person · Reporting owner
Beltzman Daniel Gordon
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DITECH HOLDING CorpDHCP · Entity 161436 | Director | June 08, 2018 | June 11, 2018 |
| REGIS CORPRGS · Entity 8808 | Director | November 05, 2021 | November 09, 2021 |
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.
DITECH HOLDING Corp
Report date June 08, 2018 · Filed June 11, 2018
Jointly reported with Smith Gregory Howard, Birch Run Capital Advisors, LP, BRC Advisors GP, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Walloon BRC, LP | 0 |
Reported balance
After 2018-06-08 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-06-08 · Other · Disposed 170,676 · Balance 0 F5: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution. F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
| Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $20.63 · Expires 2028-02-09 | IndirectBy Walloon BRC, LP | 0 |
Reported balance
After 2018-06-08 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-06-08 · Other · Disposed 290,780 · Balance 0 F5: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution. F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
| Series B WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $28.25 · Expires 2028-02-09 | IndirectBy Walloon BRC, LP | 0 |
Reported balance
After 2018-06-08 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-06-08 · Other · Disposed 230,728 · Balance 0 F5: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution. F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 38,620 |
Reported balance
Holding disclosure · report date 2018-06-08 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 38,620 |
| Common StockSEC Table I · non-derivative | IndirectBy Birch Run Capital Partners, LP | 55,446 |
Reported balance
Holding disclosure · report date 2018-06-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 55,446 F1: These securities are held directly by Birch Run Capital Partners, L.P. As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,463 Series A Warrants, and 74,955 Series B Warrants. F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F3: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to Birch Run Capital Partners, L.P (the "Fund"). Pursuant to a management agreement among the Adviser, the Fund and Birch Run Capital GP, L.L.C., the Adviser has complete and unlimited discretion and authority with respect to the Fund's investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Fund. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
| Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $20.63 · Expires 2028-02-09 | Direct | 12,208 |
Reported balance
Holding disclosure · report date 2018-06-08 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 12,208 |
| Series B WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $28.25 · Expires 2028-02-09 | Direct | 9,687 |
Reported balance
Holding disclosure · report date 2018-06-08 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 9,687 |
| Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $20.63 · Expires 2028-02-09 | IndirectBy Birch Run Capital Partners, LP | 94,463 |
Reported balance
Holding disclosure · report date 2018-06-08 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 94,463 F1: These securities are held directly by Birch Run Capital Partners, L.P. As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,463 Series A Warrants, and 74,955 Series B Warrants. F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F3: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to Birch Run Capital Partners, L.P (the "Fund"). Pursuant to a management agreement among the Adviser, the Fund and Birch Run Capital GP, L.L.C., the Adviser has complete and unlimited discretion and authority with respect to the Fund's investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Fund. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
| Series B WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $28.25 · Expires 2028-02-09 | IndirectBy Birch Run Capital Partners, LP | 74,955 |
Reported balance
Holding disclosure · report date 2018-06-08 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 74,955 F1: These securities are held directly by Birch Run Capital Partners, L.P. As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,463 Series A Warrants, and 74,955 Series B Warrants. F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F3: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to Birch Run Capital Partners, L.P (the "Fund"). Pursuant to a management agreement among the Adviser, the Fund and Birch Run Capital GP, L.L.C., the Adviser has complete and unlimited discretion and authority with respect to the Fund's investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Fund. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held directly by Birch Run Capital Partners, L.P. As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,463 Series A Warrants, and 74,955 Series B Warrants.
F2: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P.
F3: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to Birch Run Capital Partners, L.P (the "Fund"). Pursuant to a management agreement among the Adviser, the Fund and Birch Run Capital GP, L.L.C., the Adviser has complete and unlimited discretion and authority with respect to the Fund's investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Fund. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities.
F4: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
F5: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution.
