Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Anterix Inc.ATEX · Entity 4597 | Director · 10% owner | August 04, 2026 | August 06, 2026 |
| Blue Safari Group Acquisition CorpBSGA · Entity 114326 | 10% owner | April 13, 2023 | April 20, 2023 |
| Clover Leaf Capital Corp.CLOE · Entity 95585 | 10% owner | October 24, 2022 | November 03, 2022 |
| Concrete Pumping Holdings, Inc.BBCP · Entity 5538 | 10% owner | January 14, 2019 | January 16, 2019 |
| Jet.AI Inc.OXAC · Entity 8509 | 10% owner | November 14, 2022 | November 23, 2022 |
| Kernel Group Holdings, Inc.KRNL · Entity 111780 | 10% owner | June 09, 2023 | June 12, 2023 |
| Mountain Crest Acquisition Corp. IIIMCAE · Entity 116621 | 10% owner | February 17, 2023 | February 22, 2023 |
| NORTHERN REVIVAL ACQUISITION CorpNRAC · Entity 110189 | 10% owner | February 06, 2023 | February 06, 2023 |
| PYXUS INTERNATIONAL, INC.PYYX · Entity 6980 | 10% owner | August 21, 2024 | August 22, 2024 |
| SYNTEC OPTICS HOLDINGS, INC.OLIT · Entity 5971 | 10% owner | December 22, 2022 | December 27, 2022 |
| XBP Global Holdings, Inc.CFFE · Entity 7388 | 10% owner | September 30, 2022 | November 22, 2022 |
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.
Anterix Inc.
Report date August 04, 2026 · Filed August 06, 2026
Jointly reported with Owl Creek Asset Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per share ("Common Stock")SEC Table I · non-derivative | Direct | 17,014 |
Reported balance
After 2026-08-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-08-04 · Grant · Acquired 1,598 · Balance 17,014 F1: The shares of Common Stock will vest on the earlier of the 2027 Annual Meeting of shareholders and August 4, 2027, subject to the terms of the Restricted Stock Agreement. F2: Represents securities granted to Jeffrey Altman ("Mr. Altman" or the "Reporting Person") as compensation for his services as a non-employee director on the Issuer's board of directors. Mr. Altman may be deemed to hold the securities reported herein for the benefit of certain funds (the "Owl Creek Funds") to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. F5: Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 124,492 |
Reported balance
Holding disclosure · report date 2026-08-04 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 124,492 F3: Represents shares of Common Stock directly held by Mr. Altman. F5: Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 5,411,776 |
Reported balance
Holding disclosure · report date 2026-08-04 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 5,411,776 F4: These securities are held by the Owl Creek Funds. Mr. Altman is the managing member of the general partner of the Investment Manager. F5: Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Common Stock will vest on the earlier of the 2027 Annual Meeting of shareholders and August 4, 2027, subject to the terms of the Restricted Stock Agreement.
F2: Represents securities granted to Jeffrey Altman ("Mr. Altman" or the "Reporting Person") as compensation for his services as a non-employee director on the Issuer's board of directors. Mr. Altman may be deemed to hold the securities reported herein for the benefit of certain funds (the "Owl Creek Funds") to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager.
F3: Represents shares of Common Stock directly held by Mr. Altman.
F4: These securities are held by the Owl Creek Funds. Mr. Altman is the managing member of the general partner of the Investment Manager.
F5: Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Blue Safari Group Acquisition Corp
Report date April 13, 2023 · Filed April 20, 2023
Jointly reported with Owl Creek Asset Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, no par value per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-04-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-13 · Other · Disposed 306,648 · Balance 0 F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed. F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed.
F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Clover Leaf Capital Corp.
Report date October 24, 2022 · Filed November 03, 2022
Jointly reported with Owl Creek Asset Management, L.P.
| 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 | 323,924 |
Reported balance
Holding disclosure · report date 2022-10-24 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 323,924 F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Concrete Pumping Holdings, Inc.
Report date January 14, 2019 · Filed January 16, 2019
Jointly reported with Owl Creek Asset Management, L.P., Owl Creek I, L.P., Owl Creek II, L.P., OWL CREEK ADVISORS, LLC, OWL CREEK OVERSEAS MASTER FUND, LTD., OWL CREEK SRI MASTER FUND, LTD., Owl Creek Credit Opportunities Master Fund, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2023-12-06 | IndirectSee footnotes | 4,376,100 |
Reported balance
After 2019-01-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-01-14 · Purchase · Acquired 453,501 · Balance 4,376,100 F1: The number of shares reported on this line reflects the corrected information set forth in the Form 4/A filed by the Reporting Persons on January 16, 2019. F2: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares reported on this line reflects the corrected information set forth in the Form 4/A filed by the Reporting Persons on January 16, 2019.
