0000921895-20-000991.txt : 20200402 0000921895-20-000991.hdr.sgml : 20200402 20200402200809 ACCESSION NUMBER: 0000921895-20-000991 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200320 FILED AS OF DATE: 20200402 DATE AS OF CHANGE: 20200402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DiSanto Frederick D. CENTRAL INDEX KEY: 0001498290 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771244 MAIL ADDRESS: STREET 1: 6060 PARKLAND STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ancora Advisors, LLC CENTRAL INDEX KEY: 0001446114 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771245 BUSINESS ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD, SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 BUSINESS PHONE: 2168254000 MAIL ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD, SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ANCORA MERLIN INSTITUTIONAL, LP CENTRAL INDEX KEY: 0001431892 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771246 BUSINESS ADDRESS: STREET 1: ANCORA ADVISORS LLC STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 BUSINESS PHONE: 216-839-5123 MAIL ADDRESS: STREET 1: ANCORA ADVISORS LLC STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 FORMER NAME: FORMER CONFORMED NAME: MERLIN PARTNERS, LP DATE OF NAME CHANGE: 20140926 FORMER NAME: FORMER CONFORMED NAME: MERLIN PARTNERS LP DATE OF NAME CHANGE: 20080409 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ancora Merlin, LP CENTRAL INDEX KEY: 0001694450 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771247 BUSINESS ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 BUSINESS PHONE: 216-593-5002 MAIL ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ancora Catalyst Institutional, LP CENTRAL INDEX KEY: 0001620142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771248 BUSINESS ADDRESS: STREET 1: ANCORA ADVISORS LLC STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 BUSINESS PHONE: 216-825-4000 MAIL ADDRESS: STREET 1: ANCORA ADVISORS LLC STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 FORMER NAME: FORMER CONFORMED NAME: Ancora Catalyst Fund LP DATE OF NAME CHANGE: 20140922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ancora Catalyst, LP CENTRAL INDEX KEY: 0001694346 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771249 BUSINESS ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 BUSINESS PHONE: 216-593-5002 MAIL ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ancora Catalyst SPV I LP CENTRAL INDEX KEY: 0001740270 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771250 BUSINESS ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 BUSINESS PHONE: 216-593-5002 MAIL ADDRESS: STREET 1: 6060 PARKLAND BOULEVARD STREET 2: SUITE 200 CITY: CLEVELAND STATE: OH ZIP: 44124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C CENTRAL INDEX KEY: 0001802503 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08897 FILM NUMBER: 20771251 BUSINESS ADDRESS: STREET 1: 94 SOLARIS AVENUE, PO BOX 1348 STREET 2: CAMANA BAY CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 BUSINESS PHONE: 216-593-5002 MAIL ADDRESS: STREET 1: 94 SOLARIS AVENUE, PO BOX 1348 STREET 2: CAMANA BAY CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BIG LOTS INC CENTRAL INDEX KEY: 0000768835 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331] IRS NUMBER: 061119097 STATE OF INCORPORATION: OH FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 4900 E DUBLIN GRANVILLE RD CITY: COLUMBUS STATE: OH ZIP: 43081-7651 BUSINESS PHONE: 614-278-6800 MAIL ADDRESS: STREET 1: 4900 E DUBLIN GRANVILLE RD CITY: COLUMBUS STATE: OH ZIP: 43081-7651 4/A 1 form4a111142005_04022020.xml OWNERSHIP DOCUMENT X0306 4/A 2020-03-20 2020-03-27 0 0000768835 BIG LOTS INC BIG 0001446114 Ancora Advisors, LLC 6060 PARKLAND BOULEVARD, SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses 0001431892 ANCORA MERLIN INSTITUTIONAL, LP ANCORA ADVISORS LLC 6060 PARKLAND BOULEVARD, SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses 0001694450 Ancora Merlin, LP 6060 PARKLAND BOULEVARD SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses 0001620142 Ancora Catalyst Institutional, LP ANCORA ADVISORS LLC 6060 PARKLAND BOULEVARD, SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses 