Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lite Strategy, Inc.MEIP · Entity 7396 | 10% owner | October 20, 2023 | October 24, 2023 |
| Trilogy International Partners Inc.TRL.H · Entity 92572 | 10% owner | January 01, 2023 | January 13, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Lite Strategy, Inc.
Report date October 20, 2023 · Filed October 24, 2023
Jointly reported with Anson Funds Management LP, Anson Advisors Inc., Nathoo Amin, Kassam Moez, Anson Management GP LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,093,188 |
Last balance in matching sequence
After 2023-10-20 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2023-10-20 · Other · Acquired 143,200 · Balance 1,057,388 F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Row 2 · 2023-10-20 · Other · Acquired 35,800 · Balance 1,093,188 F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.00 · Expires 2023-10-20 | IndirectSee footnotes | 7,068 |
Reported balance
After 2023-10-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-10-20 · Other · Disposed 1,432 · Balance 7,068 F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.00 · Expires 2023-10-20 | IndirectSee footnotes | 6,710 |
Reported balance
After 2023-10-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-10-20 · Other · Disposed 358 · Balance 6,710 F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. |
| Put Option (obligation to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.00 · Expires 2023-10-20 | IndirectSee footnotes | 0 |
Reported balance
After 2023-10-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-10-20 · Other · Disposed 6,710 · Balance 0 F3: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors.
F2: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
F3: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities.
Trilogy International Partners Inc.
Report date January 01, 2023 · Filed January 13, 2023
Jointly reported with Anson Funds Management LP, Anson Advisors Inc., Nathoo Amin, Kassam Moez, Anson Management GP LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, no par valueSEC Table I · non-derivative | IndirectSee footnotes | 9,453,250 |
Reported balance
Holding disclosure · report date 2023-01-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 9,453,250 F1: The filing of this Form 3 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Shares, no par value (the "Common Stock"), of Trilogy International Partners Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Nathoo and Mr. Kassam disclaim such beneficial ownership. F2: Anson and Anson Advisors hold indirectly 9,453,250 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The filing of this Form 3 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Shares, no par value (the "Common Stock"), of Trilogy International Partners Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Nathoo and Mr. Kassam disclaim such beneficial ownership.
F2: Anson and Anson Advisors hold indirectly 9,453,250 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SCHOOL SPECIALTY INC
Report date November 08, 2017 · Filed November 09, 2017
Jointly reported with Anson Funds Management LP, Anson Advisors Inc., Spears Adam, Kassam Moez, Anson Management GP LLC
Section 16 reporting ended · disclosed 2017-11-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectSee Footnote | 493,215 |
Reported balance
After 2017-11-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-11-08 · Sale · Disposed 800,000 · Balance 493,215 F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Adam Spears, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 par value (the "Common Stock"), of School Specialty, Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Spears and Mr. Kassam disclaim such beneficial ownership. F2: Anson and Anson Advisors hold indirectly 493,215 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Spears and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Adam Spears, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 par value (the "Common Stock"), of School Specialty, Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Spears and Mr. Kassam disclaim such beneficial ownership.
F2: Anson and Anson Advisors hold indirectly 493,215 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Spears and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 20, 2023 Filed Oct 24, 2023 23:32 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherPut Option (obligation to buy) · Derivative | 6,710 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000921895-23-002374 · form413392004ans_10242023.xml · derivative · entry 5 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 671,000 shares Expires 2023-10-20 F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 20, 2023 Filed Oct 24, 2023 23:32 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherPut Option (obligation to buy) · Derivative | 358 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000921895-23-002374 · form413392004ans_10242023.xml · derivative · entry 4 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 6,710 Underlying: Common Stock · 35,800 shares Expires 2023-10-20 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 20, 2023 Filed Oct 24, 2023 23:32 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherPut Option (obligation to buy) · Derivative | 1,432 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000921895-23-002374 · form413392004ans_10242023.xml · derivative · entry 3 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 7,068 Underlying: Common Stock · 143,200 shares Expires 2023-10-20 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 20, 2023 Filed Oct 24, 2023 23:32 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherCommon Stock | 35,800 | $7.00 | $250,600.00 |
DisclosureSEC source: 0000921895-23-002374 · form413392004ans_10242023.xml · nonDerivative · entry 2 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 1,093,188 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 20, 2023 Filed Oct 24, 2023 23:32 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherCommon Stock | 143,200 | $7.00 | $1,002,400.00 |