F2: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund").
F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.
Jet.AI Inc.
Report date November 14, 2022 · Filed November 23, 2022
Jointly reported with Owl Creek Asset Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 166,000 |
Reported balance
Holding disclosure · report date 2022-11-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 166,000 F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Kernel Group Holdings, Inc.
Report date June 09, 2023 · Filed June 12, 2023
Jointly reported with Owl Creek Asset Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 762,500 |
Reported balance
After 2023-06-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-06-09 · Sale · Disposed 111,500 · Balance 762,500 F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Mountain Crest Acquisition Corp. III
Report date February 17, 2023 · Filed February 22, 2023
Jointly reported with Owl Creek Asset Management, L.P.
| 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 2023-02-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-02-17 · Other · Disposed 522,165 · Balance 0 F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF and the Managed Account (each as defined below) were redeemed. F2: The securities to which this filing relates were held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF and the Managed Account (each as defined below) were redeemed.
F2: The securities to which this filing relates were held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
NORTHERN REVIVAL ACQUISITION Corp
Report date February 06, 2023 · Filed February 06, 2023
Jointly reported with Owl Creek Asset Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 601,000 |
Reported balance
Holding disclosure · report date 2023-02-06 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 601,000 F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
PYXUS INTERNATIONAL, INC.
Report date August 21, 2024 · Filed August 22, 2024
Jointly reported with Owl Creek Asset Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | IndirectSee footnote | 3,865,355 |
Reported balance
After 2024-08-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-08-21 · Purchase · Acquired 811,150 · Balance 3,865,355 F1: The securities to which this filing relates are held directly by certain funds to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by certain funds to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
SYNTEC OPTICS HOLDINGS, INC.
Report date December 22, 2022 · Filed December 27, 2022
Jointly reported with Owl Creek Asset Management, L.P.
| 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 | 200,000 |
Reported balance
Holding disclosure · report date 2022-12-22 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 200,000 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
XBP Global Holdings, Inc.
Report date September 30, 2022 · Filed November 22, 2022
Jointly reported with Owl Creek Asset Management, L.P.
| 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 | 500,000 |
Reported balance
Holding disclosure · report date 2022-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 500,000 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Past disclosures · reporting ended (19)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
26 Capital Acquisition Corp.
Report date August 18, 2023 · Filed August 22, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-08-22. 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 | 302,300 |
Reported balance
After 2023-08-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-18 · Sale · Disposed 152,060 · Balance 302,300 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Catcha Investment Corp
Report date September 22, 2023 · Filed September 26, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-09-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary Shares, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-09-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-22 · Sale · Disposed 400,000 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.94 to $10.98, 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 to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
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 $10.94 to $10.98, 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 to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Constellation Acquisition Corp I
Report date October 06, 2023 · Filed October 10, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-10-10. 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 shareSEC Table I · non-derivative | IndirectSee footnote | 250,000 |
Reported balance
After 2023-10-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-10-06 · Sale · Disposed 250,000 · Balance 250,000 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Estrella Immunopharma, Inc.
Report date September 29, 2023 · Filed October 05, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-10-05. 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 2023-09-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-29 · Other · Disposed 255,000 · Balance 0 F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed. F2: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed.
F2: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Goldenbridge Acquisition Ltd
Report date May 17, 2023 · Filed May 19, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-05-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par value per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-05-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-17 · Other · Disposed 485,000 · Balance 0 F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed. F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed.
F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Kairous Acquisition Corp. Ltd
Report date September 22, 2023 · Filed September 26, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-09-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Last balance in matching sequence
After 2023-09-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2023-09-22 · Sale · Disposed 100,000 · Balance 375,000 F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. Row 2 · 2023-09-22 · Sale · Disposed 375,000 · Balance 0 F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Kingswood Acquisition Corp.
Report date August 14, 2023 · Filed August 21, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-08-21. 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 2023-08-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-14 · Sale · Disposed 60,600 · Balance 0 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Leo Holdings Corp. II
Report date September 15, 2023 · Filed September 18, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-09-18. 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 shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-09-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-15 · Sale · Disposed 613,358 · Balance 0 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Minority Equality Opportunities Acquisition Inc.
Report date July 03, 2023 · Filed July 05, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-07-05. 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 2023-07-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-07-03 · Other · Disposed 310,000 · Balance 0 F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF (as defined below) were redeemed by the Issuer. 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 July 3, 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). F3: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF (as defined below) were redeemed by the Issuer.
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 July 3, 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).
