Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alberton Acquisition CorpALACU · Entity 162261 | 10% owner | October 24, 2018 | November 02, 2018 |
| Benessere Capital Acquisition Corp.BENEU · Entity 125175 | 10% owner | March 31, 2021 | April 16, 2021 |
| East Stone Acquisition CorpESSC · Entity 130454 | 10% owner | May 01, 2020 | May 08, 2020 |
| Moringa Acquisition CorpMACA · Entity 110260 | 10% owner | February 09, 2023 | April 05, 2023 |
| Phunware, Inc.STLR · Entity 7291 | 10% owner | May 24, 2018 | June 01, 2018 |
| Q/C TECHNOLOGIES, INC.AKER · Entity 7735 | 10% owner | February 28, 2020 | March 03, 2020 |
| SCVX Corp.SCVX · Entity 150333 | Director · 10% owner · See Remarks | March 24, 2020 | March 26, 2020 |
| Twin Ridge Capital Acquisition Corp.TRCA · Entity 112957 | 10% owner | May 18, 2023 | May 30, 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.
Alberton Acquisition Corp
Report date October 24, 2018 · Filed November 02, 2018
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | IndirectSee Footnote | 1,400,000 |
Reported balance
Holding disclosure · report date 2018-10-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,400,000 F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Benessere Capital Acquisition Corp.
Report date March 31, 2021 · Filed April 16, 2021
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 990,000 |
Reported balance
Holding disclosure · report date 2021-03-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 990,000 F1: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
East Stone Acquisition Corp
Report date May 01, 2020 · Filed May 08, 2020
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | IndirectSee footnote | 1,651,900 |
Reported balance
Holding disclosure · report date 2020-05-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,651,900 F1: (1) The securities are held by Strategic Bio Partners LLC Fund (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: (1) The securities are held by Strategic Bio Partners LLC Fund (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Moringa Acquisition Corp
Report date February 09, 2023 · Filed April 05, 2023
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, $0.0001 par valueSEC Table I · non-derivative | IndirectSee footnote | 401,271 |
Reported balance
Holding disclosure · report date 2023-02-09 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 401,271 F1: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Phunware, Inc.
Report date May 24, 2018 · Filed June 01, 2018
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 625,000 |
Reported balance
Holding disclosure · report date 2018-05-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 625,000 F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Q/C TECHNOLOGIES, INC.
Report date February 28, 2020 · Filed March 03, 2020
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par value ("Common Stock")SEC Table I · non-derivative | IndirectSee Footnote | 240,305 |
Reported balance
After 2020-02-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-02-28 · Sale · Disposed 638 · Balance 240,305 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.82 to $2.83, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.82 to $2.83, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
SCVX Corp.
Report date March 24, 2020 · Filed March 26, 2020
Jointly reported with Hudson Bay Capital Management LP, Hudson Bay Master Fund Ltd.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A ordinary sharesSEC Table I · non-derivative | IndirectSee footnote | 2,371,149 |
Reported balance
After 2020-03-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-24 · Purchase · Acquired 38,925 · Balance 2,371,149 F1: The reported shares are included within 38,925 units of SCVX Corp. (the "Units") purchased by Hudson Bay Master Fund Ltd. (the "Fund"), for $9.30 per Unit. Each Unit consists of one Class A ordinary share of SCVX Corp., par value $0.0001 per share (a "Class A Ordinary Share"), and one-half of one redeemable warrant of SCVX Corp. (a "Warrant"). F2: The Fund is managed by Hudson Bay Capital Management LP ("HBC"). Sander Gerber ("Mr. Gerber") serves as the managing member of Hudson Bay Capital GP LLC, which is the general partner of HBC. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported shares are included within 38,925 units of SCVX Corp. (the "Units") purchased by Hudson Bay Master Fund Ltd. (the "Fund"), for $9.30 per Unit. Each Unit consists of one Class A ordinary share of SCVX Corp., par value $0.0001 per share (a "Class A Ordinary Share"), and one-half of one redeemable warrant of SCVX Corp. (a "Warrant").
F2: The Fund is managed by Hudson Bay Capital Management LP ("HBC"). Sander Gerber ("Mr. Gerber") serves as the managing member of Hudson Bay Capital GP LLC, which is the general partner of HBC. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Twin Ridge Capital Acquisition Corp.
Report date May 18, 2023 · Filed May 30, 2023
Jointly reported with Hudson Bay Capital Management LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, $0.0001 par valueSEC Table I · non-derivative | IndirectSee footnote | 620,607 |
Reported balance
Holding disclosure · report date 2023-05-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 620,607 F1: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Past disclosures · reporting ended (14)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ADVENT TECHNOLOGIES HOLDINGS, INC.