REGIS CORP
Report date November 05, 2021 · Filed November 09, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 89,998.81 |
Reported balance
After 2021-11-05 transaction · row 1
1 source rowRow 1 · 2021-11-05 · Grant · Acquired 72,463 · Balance 89,998.81 F1: The Reporting Person was awarded a grant of 72,463 restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of RGS common stock. |
| Common StockSEC Table I · non-derivative | Indirectby Birch Run Capital Partners, LP | 1,658,941 |
Reported balance
Holding disclosure · report date 2021-11-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,658,941 F2: These securities are held directly by Birch Run Capital Partners, L.P (the "Partnership"). F3: Birch Run Capital GP, LLC (the "GP") serves as the General Partner to the Partnership. Daniel Beltzman is a co-Manager of the GP. As an owner of the GP, Daniel Beltzman may share in an allocation of the profits of the Partnership. F4: Daniel Beltzman disclaims beneficial ownership of any interests of the reported securities in excess of such person's or entity's respective pecuniary interest in the securities. This report shall not be deemed an admission that Daniel Beltzman is the beneficial owner of such interests for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was awarded a grant of 72,463 restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of RGS common stock.
F2: These securities are held directly by Birch Run Capital Partners, L.P (the "Partnership").
F3: Birch Run Capital GP, LLC (the "GP") serves as the General Partner to the Partnership. Daniel Beltzman is a co-Manager of the GP. As an owner of the GP, Daniel Beltzman may share in an allocation of the profits of the Partnership.
F4: Daniel Beltzman disclaims beneficial ownership of any interests of the reported securities in excess of such person's or entity's respective pecuniary interest in the securities. This report shall not be deemed an admission that Daniel Beltzman is the beneficial owner of such interests for purposes of Section 16 or any other purpose.
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 |
|---|---|---|---|---|---|---|
| November 05, 2021 Filed Nov 9, 2021 22:36 UTC | REGIS CORP RGS · Entity 8808 | GrantCommon Stock | 72,463 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-21-010532 · form4.xml · nonDerivative · entry 1 Beltzman Daniel Gordon · CIK 0001550099 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,998.81 F1 · shares: The Reporting Person was awarded a grant of 72,463 restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of RGS common stock. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 17:57 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | OtherSeries B Warrants · Derivative | 230,728 | $0.00 Strike: $28.25 | $0.00 |
DisclosureSEC source: 0001062993-18-002550 · form4.xml · derivative · entry 9 Beltzman Daniel Gordon · CIK 0001550099 · Director Smith Gregory Howard · CIK 0001550336 · Director by Deputization Birch Run Capital Advisors, LP · CIK 0001541457 · Director by Deputization BRC Advisors GP, LLC · CIK 0001599312 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Walloon BRC, LP Disclosed balance after: 0 Underlying: Common Stock · 230,728 shares Expires 2028-02-09 F5 · kind: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution. F2 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F4 · ownership.nature: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 17:57 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | OtherSeries A Warrants · Derivative | 290,780 | $0.00 Strike: $20.63 | $0.00 |
DisclosureSEC source: 0001062993-18-002550 · form4.xml · derivative · entry 8 Beltzman Daniel Gordon · CIK 0001550099 · Director Smith Gregory Howard · CIK 0001550336 · Director by Deputization Birch Run Capital Advisors, LP · CIK 0001541457 · Director by Deputization BRC Advisors GP, LLC · CIK 0001599312 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Walloon BRC, LP Disclosed balance after: 0 Underlying: Common Stock · 290,780 shares Expires 2028-02-09 F5 · kind: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution. F2 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F4 · ownership.nature: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 17:57 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | OtherCommon Stock | 170,676 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-18-002550 · form4.xml · nonDerivative · entry 3 Beltzman Daniel Gordon · CIK 0001550099 · Director Smith Gregory Howard · CIK 0001550336 · Director by Deputization Birch Run Capital Advisors, LP · CIK 0001541457 · Director by Deputization BRC Advisors GP, LLC · CIK 0001599312 · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Walloon BRC, LP Disclosed balance after: 0 F5 · kind: On June 8, 2018, Walloon BRC GP, L.L.C. elected to liquidate Walloon BRC, L.P., by distributing 160,676 shares of Common Stock, 290,780 Series A Warrants and 230,728 Series B Warrants, to each of its limited partners, on a pro rata, in kind basis, without consideration. Due to