F3: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
OCA Acquisition Corp.
Report date December 20, 2023 · Filed December 22, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-12-22. 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 | 104,691 |
Last balance in matching sequence
After 2023-12-21 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2023-12-20 · Sale · Disposed 150,000 · Balance 450,000 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. Row 2 · 2023-12-21 · Sale · Disposed 75,000 · Balance 375,000 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. Row 3 · 2023-12-21 · Sale · Disposed 270,309 · Balance 104,691 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
OceanTech Acquisitions I Corp.
Report date May 30, 2023 · Filed June 02, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-06-02. 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 2023-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-30 · Other · Disposed 300,925 · Balance 0 F1: The Reporting Persons elected to redeem 300,925 shares held by OCCOMF (as defined below) 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 May 30, 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). F3: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 300,925 shares held by OCCOMF (as defined below) 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 May 30, 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).
F3: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
OneMedNet Corp
Report date August 11, 2023 · Filed August 21, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-08-21. 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 2023-08-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-11 · Other · Disposed 465,000 · Balance 0 F1: The Reporting Persons elected to redeem 465,000 shares held by OCCOMF (as defined below) for cash. F2: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P. ("OCCOMF"), a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons elected to redeem 465,000 shares held by OCCOMF (as defined below) for cash.
F2: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P. ("OCCOMF"), a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Parabellum Acquisition Corp.
Report date May 01, 2023 · Filed June 02, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-06-02. 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 462,333 · Balance 0 F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF (as defined below) were redeemed by the Issuer. F2: Reflects the Reporting Persons' best estimate of the redemption price based on the Issuer's disclosure in the Issuer's Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on November 28, 2022. 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). F3: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF (as defined below) were redeemed by the Issuer.
F2: Reflects the Reporting Persons' best estimate of the redemption price based on the Issuer's disclosure in the Issuer's Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on November 28, 2022. 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).
F3: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Progress Acquisition Corp.
Report date May 22, 2023 · Filed May 23, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-05-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary Shares, no par value per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-05-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-22 · Other · Disposed 257,300 · Balance 0 F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF (as defined below) were redeemed by the Issuer. F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF (as defined below) were redeemed by the Issuer.
F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
SPK Acquisition Corp.
Report date December 29, 2022 · Filed January 05, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-01-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per share ("Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2022-12-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-12-29 · Other · Disposed 476,076 · Balance 0 F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF and the Managed Account (each as defined below) were redeemed by the Issuer. F2: The securities to which this filing relates were held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the liquidation and dissolution of the Issuer, the shares held by OCCOMF and the Managed Account (each as defined below) were redeemed by the Issuer.
F2: The securities to which this filing relates were held directly by (i) Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager and (ii) a sub-account (the "Managed Account") to which the Investment Manager serves as sub-advisor. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Spectaire Holdings Inc.
Report date August 17, 2023 · Filed August 21, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-08-21. 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 shareSEC Table I · non-derivative | IndirectSee footnote | 79,323 |
Reported balance
After 2023-08-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-17 · Sale · Disposed 160,000 · Balance 79,323 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Velodyne Lidar, Inc.
Report date September 29, 2020 · Filed October 01, 2020
Jointly reported with Graf Acquisition LLC, Graf James A, OC Opportunities Fund II, L.P., Owl Creek Asset Management, L.P., OWL CREEK ADVISORS, LLC
Section 16 reporting ended · disclosed 2020-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,947,000 |
Last balance in matching sequence
After 2020-09-29 transaction · row 24
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