Report date November 27, 2020 · Filed December 01, 2020
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2020-12-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.0001SEC Table I · non-derivative | IndirectSee footnote | 900,000 |
Reported balance
After 2020-11-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-11-27 · Sale · Disposed 100,000 · Balance 900,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.91 to $11.815, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.91 to $11.815, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Calidi Biotherapeutics, Inc.
Report date September 12, 2023 · Filed September 14, 2023
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2023-09-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-09-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-12 · Other · Disposed 500,000 · Balance 0 F1: The Reporting Persons elected to redeem 500,000 shares of Class A Common Stock for cash. F2: Reflects the Reporting Persons' best estimate of the redemption price based on the Issuer's disclosure in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 21, 2023. The Reporting Persons will file and amendment to this Form 4 to the extent the actual redemption price differs in any material respect from the price reported in column (4). F3: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 500,000 shares of Class A Common Stock for cash.
F2: Reflects the Reporting Persons' best estimate of the redemption price based on the Issuer's disclosure in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 21, 2023. The Reporting Persons will file and amendment to this Form 4 to the extent the actual redemption price differs in any material respect from the price reported in column (4).
F3: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Greencity Acquisition Corp
Report date April 25, 2023 · Filed April 27, 2023
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2023-04-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value $0.0001 per share par valSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-04-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-25 · Other · Disposed 325,000 · Balance 0 F1: The Reporting Persons elected to redeem 325,000 Class A Ordinary Shares for cash. F2: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 325,000 Class A Ordinary Shares for cash.
F2: The securities are held by HB Strategies LLC (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
HWH International Inc.
Report date May 01, 2023 · Filed May 03, 2023
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2023-05-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-05-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-01 · Other · Disposed 922,596 · Balance 0 F1: The Reporting Persons elected to redeem 922,596 shares of Class A Common Stock for cash. F3: Reflects the Reporting Persons' best estimate of the redemption price based on the Company's disclosure in the Company's Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April 13, 2023. The Reporting Persons will file an amendment to this Form 4 to the extent the actual redemption price differs in any material respect from the price reported in column (4). F2: The securities are held by HB Strategies LLC and Hudson Bay SPAC Master Fund LP (collectively, the "Funds"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Funds. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Funds. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Funds. Each Reporting Person disclaims beneficial ownership of the securities held by the Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 922,596 shares of Class A Common Stock for cash.
F2: The securities are held by HB Strategies LLC and Hudson Bay SPAC Master Fund LP (collectively, the "Funds"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Funds. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Funds. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Funds. Each Reporting Person disclaims beneficial ownership of the securities held by the Funds, except to the extent of its or his pecuniary interest therein.
F3: Reflects the Reporting Persons' best estimate of the redemption price based on the Company's disclosure in the Company's Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April 13, 2023. The Reporting Persons will file an amendment to this Form 4 to the extent the actual redemption price differs in any material respect from the price reported in column (4).
ISUN, INC.
Report date June 06, 2018 · Filed June 08, 2018
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2018-06-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2018-06-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-06 · Other · Disposed 390,000 · Balance 0 F1: The shares were redeemed by the Issuer for cash. F2: The securities were held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may have been deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may have been deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were redeemed by the Issuer for cash.
F2: The securities were held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may have been deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may have been deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Longevity Acquisition Corp
Report date September 14, 2018 · Filed September 18, 2018
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2018-09-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | IndirectSee Footnote | 535,000 |
Reported balance
After 2018-09-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-09-14 · Sale · Acquired 25,000 · Balance 535,000 F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
Model Performance Acquisition Corp
Report date December 15, 2022 · Filed December 19, 2022
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2022-12-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, no par valueSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2022-12-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-12-15 · Other · Disposed 403,264 · Balance 0 F1: The Reporting Persons elected to redeem 403,264 Class A Ordinary Shares for cash. F2: The securities are held by HB Strategies LLC and Hudson Bay SPAC Master Fund LP (collectively, the "Funds"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Funds. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Funds. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Funds. Each Reporting Person disclaims beneficial ownership of the securities held by the Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 403,264 Class A Ordinary Shares for cash.
F2: The securities are held by HB Strategies LLC and Hudson Bay SPAC Master Fund LP (collectively, the "Funds"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Funds. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Funds. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Funds. Each Reporting Person disclaims beneficial ownership of the securities held by the Funds, except to the extent of its or his pecuniary interest therein.
