0000902664-16-008931.txt : 20161130 0000902664-16-008931.hdr.sgml : 20161130 20161130190316 ACCESSION NUMBER: 0000902664-16-008931 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161128 FILED AS OF DATE: 20161130 DATE AS OF CHANGE: 20161130 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: 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: 162026436 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: 162026437 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 Special Opportunities Master Fund Ltd. CENTRAL INDEX KEY: 0001621471 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 162026438 BUSINESS ADDRESS: STREET 1: C/O CLINTON GROUP INC. STREET 2: 510 MADISON AVE, 8TH FL 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 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: 162026439 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: Hall George E. CENTRAL INDEX KEY: 0001566939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14310 FILM NUMBER: 162026441 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: 162026440 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 4 1 p16-2236form4.xml IMATION CORP X0306 4 2016-11-28 0 0001014111 IMATION CORP IMN 0001566939 Hall George E. C/O CLINTON GROUP INC, 510 MADISON AVE. 8TH FLOOR NEW YORK NY 10022 1 0 0 1 See remarks 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 1 0 0 1 See remarks 0001621471 Clinton Special Opportunities Master Fund Ltd. C/O CLINTON GROUP INC. 510 MADISON AVE, 8TH FL NEW YORK NY 10022 1 0 0 1 See remarks 0001577073 Clinton Relational Opportunity LLC C/O CLINTON GROUP INC. 510 MADISON AVE., 8TH FLOOR NEW YORK NY 10022 1 0 0 1 See remarks 0001584551 GEH Capital Inc. C/O CLINTON GROUP INC., 601 LEXINGTON AV 51ST FLOOR NEW YORK NY 10022 1 0 0 1 See remarks Common Stock 2016-11-28 4 P 0 11706 0.793 A 1439566 I See footnotes Common Stock 2016-11-29 4 P 0 100000 1.053 A 1539566 I See footnotes The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.765 to $0.8, inclusive. The Reporting Persons undertake 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 purchased at each separate price within the ranges set forth herein. The securities reported herein may be deemed to be indirectly beneficially owned by Mr. George E. Hall ("Mr. Hall"), which securities are directly held by: (i) GEH Capital, Inc., which is indirectly owned by Mr. Hall and (ii) Clinton Relational Opportunity Master Fund, L.P. ("CREL") and Clinton Special Opportunities Master Fund Ltd. ("CSO"), of which Clinton Group, Inc. ("CGI") is also deemed to be the indirect beneficial owner of such securities by virtue of its position as investment manager of CSO and its ownership of Clinton Union League, LLC (formerly known as Clinton Relational Opportunity, LLC), which serves as the investment manager of CREL. Mr. Hall serves as the Chief Executive Officer 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 owner 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. Each Reporting Person disclaims beneficial ownership of any and all securities beneficially owned by Mr. DePerio. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8395 to $1.14, inclusive. The Reporting Persons undertake 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 purchased at each separate price within the ranges set forth herein. 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 2016-11-30 Clinton Relational Opportunity Master Fund, L.P., By: Clinton Relational Opportunity, LLC, its Investment Manager, By:/s/ John Hall, its Authorized Signatory 2016-11-30 Clinton Special Opportunities Master Fund Ltd., By: Clinton Group, Inc., its investment advisor, By: /s/ George Hall, its President 2016-11-30 Clinton Relational Opportunity, LLC, By:/s/ John Hall, its Authorized Signatory 2016-11-30 GEH CAPITAL, INC.,By: /s/ Francis Ruchalski,its Authorized Signatory 2016-11-30 /s/ George Hall 2016-11-30