person · Reporting owner
D. E. Shaw Oculus Portfolios, L.L.C.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| James River Group Holdings, Inc.JRVR · Entity 6368 | Director · See footnotes | May 15, 2018 | May 17, 2018 |
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.
James River Group Holdings, Inc.
Report date May 15, 2018 · Filed May 17, 2018
Jointly reported with D. E. Shaw CF-SP Franklin, L.L.C., D. E. Shaw CH-SP Franklin, L.L.C., D. E. SHAW & CO, L.L.C., D. E. SHAW & CO, L.P., SHAW DAVID E
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-05-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-15 · Sale · Disposed 3,297,238 · Balance 0 F1: The securities reported in this line of this Form 4 were directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"). F2: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. None of the Reporting Persons holds any Common Shares following this transaction. The Reporting Persons may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (573,723 Common Shares), CH-SP Franklin (1,624,436 Common Shares), and Oculus Portfolios (1,099,079 Common Shares). |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported in this line of this Form 4 were directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders").
F2: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934.
F3: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. None of the Reporting Persons holds any Common Shares following this transaction. The Reporting Persons may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer.
F4: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (573,723 Common Shares), CH-SP Franklin (1,624,436 Common Shares), and Oculus Portfolios (1,099,079 Common Shares).
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 |
|---|---|---|---|---|---|---|
| May 15, 2018 Filed May 17, 2018 20:01 UTC | James River Group Holdings, Inc. JRVR · Entity 6368 | SaleCommon Shares | 3,297,238 | $36.00 | $118,700,568.00 |
DisclosureSEC source: 0001144204-18-029517 · tv494491_form4.xml · nonDerivative · entry 1 D. E. Shaw Oculus Portfolios, L.L.C. · CIK 0001327537 · Director · See footnotes D. E. Shaw CF-SP Franklin, L.L.C. · CIK 0001627401 · Director · See footnotes D. E. Shaw CH-SP Franklin, L.L.C. · CIK 0001627404 · Director · See footnotes D. E. SHAW & CO, L.L.C. · CIK 0001277502 · Director · See footnotes D. E. SHAW & CO, L.P. · CIK 0001009268 · Director · See footnotes SHAW DAVID E · CIK 0001023870 · Director · See footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · ownership.direct: The securities reported in this line of this Form 4 were directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"). F2 · ownership.direct: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3 · ownership.direct: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. None of the Reporting Persons holds any Common Shares following this transaction. The Reporting Persons may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4 · ownership.direct: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (573,723 Common Shares), CH-SP Franklin (1,624,436 Common Shares), and Oculus Portfolios (1,099,079 Common Shares). Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 21:09 UTC | James River Group Holdings, Inc. JRVR · Entity 6368 | SaleCommon Shares | 450,000 | $38.10 | $17,145,000.00 |
DisclosureSEC source: 0001144204-17-061459 · tv480426_4.xml · nonDerivative · entry 1 D. E. Shaw Oculus Portfolios, L.L.C. · CIK 0001327537 · Director · 10% owner · See footnotes D. E. Shaw CF-SP Franklin, L.L.C. · CIK 0001627401 · Director · 10% owner · See footnotes D. E. Shaw CH-SP Franklin, L.L.C. · CIK 0001627404 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.L.C. · CIK 0001277502 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.P. · CIK 0001009268 · Director · 10% owner · See footnotes SHAW DAVID E · CIK 0001023870 · Director · 10% owner · See footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,297,238 F1 · ownership.direct: The securities reported in this line of this Form 4 are directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), which holds 573,723 Common Shares following the transaction reported in this line of this Form 4; D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), which holds 1,624,436 Common Shares following the transaction reported in this line of this Form 4; and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"), which holds 1,099,079 Common Shares following the transaction reported in this line of this Form 4. F2 · ownership.direct: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3 · ownership.direct: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. The Reporting Persons also may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4 · ownership.direct: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (78,300 Common Shares), CH-SP Franklin (221,700 Common Shares), and Oculus Portfolios (150,000 Common Shares). Read SEC document |
| November 13, 2017 Filed Nov 15, 2017 21:01 UTC | James River Group Holdings, Inc. JRVR · Entity 6368 | SaleCommon Shares | 2,600,000 | $38.10 | $99,060,000.00 |
DisclosureSEC source: 0001144204-17-059414 · tv479506_4.xml · nonDerivative · entry 1 D. E. Shaw Oculus Portfolios, L.L.C. · CIK 0001327537 · Director · 10% owner · See footnotes D. E. Shaw CF-SP Franklin, L.L.C. · CIK 0001627401 · Director · 10% owner · See footnotes D. E. Shaw CH-SP Franklin, L.L.C. · CIK 0001627404 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.L.C. · CIK 0001277502 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.P. · CIK 0001009268 · Director · 10% owner · See footnotes SHAW DAVID E · CIK 0001023870 · Director · 10% owner · See footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,747,238 F1 · ownership.direct: The securities reported in this line of this Form 4 are directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), which holds 652,023 Common Shares following the transaction reported in this line of this Form 4; D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), which holds 1,846,136 Common Shares following the transaction reported in this line of this Form 4; and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"), which holds 1,249,079 Common Shares following the transaction reported in this line of this Form 4. F2 · ownership.direct: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3 · ownership.direct: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. The Reporting Persons also may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4 · ownership.direct: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (452,402 Common Shares), CH-SP Franklin (1,280,931 Common Shares), and Oculus Portfolios (866,667 Common Shares). Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 20:03 UTC | James River Group Holdings, Inc. JRVR · Entity 6368 | SaleCommon Shares | 4,250,000 | $39.41 | $167,492,500.00 |