Mountain Crest Acquisition Corp. IV
Report date June 27, 2023 · Filed June 29, 2023
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2023-06-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | IndirectSee footnote | 250,000 |
Reported balance
After 2023-06-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-06-27 · Other · Disposed 432,952 · Balance 250,000 F1: The Reporting Persons elected to redeem 432,952 shares of Common Stock for cash. F2: The securities are held by HB Strategies LLC and Hudson Bay SPAC Master Fund LP (collectively, the "Funds"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Funds. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Funds. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Funds. Each Reporting Person disclaims beneficial ownership of the securities held by the Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 432,952 shares of Common Stock for cash.
F2: The securities are held by HB Strategies LLC and Hudson Bay SPAC Master Fund LP (collectively, the "Funds"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Funds. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Funds. As the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Funds. Each Reporting Person disclaims beneficial ownership of the securities held by the Funds, except to the extent of its or his pecuniary interest therein.
Priority Technology Holdings, Inc.
Report date July 09, 2018 · Filed July 13, 2018
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2018-07-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 712,500 |
Reported balance
After 2018-07-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-07-09 · Sale · Disposed 37,500 · Balance 712,500 F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 552,293 |
Last balance in matching sequence
After 2018-07-12 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2018-07-10 · Sale · Disposed 207 · Balance 712,293 F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. Row 3 · 2018-07-12 · Sale · Disposed 160,000 · Balance 552,293 F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
REVIVA PHARMACEUTICALS HOLDINGS, INC.
Report date December 07, 2020 · Filed December 09, 2020
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2020-12-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par valueSEC Table I · non-derivative | IndirectSee footnote | 0 |
Last balance in matching sequence
After 2020-12-08 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-12-07 · Sale · Disposed 50,000 · Balance 710,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.01 to $12.2501, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. Row 2 · 2020-12-08 · Other · Disposed 710,000 · Balance 0 F3: The Reporting Persons elected to redeem 710,000 Ordinary Shares for cash. F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.01 to $12.2501, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
F3: The Reporting Persons elected to redeem 710,000 Ordinary Shares for cash.
SELLAS Life Sciences Group, Inc.
Report date February 08, 2017 · Filed February 10, 2017
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2017-02-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 2,036,559 |
Reported balance
After 2017-02-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-02-08 · Sale · Disposed 2,363,441 · Balance 2,036,559 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.10 to $0.83, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
| Call Options (obligation to sell)SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2019-01-18 | IndirectSee footnote | Not disclosed |
Reported balance
After 2017-02-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-02-08 · Purchase · Acquired 1,100 · Balance Not disclosed F3: Exercisable at any time. F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.10 to $0.83, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
F2: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
F3: Exercisable at any time.
Sports Entertainment Gaming Global Corp
Report date August 28, 2020 · Filed September 02, 2020 · Amendment
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2020-09-02. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, $0.001 par value per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 1,100,000 |
Reported balance
After 2020-08-28 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-08-28 · Other · Disposed 340,000 · Balance 1,100,000 F1: The Reporting Persons elected to redeem 340,000 shares of Common Stock for cash. F2: $10.76421035 F3: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 340,000 shares of Common Stock for cash.
F2: $10.76421035
F3: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
TETRALOGIC PHARMACEUTICALS Corp
Report date November 14, 2016 · Filed November 14, 2016
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2016-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 8% Senior Convertible Notes due 2019SEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2016-11-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-11-14 · Other · Disposed Not disclosed · Balance 0 F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein. |
| Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 279,367 |
Reported balance
After 2016-11-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-11-14 · Other · Acquired 279,367 · Balance 279,367 F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein. |
| 8% Senior Convertible Notes due 2024SEC Table II · derivative / convertible security · Expires 2024-06-15 | IndirectSee Footnote | Not disclosed |
Reported balance
After 2016-11-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-11-14 · Other · Acquired Not disclosed · Balance Not disclosed F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes").
F2: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock.
F3: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock.
F4: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events.
F5: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes.
F6: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein.
