FRMM

SEC source: 0001438284-19-000015 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,131,385

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000014 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,138,185

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000013 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,138,385

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000011 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,138,485

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000009 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,139,085

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000008 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,139,385

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001357550-19-000059 · primary_doc.xml · nonDerivative · entry 1

Weiss Asset Management LP · CIK 0001357550 · 10% owner

WEISS ANDREW M · CIK 0001357643 · 10% owner

WAM GP LLC · CIK 0001504664 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 3

Disclosed balance after: 757,860

F1 · kind: Voluntary redemption to the issuer.

F2 · price: The price is estimated based on the information in Form 8-K filed by the issuer on June 6, 2019.

F3 · balance_after: Shares reported herein represent shares beneficially owned by two private investment funds for which Weiss Asset Management LP serves as an investment manager. WAM GP LLC is the general partner of Weiss Asset Management LP and Andrew Weiss is the Managing Member of WAM GP LLC. All of Weiss Asset Management LP, WAM GP LLC, and Andrew Weiss disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interest therein.

SEC source: 0001438284-19-000007 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 1,139,820

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001062993-19-001205 · form4.xml · nonDerivative · entry 1

Polar Asset Management Partners Inc. · CIK 0001326389 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: On March 5, 2019, KBL Merger Corp. IV (the "Issuer") held a special meeting of stockholders (the "Meeting"), as described in the Issuer's Current Report on 8-K filed with the SEC on March 8, 2019. At the Meeting, the stockholders approved an amendment to the Issuer's Charter, extending the date by which the Issuer must consummate its initial business combination and the date for cessation of the Issuer's operations if it has not completed an initial business combination (the "Extension Amendment Proposal"). In connection with the approval of the Extension Amendment Proposal, the Reporting Person (as defined below) redeemed all common shares of the Issuer held by the Polar Vehicles (as defined below).

F2 · ownership.nature: Polar Asset Management Partners Inc., a company incorporated under the laws of Ontario, Canada, (the "Reporting Person") serves as investment advisor to Polar Multi-Strategy Master Fund, a Cayman Islands exempted company ("PMSMF") and certain managed accounts (together with PMSMF, the "Polar Vehicles") and has sole voting and investment discretion with respect to the securities reported herein which are held by the Polar Vehicles. The Reporting Person disclaims beneficial ownership of the securities reported herein, and this report shall not be deemed an admission that Reporting Person is the beneficial owner of the securities reported herein for the purpose of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose, except to the extent of Reporting Person's pecuniary interest therein.

SEC source: 0001062993-17-003071 · form4.xml · nonDerivative · entry 1

Polar Asset Management Partners Inc. · CIK 0001326389 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,487,500

F1 · ownership.nature: Polar Asset Management Partners Inc., a company incorporated under the laws of Ontario, Canada, (the "Reporting Person") serves as investment advisor to Polar Multi-Strategy Master Fund, a Cayman Islands exempted company ("PMSMF") and certain managed accounts (together with PMSMF, the "Polar Vehicles") and has sole voting and investment discretion with respect to the securities reported herein which are held by the Polar Vehicles. The Reporting Person disclaims beneficial ownership of the securities reported herein, and this report shall not be deemed an admission that Reporting Person is the beneficial owner of the securities reported herein for the purpose of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose, except to the extent of Reporting Person's pecuniary interest therein.

SEC source: 0001213900-17-006860 · f4062317krauss_kblmerger.xml · nonDerivative · entry 1

KRAUSS MARLENE · CIK 0001033308 · Director · Chief Executive Officer · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,252,500

F1 · shares: These shares are underlying units (each unit consisting of one share of common stock, one right entitling the holder thereof to receive one-tenth (1/10) of one share of common stock upon the consummation of an initial business combination and one warrant to purchase one-half of one share of common stock) held by KBL IV Sponsor LLC (the "Sponsor"), acquired pursuant to a third amended and restated unit purchase agreement by and between the Sponsor and the issuer.

F2 · shares: Such units were purchased upon the exercise of the underwriters' over-allotment option in connection with the issuer's initial public offering.

F3 · ownership.direct: Each of the issuer's officers and directors is a member of the Sponsor. Dr. Marlene Krauss, the issuer's Chief Executive Officer, is the sole managing member of the Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by the Sponsor and has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by the Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-17-006306 · f4060717krauss_kblmerger.xml · nonDerivative · entry 1

KRAUSS MARLENE · CIK 0001033308 · Director · Chief Executive Officer · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,225,000

F1 · shares: These shares are underlying units (each unit consisting of one share of common stock, one right entitling the holder thereof to receive one-tenth (1/10) of one share of common stock upon the consummation of an initial business combination and one warrant to purchase one-half of one share of common stock) held by KBL IV Sponsor LLC (the "Sponsor"), acquired pursuant to a third amended and restated unit purchase agreement by and between the Sponsor and the issuer.

F2 · ownership.direct: Each of the issuer's officers and directors is a member of the Sponsor. Dr. Marlene Krauss, the issuer's Chief Executive Officer, is the sole managing member of the Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by the Sponsor and has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by the Sponsor in which she does not have a pecuniary interest.

F3 · ownership.direct: Includes up to 375,000 shares of common stock that are subject to forfeiture in the event that the underwriters of the issuer's initial public offering do not exercise their over-allotment option in full.