the high water mark applicable to the general partner at the time of the distribution, it did not hold any pecuniary interest in Walloon BRC, L.P., prior to (or after) the in kind, pro rata distribution. F2 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., and Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. (each a "General Partner and collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partner to Birch Run Capital Partners, L.P., Messrs. Beltzman and Smith may share in an allocation of the profits. See Footnote (5) below for a discussion of potential pecuniary interest in Walloon BRC, L.P. F4 · ownership.nature: Each of the Advisor, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| May 02, 2018 Filed May 4, 2018 16:39 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantRestricted Stock Units · Derivative | 31,454 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-011529 · doc4.xml · derivative · entry 1 Beltzman Daniel Gordon · CIK 0001550099 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,454 Underlying: Common Stock · 31,454 shares Expires 2018-05-02 F1 · derivative.exercise_price: Restricted Stock Units ("RSUs"), granted pursuant to Issuer's 2018 Equity Incentive Plan, as amended and restated, are equivalent to one share of Common Stock. The Reporting Person elected to have such RSUs settle six months following the Reporting Person's termination of service on the Issuer's Board of Directors. F1 · price: Restricted Stock Units ("RSUs"), granted pursuant to Issuer's 2018 Equity Incentive Plan, as amended and restated, are equivalent to one share of Common Stock. The Reporting Person elected to have such RSUs settle six months following the Reporting Person's termination of service on the Issuer's Board of Directors. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries B Warrants · Derivative | 269,181 | $0.00 Strike: $28.25 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 12 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pike BRC, LP Disclosed balance after: 269,181 Underlying: Common Stock · 269,181 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. F2 · ownership.nature: These securities are held directly by Birch Run Capital Partners, L.P., Walloon BRC, L.P., and Pike BRC, L.P. (collectively, the "Funds"). As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,462 Series A Warrants, and 74,954 Series B Warrants; Walloon BRC, L.P. directly holds 170,676 shares of Common Stock, 290,778 Series A Warrants, and 230,727 Series B Warrants; and Pike BRC, L.P. directly holds 199,122 shares of Common Stock, 339,241 Series A Warrants, and 269,181 Series B Warrants. F3 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. and Pike BRC GP, L.L.C. serves as the General Partner to Pike BRC, L.P. (collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partners to the Funds, Messrs. Beltzman and Smith may share in an allocation of the profits of the Funds. F4 · ownership.nature: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to the Funds. Pursuant to management agreements among the Adviser, the Funds, and their respective general partners, the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F5 · ownership.nature: Each of the Adviser, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries A Warrants · Derivative | 339,241 | $0.00 Strike: $20.63 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 11 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pike BRC, LP Disclosed balance after: 339,241 Underlying: Common Stock · 339,241 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. F2 · ownership.nature: These securities are held directly by Birch Run Capital Partners, L.P., Walloon BRC, L.P., and Pike BRC, L.P. (collectively, the "Funds"). As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,462 Series A Warrants, and 74,954 Series B Warrants; Walloon BRC, L.P. directly holds 170,676 shares of Common Stock, 290,778 Series A Warrants, and 230,727 Series B Warrants; and Pike BRC, L.P. directly holds 199,122 shares of Common Stock, 339,241 Series A Warrants, and 269,181 Series B Warrants. F3 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. and Pike BRC GP, L.L.C. serves as the General Partner to Pike BRC, L.P. (collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partners to the Funds, Messrs. Beltzman and Smith may share in an allocation of the profits of the Funds. F4 · ownership.nature: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to the Funds. Pursuant to management agreements among the Adviser, the Funds, and their respective general partners, the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F5 · ownership.nature: Each of the Adviser, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries B Warrants · Derivative | 230,727 | $0.00 Strike: $28.25 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 10 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Walloon BRC, LP Disclosed balance after: 230,727 Underlying: Common Stock · 230,727 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. F2 · ownership.nature: These securities are held directly by Birch Run Capital Partners, L.P., Walloon BRC, L.P., and Pike BRC, L.P. (collectively, the "Funds"). As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,462 Series A Warrants, and 74,954 Series B Warrants; Walloon BRC, L.P. directly holds 170,676 shares of Common Stock, 290,778 Series A Warrants, and 230,727 Series B Warrants; and Pike BRC, L.P. directly holds 199,122 shares of Common Stock, 339,241 Series A Warrants, and 269,181 Series B Warrants. F3 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. and Pike BRC GP, L.L.C. serves as the General Partner to Pike BRC, L.P. (collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partners to the Funds, Messrs. Beltzman and Smith may share in an allocation of the profits of the Funds. F4 · ownership.nature: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to the Funds. Pursuant to management agreements among the Adviser, the Funds, and their respective general partners, the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F5 · ownership.nature: Each of the Adviser, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries A Warrants · Derivative | 290,778 | $0.00 Strike: $20.63 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 9 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Walloon BRC, LP Disclosed balance after: 290,778 Underlying: Common Stock · 290,778 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. F2 · ownership.nature: These securities are held directly by Birch Run Capital Partners, L.P., Walloon BRC, L.P., and Pike BRC, L.P. (collectively, the "Funds"). As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,462 Series A Warrants, and 74,954 Series B Warrants; Walloon BRC, L.P. directly holds 170,676 shares of Common Stock, 290,778 Series A Warrants, and 230,727 Series B Warrants; and Pike BRC, L.P. directly holds 199,122 shares of Common Stock, 339,241 Series A Warrants, and 269,181 Series B Warrants. F3 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. and Pike BRC GP, L.L.C. serves as the General Partner to Pike BRC, L.P. (collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partners to the Funds, Messrs. Beltzman and Smith may share in an allocation of the profits of the Funds. F4 · ownership.nature: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to the Funds. Pursuant to management agreements among the Adviser, the Funds, and their respective general partners, the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F5 · ownership.nature: Each of the Adviser, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries B Warrants · Derivative | 74,954 | $0.00 Strike: $28.25 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 8 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Birch Run Capital Partners, LP Disclosed balance after: 74,954 Underlying: Common Stock · 74,954 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. F2 · ownership.nature: These securities are held directly by Birch Run Capital Partners, L.P., Walloon BRC, L.P., and Pike BRC, L.P. (collectively, the "Funds"). As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,462 Series A Warrants, and 74,954 Series B Warrants; Walloon BRC, L.P. directly holds 170,676 shares of Common Stock, 290,778 Series A Warrants, and 230,727 Series B Warrants; and Pike BRC, L.P. directly holds 199,122 shares of Common Stock, 339,241 Series A Warrants, and 269,181 Series B Warrants. F3 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. and Pike BRC GP, L.L.C. serves as the General Partner to Pike BRC, L.P. (collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partners to the Funds, Messrs. Beltzman and Smith may share in an allocation of the profits of the Funds. F4 · ownership.nature: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to the Funds. Pursuant to management agreements among the Adviser, the Funds, and their respective general partners, the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F5 · ownership.nature: Each of the Adviser, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries A Warrants · Derivative | 94,462 | $0.00 Strike: $20.63 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 7 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Birch Run Capital Partners, LP Disclosed balance after: 94,462 Underlying: Common Stock · 94,462 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. F2 · ownership.nature: These securities are held directly by Birch Run Capital Partners, L.P., Walloon BRC, L.P., and Pike BRC, L.P. (collectively, the "Funds"). As of the date of this filing: Birch Run Capital Partners, L.P. directly holds 55,446 shares of Common Stock, 94,462 Series A Warrants, and 74,954 Series B Warrants; Walloon BRC, L.P. directly holds 170,676 shares of Common Stock, 290,778 Series A Warrants, and 230,727 Series B Warrants; and Pike BRC, L.P. directly holds 199,122 shares of Common Stock, 339,241 Series A Warrants, and 269,181 Series B Warrants. F3 · ownership.nature: Birch Run Capital GP, L.L.C. serves as the General Partner to Birch