0001694346 Ancora Catalyst, LP 6060 PARKLAND BOULEVARD SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses 0001740270 Ancora Catalyst SPV I LP 6060 PARKLAND BOULEVARD SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses 0001802503 Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C 94 SOLARIS AVENUE, PO BOX 1348 CAMANA BAY GRAND CAYMAN E9 KY1-1108 CAYMAN ISLANDS 0 0 0 1 See Explanation of Responses 0001498290 DiSanto Frederick D. 6060 PARKLAND SUITE 200 CLEVELAND OH 44124 0 0 0 1 See Explanation of Responses Common Stock $0.01 par value 2020-03-25 4 X 0 2000 25.00 A 705314 I See Footnote Common Stock $0.01 par value 2020-03-25 4 X 0 500 25.00 A 70254 I See Footnote Common Stock $0.01 par value 2020-03-25 4 X 0 500 25.00 A 638411 I See Footnote Common Stock $0.01 par value 48468 I See Footnote Common Stock $0.01 par value 549756 I See Footnote Common Stock $0.01 par value 453140 I See Footnote Put option (obligation to buy) 25.00 2020-03-25 4 X 0 20 0 D 2019-12-16 2020-04-17 Common Stock $0.01 par value 2000 1105 I See Footnote Put option (obligation to buy) 25.00 2020-03-25 4 X 0 5 0 D 2019-12-16 2020-04-17 Common Stock $0.01 par value 500 83 I See Footnote Put option (obligation to buy) 25.00 2020-03-25 4 X 0 5 0 D 2019-12-16 2020-04-17 Common Stock $0.01 par value 500 1157 I See Footnote Put option (obligation to buy) 25.00 2019-12-16 2020-04-17 Common Stock $0.01 par value 12500 12500 I See Footnote Put option (obligation to buy) 27.50 2020-03-20 4 E 0 256 0 D 2020-01-23 2020-03-20 Common Stock $0.01 par value 25600 0 I See Footnote This Form 4 is filed jointly by Ancora Merlin Institutional LP ("Ancora Merlin Institutional"), Ancora Merlin, LP ("Ancora Merlin"), Ancora Catalyst Institutional, LP ("Ancora Catalyst Institutional"), Ancora Catalyst, LP ("Ancora Catalyst"), Ancora Catalyst SPV I LP ("Ancora SPV I"), Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C ("Ancora SPV I Ltd"), Ancora Advisors, LLC ("Ancora Advisors") and Frederick DiSanto (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock, par value $0.01 (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. Securities owned directly by Ancora Merlin Institutional. As the investment advisor of Ancora Merlin Institutional, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Merlin Institutional. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Merlin Institutional. Securities owned directly by Ancora Merlin. As the investment advisor of Ancora Merlin, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Merlin. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Merlin. Securities owned directly by Ancora Catalyst Institutional. As the investment advisor of Ancora Catalyst Institutional, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Catalyst Institutional. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Catalyst Institutional. Securities owned directly by Ancora Catalyst. As the investment advisor of Ancora Catalyst, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Catalyst. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Catalyst. Securities owned directly by Ancora SPV I. As the investment advisor of Ancora SPV I, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora SPV I. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora SPV I. Securities owned directly by Ancora SPV I Ltd. As the investment advisor of Ancora SPV I Ltd, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora SPV I Ltd. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora SPV I Ltd. This Amended Form 4 amends and restates the Form 4 filed on March 27, 2020 in order to clarify disclosure regarding the exercise and expiration of derivative securities of the Issuer between March 20, 2020 and March 25, 2020. Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 Ancora Merlin Institutional LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 Ancora Merlin, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 Ancora Catalyst Institutional, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 Ancora Catalyst, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 Ancora Catalyst SPV I LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-04-02 /s/ Frederick DiSanto 2020-04-02