0000902664-18-000798.txt : 20180209 0000902664-18-000798.hdr.sgml : 20180209 20180209112127 ACCESSION NUMBER: 0000902664-18-000798 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180209 DATE AS OF CHANGE: 20180209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OMEGA PROTEIN CORP CENTRAL INDEX KEY: 0001053650 STANDARD INDUSTRIAL CLASSIFICATION: FATS & OILS [2070] IRS NUMBER: 760438393 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55593 FILM NUMBER: 18589564 BUSINESS ADDRESS: STREET 1: 2105 CITY WEST BLVD. STREET 2: SUITE 500 CITY: HOUSTON STATE: TX ZIP: 77042 BUSINESS PHONE: 713-623-0060 MAIL ADDRESS: STREET 1: 2105 CITY WEST BLVD. STREET 2: SUITE 500 CITY: HOUSTON STATE: TX ZIP: 77042 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Man Group plc CENTRAL INDEX KEY: 0001637460 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: RIVERBANK HOUSE, 2 SWAN LANE CITY: LONDON STATE: X0 ZIP: EC4R 3AD BUSINESS PHONE: 44 202 7144 1000 MAIL ADDRESS: STREET 1: RIVERBANK HOUSE, 2 SWAN LANE CITY: LONDON STATE: X0 ZIP: EC4R 3AD SC 13G/A 1 p18-0237sc13ga.htm OMEGA PROTEIN CORPORATION

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G/A
 
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
 

Omega Protein Corporation

(Name of Issuer)
 

Common Stock, par value $0.01 per share

(Title of Class of Securities)
 

68210P107

(CUSIP Number)
 

December 31, 2017

(Date of Event Which Requires Filing of This Statement)
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
¨ Rule 13d-1(b)
ý Rule 13d-1(c)
¨ Rule 13d-1(d)
 
(Page 1 of 7 Pages)

 

______________________________

*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 the disclosures provided in a prior cover page.

The information required in 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. 68210P107

13G/APage 2 of 7 Pages

 

1

NAME OF REPORTING PERSON

Numeric Investors LLC

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

State of Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:		 5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

0

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

0

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0%

12

TYPE OF REPORTING PERSON

OO

         

 

 

 

CUSIP No. 68210P107

13G/APage 3 of 7 Pages

 

1

NAME OF REPORTING PERSON

Man Group plc

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United Kingdom

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:		 5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

200,800 shares of Common Stock issuable upon exercise of options

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

200,800 shares of Common Stock issuable upon exercise of options

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

200,800 shares of Common Stock issuable upon exercise of options

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.89%

12

TYPE OF REPORTING PERSON

OO, HC

         

 

 

 

CUSIP No. 68210P107

13G/APage 4 of 7 Pages

 

Item 1(a). NAME OF ISSUER:
   
  The name of the issuer is Omega Protein Corporation, a Nevada corporation (the "Company").

 

Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
   
  The Company's principal executive offices are located at 2105 City West Blvd., Suite 500, Houston, Texas 77002.

 

Item 2(a). NAME OF PERSON FILING:
   
  This statement is filed by the entities and persons listed below, who are collectively referred to herein as the "Reporting Persons" with respect to the Common Stock (as defined in Item 2(d) below):
   
  Investment Manager:
   
  (i) Numeric Investors LLC (the "Investment Manager"), with respect to the Common Stock held by certain funds and/or managed accounts to which the Investment Manager serves as investment manager (collectively, the "Numeric Funds").
   
  Parent Company:
   
  (ii) Man Group plc (the "Parent Company"), which indirectly, through various intermediate entities, controls the Investment Manager and GLG Partners LP (the "Additional Investment Manager") which serves as the investment manager to certain funds and/or managed accounts (collectively, the "Additional Funds"), with respect to the Common Stock held by each of the Numeric Funds and the Additional Funds.

 

Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
   
Item 2(c). CITIZENSHIP:
   
  This statement is filed by:
   
  (i)

Numeric Investors LLC

470 Atlantic Avenue,6th Floor

Boston, MA 02210

Citizenship: State of Delaware

   
  (ii)

Man Group Plc

Riverbank House

2 Swan Lane

London EC4R 3AD

United Kingdom

Citizenship: United Kingdom

 

 

 

CUSIP No. 68210P107

13G/APage 5 of 7 Pages

 

Item 2(d). TITLE OF CLASS OF SECURITIES:
   
  Common Stock, par value $0.01 per share (the "Common Stock").

 

Item 2(e). CUSIP NUMBER:
   
  68210P107

 

Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
   
  (a) ¨ Broker or dealer registered under Section 15 of the Act,
  (b) ¨ Bank as defined in Section 3(a)(6) of the Act,
  (c) ¨ Insurance Company as defined in Section 3(a)(19) of the Act,
  (d) ¨ Investment Company registered under Section 8 of the Investment Company Act of 1940,
  (e) ¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
  (f) ¨ Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F),
  (g) ¨ Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G),
  (h) ¨ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act,
  (i) ¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
  (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
  (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

 

 

If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please

specify the type of institution:_________________________________

 

Item 4. OWNERSHIP
   
  The information required by Items 4(a) – (c)  is set forth in Rows (5) – (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.  The percentage set forth in Row (11) of the cover page for each Reporting Person is based on the 22,478,928  shares of Common Stock outstanding as of November 24, 2017, as reported in the Company's Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on November 24, 2017.

 

 

 

CUSIP No. 68210P107

13G/APage 6 of 7 Pages

 

  The Investment Manager, which serves as the investment manager to each of the Numeric Funds, may be deemed to be the beneficial owner of all of the Common Stock owned by the Numeric Funds.  The Parent Company, which indirectly, through various intermediate entities, controls the Investment Manager and the Additional Investment Manager, may be deemed to be the beneficial owner of all the Common Stock owned by the Numeric Funds and the Additional Funds. The Parent Company hereby disclaims any beneficial ownership of any such Common Stock.

 

Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
   
  If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ý

 

Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
   
  See Item 2.

 

Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
   
  Not applicable.

 

Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
   
  Not applicable.

 

Item 9. NOTICE OF DISSOLUTION OF GROUP.
   
  Not applicable.

 

Item 10. CERTIFICATION.

 

  Each of the Reporting Persons hereby makes the following certification:
   
  By signing below each Reporting Person certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 

CUSIP No. 68210P107

13G/APage 7 of 7 Pages

 

SIGNATURES

After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

DATE: February 9, 2018

 

NUMERIC INVESTORS LLC    
     
     
By:  /s/ Christopher Ancona    
Name: Christopher Ancona    
Title: Chief Compliance Officer    
     
MAN GROUP PLC    
     
     
By:  /s/ Michelle Robyn Grew    
Name: Michelle Robyn Grew    
Title: Chief Administrative Officer