 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 161339064 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 510 MADISON AVE., 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 510 MADISON AVE., 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clinton Magnolia Master Fund, Ltd. CENTRAL INDEX KEY: 0001567109 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 161339065 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC., 510 MADISON AVE. STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP INC., 510 MADISON AVE. STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CLINTON GROUP INC CENTRAL INDEX KEY: 0001134119 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 161339067 BUSINESS ADDRESS: STREET 1: 510 MADISON AVE STREET 2: 8TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128250400 MAIL ADDRESS: STREET 1: 510 MADISON AVE STREET 2: 8TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clinton Relational Opportunity Master Fund, L.P. CENTRAL INDEX KEY: 0001567108 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 161339066 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP, INC. STREET 2: 510 MADISON AVE., 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-825-0400 MAIL ADDRESS: STREET 1: C/O CLINTON GROUP, INC. STREET 2: 510 MADISON AVE., 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 p16-0075form4.xml IMATION CORP X0306 4 2016-01-08 0 0001014111 IMATION CORP IMN 0001134119 CLINTON GROUP INC 510 MADISON AVE 8TH FL NEW YORK NY 10022 1 0 0 1 See remarks. 0001567108 Clinton Relational Opportunity Master Fund, L.P. C/O CLINTON GROUP, INC. 510 MADISON AVE., 8TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. 0001567109 Clinton Magnolia Master Fund, Ltd. C/O CLINTON GROUP INC., 510 MADISON AVE. 8TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. 0001577073 Clinton Relational Opportunity LLC C/O CLINTON GROUP INC. 510 MADISON AVE., 8TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. 0001584551 GEH Capital Inc. C/O CLINTON GROUP INC., 601 LEXINGTON AV 51ST FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. 0001566939 Hall George E. C/O CLINTON GROUP INC, 510 MADISON AVE. 8TH FLOOR NEW YORK NY 10022 0 0 0 1 See remarks. Common Stock 2016-01-08 4 J 0 344826 D 1360075 I See footnotes Common Stock 2016-01-08 4 J 0 344826 A 427316 I See footnotes Effective January 8, 2016, WKCAX, a mutual fund portfolio for which Clinton Group, Inc. ("CGI") acted as sub-advisor, distributed in-kind, in connection with the winding up of WKCAX, shares of Imation Corp. held by it to GEH Capital, Inc. ("GEHC"), a shareholder of WKCAX and an affiliate of CGI. The aggregate number of shares beneficially owned by Mr. George E. Hall ("Mr. Hall") remains unchanged. The securities reported on this line may be deemed to be indirectly beneficially owned by CGI, which securities are directly held by Clinton Relational Opportunity Master Fund, L.P. ("CREL"), Clinton Magnolia Master Fund, Ltd. ("CMMF") and a mutual fund portfolio ("CASF"). CGI is deemed to be the indirect beneficial owner of such securities by virtue of its position as investment manager of CMMF and its ownership of Clinton Relational Opportunity, LLC, which serves as the investment manager of CREL, and sub-advisory agreements governing CASF. 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 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. 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 securities reported on this line may be deemed to be indirectly beneficially owned by Mr. Hall, which securities are directly held by GEHC. Mr. Hall is deemed to be the indirect beneficial owner of such securities by virtue of his indirect ownership of GEHC. Because Mr. DePerio, an employee of CGI, serves as a member of the board of directors of the Issuer, each of the Reporting Persons may be deemed to be a director by deputization. Clinton Group, Inc., By: /s/ George Hall, its President 2016-01-12 Clinton Relational Opportunity Master Fund, L.P., By: Clinton Relational Opportunity, LLC, its Investment Manager, By:/s/ John Hall, its Authorized Signatory 2016-01-12 Clinton Magnolia Master Fund Ltd., By: Clinton Group, Inc., its investment advisor, By: /s/ George Hall, its President 2016-01-12 Clinton Relational Opportunity, LLC, By:/s/ John Hall, its Authorized Signatory 2016-01-12 GEH CAPITAL, INC., /s/ Francis Ruchalski 2016-01-12 /s/ George Hall 2016-01-12