DisclosureSEC source: 0001144204-17-031522 · v468606_4.xml · nonDerivative · entry 1 D. E. Shaw Oculus Portfolios, L.L.C. · CIK 0001327537 · Director · 10% owner · See footnotes D. E. Shaw CF-SP Franklin, L.L.C. · CIK 0001627401 · Director · 10% owner · See footnotes D. E. Shaw CH-SP Franklin, L.L.C. · CIK 0001627404 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.L.C. · CIK 0001277502 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.P. · CIK 0001009268 · Director · 10% owner · See footnotes SHAW DAVID E · CIK 0001023870 · Director · 10% owner · See footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,347,234 F1 · ownership.direct: The securities reported in this line of this Form 4 are directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), which holds 1,104,425 Common Shares following the transaction reported in this line of this Form 4; D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), which holds 3,127,067 Common Shares following the transaction reported in this line of this Form 4; and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"), which holds 2,115,746 Common Shares following the transaction reported in this line of this Form 4. F2 · ownership.direct: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3 · ownership.direct: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. The Reporting Persons also may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4 · ownership.direct: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (739,503 Common Shares), CH-SP Franklin (2,093,830 Common Shares), and Oculus Portfolios (1,416,667 Common Shares). Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 21:02 UTC | James River Group Holdings, Inc. JRVR · Entity 6368 | SaleCommon Shares | 450,000 | $38.00 | $17,100,000.00 |
DisclosureSEC source: 0001144204-16-139470 · v454984_4.xml · nonDerivative · entry 1 D. E. Shaw Oculus Portfolios, L.L.C. · CIK 0001327537 · Director · 10% owner · See footnotes D. E. Shaw CF-SP Franklin, L.L.C. · CIK 0001627401 · Director · 10% owner · See footnotes D. E. Shaw CH-SP Franklin, L.L.C. · CIK 0001627404 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.L.C. · CIK 0001277502 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.P. · CIK 0001009268 · Director · 10% owner · See footnotes SHAW DAVID E · CIK 0001023870 · Director · 10% owner · See footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,597,238 F1 · ownership.direct: The securities reported in this line of this Form 4 are directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), which holds 1,843,928 Common Shares following the transaction reported in this line of this Form 4; D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), which holds 5,220,897 Common Shares following the transaction reported in this line of this Form 4; and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"), which holds 3,532,413 Common Shares following the transaction reported in this line of this Form 4. F2 · ownership.direct: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3 · ownership.direct: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. The Reporting Persons also may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4 · ownership.direct: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (78,300 Common Shares), CH-SP Franklin (221,700 Common Shares), and Oculus Portfolios (150,000 Common Shares). Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 21:15 UTC | James River Group Holdings, Inc. JRVR · Entity 6368 | SaleCommon Shares | 3,000,000 | $38.00 | $114,000,000.00 |
DisclosureSEC source: 0001144204-16-137252 · v454168_4.xml · nonDerivative · entry 1 D. E. Shaw Oculus Portfolios, L.L.C. · CIK 0001327537 · Director · 10% owner · See footnotes D. E. Shaw CF-SP Franklin, L.L.C. · CIK 0001627401 · Director · 10% owner · See footnotes D. E. Shaw CH-SP Franklin, L.L.C. · CIK 0001627404 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.L.C. · CIK 0001277502 · Director · 10% owner · See footnotes D. E. SHAW & CO, L.P. · CIK 0001009268 · Director · 10% owner · See footnotes SHAW DAVID E · CIK 0001023870 · Director · 10% owner · See footnotes Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,047,238 F1 · ownership.direct: The securities reported in this line of this Form 4 are directly held by D. E. Shaw CF-SP Franklin, L.L.C. ("CF-SP Franklin"), which holds 1,922,228 Common Shares following the transaction reported in this line of this Form 4; D. E. Shaw CH-SP Franklin, L.L.C. ("CH-SP Franklin"), which holds 5,442,597 Common Shares following the transaction reported in this line of this Form 4; and D. E. Shaw Oculus Portfolios, L.L.C. ("Oculus Portfolios," and together with CF-SP Franklin and CH-SP Franklin, the "D. E. Shaw Shareholders"), which holds 3,682,413 Common Shares following the transaction reported in this line of this Form 4. F2 · ownership.direct: D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to the D. E. Shaw Shareholders; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as the manager of the D. E. Shaw Shareholders; and Mr. David E. Shaw ("David E. Shaw"), as President and sole shareholder of D. E. Shaw & Co., Inc. ("DESCO Inc."), which is the general partner of DESCO LP, and as President and sole shareholder of D. E. Shaw & Co. II, Inc. ("DESCO II Inc."), which is the managing member of DESCO LLC, may be deemed to be the beneficial owners of the Common Shares reported in this line of this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. F3 · ownership.direct: In accordance with Instruction 4(b)(iv), the entire number of Common Shares of the Issuer that may be deemed to be beneficially owned by the D. E. Shaw Shareholders, DESCO LLC, DESCO LP, and David E. Shaw is reported herein. Each of DESCO LLC, DESCO LP, and David E. Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Each of the D. E. Shaw Shareholders disclaims beneficial ownership of any security that is directly held by the other D. E. Shaw Shareholders, except to the extent of any pecuniary interest therein. The Reporting Persons also may be deemed directors of the Issuer by virtue of DESCO LP employees Bryan Martin's and David Zwillinger's service as members of the Issuer's board of directors. None of the Reporting Persons serves as a director of the Issuer. F4 · ownership.direct: The securities sold in the transaction reported in this line of this Form 4 were sold by CF-SP Franklin (522,003 Common Shares), CH-SP Franklin (1,477,997 Common Shares), and Oculus Portfolios (1,000,000 Common Shares). 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.