Run Capital Partners, L.P., Walloon BRC GP, L.L.C. serves as the General Partner to Walloon BRC, L.P. and Pike BRC GP, L.L.C. serves as the General Partner to Pike BRC, L.P. (collectively, "the General Partners"). Daniel Beltzman and Gregory Smith are the Co-Managing Members of the General Partners. As owners of the General Partners to the Funds, Messrs. Beltzman and Smith may share in an allocation of the profits of the Funds. F4 · ownership.nature: Birch Run Capital Advisors, L.P. (the "Adviser") serves as the Investment Adviser to the Funds. Pursuant to management agreements among the Adviser, the Funds, and their respective general partners, the Adviser has complete and unlimited discretion and authority with respect to the Funds' investments and voting power over investments. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. BRC Advisors GP, L.L.C. ("Adviser GP") is the General Partner to the Adviser. Daniel Beltzman and Gregory Smith are the Limited Partners of the Adviser and the Co-Managing Members of the Adviser GP. The Adviser, the Adviser GP, Daniel Beltzman and Gregory Smith may be deemed to share voting and dispositive power over the reported securities. F5 · ownership.nature: Each of the Adviser, the Adviser GP, Daniel Beltzman, and Gregory Smith disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries B Warrants · Derivative | 9,687 | $0.00 Strike: $28.25 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 6 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,687 Underlying: Common Stock · 9,687 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 17:41 UTC | DITECH HOLDING Corp DHCP · Entity 161436 | GrantSeries A Warrants · Derivative | 12,209 | $0.00 Strike: $20.63 | $0.00 |
DisclosureSEC source: 0001062993-18-000711 · form4.xml · derivative · entry 5 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,209 Underlying: Common Stock · 12,209 shares Expires 2028-02-09 F1 · kind: On February 9, 2018 (the "Effective Date"), the Issuer's Amended Prepackaged Plan of Reorganization (the "Plan") became effective, and the Issuer emerged from bankruptcy proceedings. On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share ("Old Common Stock") and all rights of any holder in respect thereof were cancelled and extinguished. Pursuant to the Plan, on the Effective Date, each holder of Old Common Stock (including the Reporting Persons) received, in respect of one share of Old Common Stock (i) 0.05689208 shares of new common stock, par value $0.01 per share ("Common Stock"), (ii) 0.09692659 Series A Warrants to purchase an equivalent number of shares of Common Stock, and 0.07690920 Series B Warrants to purchase an equivalent number of shares of Common Stock, in all cases, subject to rounding with no fractional shares or warrants issuable. Such transaction was involuntary and in accordance with the terms of the Plan. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 16:57 UTC | DITECH HOLDING Corp WAC · Entity 161436 | Exercise / conversionRestricted Stock Units · Derivative | 90,278 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-17-004077 · form4.xml · derivative · entry 6 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,278 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. F1 · derivative.exercise_date: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. F1 · derivative.expiration_date: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 16:57 UTC | DITECH HOLDING Corp WAC · Entity 161436 | GrantRestricted Stock Units · Derivative | 90,278 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-17-004077 · form4.xml · derivative · entry 5 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,278 Underlying: Common Stock · 90,278 shares Expires not disclosed F1 · derivative.exercise_price: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. F1 · derivative.exercise_date: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. F1 · derivative.expiration_date: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 16:57 UTC | DITECH HOLDING Corp WAC · Entity 161436 | Exercise / conversionCommon Stock | 90,278 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001062993-17-004077 · form4.xml · nonDerivative · entry 1 Beltzman Daniel Gordon · CIK 0001550099 · Director · 10% owner Smith Gregory Howard · CIK 0001550336 · 10% owner Birch Run Capital Advisors, LP · CIK 0001541457 · 10% owner BRC Advisors GP, LLC · CIK 0001599312 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,960.41 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Reporting Person, Daniel Beltzman, was awarded a grant of 90,278 restricted stock units (RSUs) of Walter Investment Management Corp. (the "Issuer") pursuant to the Issuer's 2017 Omnibus Incentive Plan. The RSUs convert into Common Stock on a one-for-one basis. The RSUs vest and are settled immediately upon grant. Following the award, Mr. Beltzman directly holds 125,960.41 shares of common stock of the Issuer for which he exercises sole voting and dispositive power. 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.