DisclosureSEC source: 0000921895-23-002374 · form413392004ans_10242023.xml · nonDerivative · entry 1 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 1,057,388 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 11, 2023 Filed Oct 13, 2023 21:02 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherPut Option (obligation to buy) · Derivative | 100 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000921895-23-002339 · form413392004ans_10132023.xml · derivative · entry 4 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 8,500 Underlying: Common Stock · 10,000 shares Expires 2023-10-20 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 11, 2023 Filed Oct 13, 2023 21:02 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherPut Option (obligation to buy) · Derivative | 400 | $0.00 Strike: $7.00 | $0.00 |
DisclosureSEC source: 0000921895-23-002339 · form413392004ans_10132023.xml · derivative · entry 3 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 8,600 Underlying: Common Stock · 40,000 shares Expires 2023-10-20 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 11, 2023 Filed Oct 13, 2023 21:02 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherCommon Stock | 10,000 | $7.00 | $70,000.00 |
DisclosureSEC source: 0000921895-23-002339 · form413392004ans_10132023.xml · nonDerivative · entry 2 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 914,188 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| October 11, 2023 Filed Oct 13, 2023 21:02 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | OtherCommon Stock | 40,000 | $7.00 | $280,000.00 |
DisclosureSEC source: 0000921895-23-002339 · form413392004ans_10132023.xml · nonDerivative · entry 1 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 904,188 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| September 22, 2023 Filed Sep 25, 2023 23:43 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | SalePut Option (obligation to buy) · Derivative | 9,000 | $0.15 Strike: $7.00 | $1,320.30 |
DisclosureSEC source: 0000921895-23-002232 · form413392004ans_09252023.xml · derivative · entry 2 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 9,000 Underlying: Common Stock · 900,000 shares Expires 2023-10-20 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| September 22, 2023 Filed Sep 25, 2023 23:43 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | PurchaseCommon Stock | 48,060 | $6.85 | $329,331.15 |
DisclosureSEC source: 0000921895-23-002232 · form413392004ans_09252023.xml · nonDerivative · entry 1 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 864,188 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the securities of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly the securities of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the securities held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the securities held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| September 21, 2023 Filed Sep 23, 2023 01:21 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | PurchaseCommon Stock | 33,600 | $6.46 | $217,109.76 |
DisclosureSEC source: 0001193805-23-001317 · e618957_4-anson.xml · nonDerivative · entry 2 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 816,128 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the shares of Common Stock, $0.00000002 par value (the "Common Stock"), of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly 816,128 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| September 20, 2023 Filed Sep 23, 2023 01:21 UTC | Lite Strategy, Inc. MEIP · Entity 7396 | PurchaseCommon Stock | 120,000 | $6.01 | $721,116.00 |
DisclosureSEC source: 0001193805-23-001317 · e618957_4-anson.xml · nonDerivative · entry 1 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Nathoo Amin · CIK 0001962354 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 782,528 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Amin Nathoo, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the shares of Common Stock, $0.00000002 par value (the "Common Stock"), of MEI Pharma, Inc. (the "Issuer") purchased by Anson Investments Master Fund LP, Anson East Master Fund LP and Anson Opportunities Master Fund LP (collectively, the "Funds"), each advised by Anson and Anson Advisors. F2 · balance_after: 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. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.nature: Anson and Anson Advisors hold indirectly 816,128 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Nathoo and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| November 08, 2017 Filed Nov 9, 2017 16:12 UTC | SCHOOL SPECIALTY INC SCOO · Entity 16699 | SaleCommon Stock, $0.001 par value | 800,000 | $16.55 | $13,240,000.00 |
DisclosureSEC source: 0000899243-17-025780 · doc4.xml · nonDerivative · entry 1 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Spears Adam · CIK 0001585166 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 493,215 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Adam Spears, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 par value (the "Common Stock"), of School Specialty, Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Spears and Mr. Kassam disclaim such beneficial ownership. F2 · ownership.nature: Anson and Anson Advisors hold indirectly 493,215 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Spears and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
| November 22, 2016 Filed Nov 25, 2016 16:05 UTC | SCHOOL SPECIALTY INC SCOO · Entity 16699 | PurchaseCommon Stock, $0.001 par value | 71,083 | $87.00 | $6,184,221.00 |
DisclosureSEC source: 0000899243-16-034388 · doc4.xml · nonDerivative · entry 1 Anson Funds Management LP · CIK 0001491072 · 10% owner Anson Advisors Inc. · CIK 0001581079 · 10% owner Spears Adam · CIK 0001585166 · 10% owner Kassam Moez · CIK 0001585167 · 10% owner Anson Management GP LLC · CIK 0001491073 · 10% owner Winson Bruce Ross · CIK 0001491069 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 184,645 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Adam Spears, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 par value (the "Common Stock"), of School Specialty, Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Spears and Mr. Kassam disclaim such beneficial ownership. F2 · ownership.nature: Anson and Anson Advisors hold indirectly 184,645 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Spears and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.