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