24 source rowsRow 1 · 2020-09-29 · Other · Disposed 3,519,128 · Balance 2,507,000 F1: On September 29, 2020, in connection with the Business Combination between Graf Industrial Corp. and Velodyne Lidar, Inc. as described in Graf Industrial Corp.'s definitive proxy statement on Schedule 14A (the "Proxy Statement") filed by Graf Industrial Corp. with the SEC on September 14, 2020 (the "Business Combination"), Graf Acquisition LLC forfeited 3,519,128 shares of common stock. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 2 · 2020-09-29 · Other · Disposed 266,000 · Balance 2,241,000 F4: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 3 · 2020-09-29 · Other · Disposed 75,200 · Balance 2,165,800 F4: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 4 · 2020-09-29 · Other · Disposed 58,800 · Balance 2,107,000 F4: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 5 · 2020-09-29 · Other · Disposed 10,000 · Balance 2,097,000 F5: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred 10,000 shares of common stock to Patrick Marshall as payment for various services rendered by him relating to Graf Acquisition LLC's investment in the Company. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 6 · 2020-09-29 · Other · Disposed 20,000 · Balance 2,077,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 7 · 2020-09-29 · Other · Disposed 20,000 · Balance 2,057,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 8 · 2020-09-29 · Other · Disposed 14,000 · Balance 2,043,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 9 · 2020-09-29 · Other · Disposed 2,000 · Balance 2,041,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 10 · 2020-09-29 · Other · Disposed 2,000 · Balance 2,039,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 11 · 2020-09-29 · Other · Disposed 1,500 · Balance 2,037,500 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 12 · 2020-09-29 · Other · Disposed 17,000 · Balance 2,020,500 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 13 · 2020-09-29 · Other · Disposed 1,000 · Balance 2,019,500 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 14 · 2020-09-29 · Other · Disposed 1,500 · Balance 2,018,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 15 · 2020-09-29 · Other · Disposed 13,000 · Balance 2,005,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 16 · 2020-09-29 · Other · Disposed 1,000 · Balance 2,004,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 17 · 2020-09-29 · Other · Disposed 1,000 · Balance 2,003,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 18 · 2020-09-29 · Other · Disposed 1,000 · Balance 2,002,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 19 · 2020-09-29 · Other · Disposed 500 · Balance 2,001,500 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 20 · 2020-09-29 · Other · Disposed 1,000 · Balance 2,000,500 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 21 · 2020-09-29 · Other · Disposed 1,000 · Balance 1,999,500 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 22 · 2020-09-29 · Other · Disposed 1,500 · Balance 1,998,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 23 · 2020-09-29 · Other · Disposed 1,000 · Balance 1,997,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Row 24 · 2020-09-29 · Other · Disposed 50,000 · Balance 1,947,000 F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 29, 2020, in connection with the Business Combination between Graf Industrial Corp. and Velodyne Lidar, Inc. as described in Graf Industrial Corp.'s definitive proxy statement on Schedule 14A (the "Proxy Statement") filed by Graf Industrial Corp. with the SEC on September 14, 2020 (the "Business Combination"), Graf Acquisition LLC forfeited 3,519,128 shares of common stock.
F2: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly.
F3: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.
F4: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination.
F5: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred 10,000 shares of common stock to Patrick Marshall as payment for various services rendered by him relating to Graf Acquisition LLC's investment in the Company.
F6: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement.
WinVest Acquisition Corp.
Report date September 15, 2023 · Filed September 18, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-09-18. 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 2023-09-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-09-15 · Sale · Disposed 450,000 · Balance 0 F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities to which this filing relates are held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership, to which Owl Creek Asset Management, L.P., a Delaware limited partnership (the "Investment Manager"), serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
Zura Bio Ltd
Report date March 20, 2023 · Filed March 23, 2023
Jointly reported with Owl Creek Asset Management, L.P.
Section 16 reporting ended · disclosed 2023-03-23. 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 shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-03-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-03-20 · Other · Disposed 550,000 · Balance 0 F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed. F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the Issuer's business combination, the shares held by OCCOMF (as defined below) were redeemed.
F2: The securities to which this filing relates were held directly by Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("OCCOMF"), to which Owl Creek Asset Management, L.P., a Delaware limited partnership, (the "Investment Manager") serves as investment manager. Jeffrey A. Altman ("Mr. Altman") is the managing member of the general partner of the Investment Manager. Each of the Investment Manager and Mr. Altman disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.