Yunhong International
Report date October 22, 2021 · Filed October 26, 2021
Jointly reported with Hudson Bay Capital Management LP
Section 16 reporting ended · disclosed 2021-10-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee footnote | 700,000 |
Reported balance
After 2021-10-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-10-22 · Sale · Disposed 200,000 · Balance 700,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to $11.49, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F2: The securities are held by HB Strategies LLC (the "Fund"), which is indirectly controlled by Hudson Bay Master Fund Ltd (the "Master Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Master Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to $11.49, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
F2: The securities are held by HB Strategies LLC (the "Fund"), which is indirectly controlled by Hudson Bay Master Fund Ltd (the "Master Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Master Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| February 08, 2017 Filed Feb 10, 2017 18:16 UTC | SELLAS Life Sciences Group, Inc. GALE · Entity 4313 | SaleCommon Stock, par value $0.001 per share ("Common Stock") | 2,363,441 | $0.84 | $1,985,290.44 |
DisclosureSEC source: 0000902664-17-001037 · p17-0701form4.xml · nonDerivative · entry 1 Hudson Bay Capital Management LP · CIK 0001393825 · 10% owner Gerber Sander · CIK 0001416593 · 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: 2,036,559 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.10 to $0.83, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F2 · ownership.nature: The securities are held by Hudson Bay Master Fund, Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the securities held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the securities held by the Fund. Each Reporting Person disclaims beneficial ownership of the securities held by the Fund, except to the extent of its or his pecuniary interest therein. Read SEC document |
| November 14, 2016 Filed Nov 14, 2016 21:42 UTC | TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646 | Other8% Senior Convertible Notes due 2024 · Derivative | Not disclosed | Not disclosed | $949,714.00 |
DisclosureSEC source: 0001104659-16-157086 · a4.xml · derivative · entry 3 Hudson Bay Capital Management LP · CIK 0001393825 · See Remarks Gerber Sander · CIK 0001416593 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 140,844 shares Expires 2024-06-15 F4 · derivative.exercise_price: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F4 · price: The conversion rate for the Senior Notes is equal 148.3019 shares of the Company's common stock per $1,000 principal amount of Notes (which is equivalent to an initial conversion price of approximately $6.74 per share of common stock), subject to adjustment upon the occurrence of certain specified events. F5 · derivative.exercise_date: The Remaining Senior Notes are contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments. The Remaining Senior Notes are not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Remaining Senior Notes. F6 · ownership.nature: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein. Read SEC document |
| November 14, 2016 Filed Nov 14, 2016 21:42 UTC | TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646 | OtherPreferred Stock · Derivative | 279,367 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-157086 · a4.xml · derivative · entry 2 Hudson Bay Capital Management LP · CIK 0001393825 · See Remarks Gerber Sander · CIK 0001416593 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 279,367 Underlying: Common Stock · 279,367 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F2 · price: Each share of Preferred Stock is initially convertible into one share of Common Stock, subject to adjustment as described in the Certificate of Designations for the Preferred Stock. F3 · derivative.exercise_date: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F3 · derivative.expiration_date: The Preferred Stock is contingently convertible into Common Stock, subject to the Issuer's achievement of certain milestones payments and the deregistration of the Issuer's Common Stock, as further described in the Certificate of Designations for the Preferred Stock. The Preferred Stock is not currently convertible. The Reporting Persons expressly disclaim beneficial ownership of the shares of Common Stock underlying the Preferred Stock. F6 · ownership.nature: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein. Read SEC document |
| November 14, 2016 Filed Nov 14, 2016 21:42 UTC | TETRALOGIC PHARMACEUTICALS Corp TLOG · Entity 12646 | Other8% Senior Convertible Notes due 2019 · Derivative | Not disclosed | Not disclosed | $1,000,000.00 |
DisclosureSEC source: 0001104659-16-157086 · a4.xml · derivative · entry 1 Hudson Bay Capital Management LP · CIK 0001393825 · See Remarks Gerber Sander · CIK 0001416593 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: See footnote · Not disclosed shares Expires not disclosed F1 · derivative.exercise_price: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · price: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.exercise_date: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.expiration_date: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.underlying: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F1 · derivative.underlying_shares: On November 14, 2016, pursuant to the Exchange Agreement, the Reporting Persons agreed (i) to exchange $50,286 in aggregate principal amount of the Senior Notes for 279,367 shares of Preferred Stock and (ii) to extend the maturity date and modify the conversion terms of the Reporting Persons' remaining $949,714, in aggregate principal amount Senior Notes (the "Remaining Senior Notes"). F6 · ownership.nature: The securities are held by Hudson Bay Master Fund Ltd. (the "Fund"). Hudson Bay Capital Management LP (the "Investment Manager") serves as the investment manager of the Fund. As such, the Investment Manager may be deemed to have beneficial ownership of the Senior Notes held by the Fund. As the managing member of the general partner of Hudson Bay Capital Management LP, Mr. Sander Gerber may be deemed to have beneficial ownership of the shares held by the Fund. Each Reporting Person disclaims beneficial ownership of the Senior Notes held by the Fund, except to the extent of its or his pecuniary interest therein. 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.