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 |
|---|---|---|---|---|---|---|
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 19 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,001,500 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 18 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,002,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 17 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,003,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 16 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,004,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 13,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 15 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,005,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 1,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 14 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,018,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 13 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,019,500 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 17,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 12 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,020,500 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 1,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 11 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,037,500 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 10 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,039,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 9 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,041,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 14,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 8 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,043,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 7 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,057,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 6 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,077,000 F6 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F6 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred an aggregate of 150,000 shares of common stock to entities and individuals affiliated with EarlyBirdCapital, Inc. as payment for advisory services rendered by EarlyBirdCapital, Inc. in connection with the Business Combination, as described in the Proxy Statement. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 5 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,097,000 F5 · kind: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred 10,000 shares of common stock to Patrick Marshall as payment for various services rendered by him relating to Graf Acquisition LLC's investment in the Company. F5 · price: On September 29, 2020, in connection with the Business Combination, Graf Acquisition LLC transferred 10,000 shares of common stock to Patrick Marshall as payment for various services rendered by him relating to Graf Acquisition LLC's investment in the Company. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 58,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 4 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,107,000 F4 · kind: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F4 · price: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 75,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 3 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,165,800 F4 · kind: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F4 · price: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 266,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 2 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,241,000 F4 · kind: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F4 · price: On September 29, 2020, Graf Acquisition LLC transferred an aggregate of 400,000 shares of common stock to entities affiliated with Magnetar Financial LLC in connection with certain actions taken in connection with the Business Combination. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:09 UTC | Velodyne Lidar, Inc. VLDR · Entity 116976 | OtherCommon Stock | 3,519,128 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-111275 · tm2032248d2_4.xml · nonDerivative · entry 1 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,507,000 F1 · kind: On September 29, 2020, in connection with the Business Combination between Graf Industrial Corp. and Velodyne Lidar, Inc. as described in Graf Industrial Corp.'s definitive proxy statement on Schedule 14A (the "Proxy Statement") filed by Graf Industrial Corp. with the SEC on September 14, 2020 (the "Business Combination"), Graf Acquisition LLC forfeited 3,519,128 shares of common stock. F1 · price: On September 29, 2020, in connection with the Business Combination between Graf Industrial Corp. and Velodyne Lidar, Inc. as described in Graf Industrial Corp.'s definitive proxy statement on Schedule 14A (the "Proxy Statement") filed by Graf Industrial Corp. with the SEC on September 14, 2020 (the "Business Combination"), Graf Acquisition LLC forfeited 3,519,128 shares of common stock. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| May 14, 2020 Filed May 15, 2020 17:21 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 6,362 | $54.85 | $348,945.52 |
DisclosureSEC source: 0000902664-20-002141 · ownership.xml · nonDerivative · entry 4 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,251,015 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| May 14, 2020 Filed May 15, 2020 17:21 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 26,991 | $54.94 | $1,482,782.97 |
DisclosureSEC source: 0000902664-20-002141 · ownership.xml · nonDerivative · entry 3 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,244,653 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| May 13, 2020 Filed May 15, 2020 17:21 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 150,000 | $54.06 | $8,108,460.00 |
DisclosureSEC source: 0000902664-20-002141 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,217,662 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| May 13, 2020 Filed May 15, 2020 17:21 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 50,000 | $54.16 | $2,707,925.00 |
DisclosureSEC source: 0000902664-20-002141 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,067,662 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 21:27 UTC | Anterix Inc. NASDAQ · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 300 | $34.05 | $10,215.99 |
DisclosureSEC source: 0000902664-20-001618 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: Not disclosed F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 17:29 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 75,200 | $38.82 | $2,919,271.52 |
DisclosureSEC source: 0000902664-20-001568 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 5,017,362 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| March 11, 2020 Filed Mar 11, 2020 17:22 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 21,700 | $43.88 | $952,104.86 |
DisclosureSEC source: 0000902664-20-001474 · ownership.xml · nonDerivative · entry 4 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,942,162 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| March 10, 2020 Filed Mar 11, 2020 17:22 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 33,800 | $46.95 | $1,586,964.08 |
DisclosureSEC source: 0000902664-20-001474 · ownership.xml · nonDerivative · entry 3 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,920,462 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| March 10, 2020 Filed Mar 11, 2020 17:22 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 9,734 | $46.36 | $451,305.23 |
DisclosureSEC source: 0000902664-20-001474 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,886,662 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 17:22 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 25,687 | $46.01 | $1,181,935.93 |
DisclosureSEC source: 0000902664-20-001474 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,876,928 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 15:10 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 200 | $40.45 | $8,090.00 |
DisclosureSEC source: 0000902664-19-004117 · ownership.xml · nonDerivative · entry 3 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,851,241 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 15:10 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 71,500 | $40.50 | $2,895,750.00 |
DisclosureSEC source: 0000902664-19-004117 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,851,041 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 28, 2019 Filed Oct 30, 2019 15:10 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 2,200 | $40.00 | $88,009.02 |
DisclosureSEC source: 0000902664-19-004117 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,779,541 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 24, 2019 Filed Oct 24, 2019 18:56 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 4,600 | $38.65 | $177,770.22 |
DisclosureSEC source: 0000902664-19-004081 · ownership.xml · nonDerivative · entry 3 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,777,341 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 23, 2019 Filed Oct 24, 2019 18:56 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 11,381 | $38.96 | $443,407.17 |
DisclosureSEC source: 0000902664-19-004081 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,772,741 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 23, 2019 Filed Oct 25, 2019 17:58 UTC | Velodyne Lidar, Inc. GRAF · Entity 116976 | OtherCommon Stock | 18,000 | $0.00 | $54.00 |
DisclosureSEC source: 0001104659-19-056606 · tm1921011d3_4.xml · nonDerivative · entry 1 Graf Acquisition LLC · CIK 0001745782 · 10% owner Graf James A · CIK 0001519672 · 10% owner OC Opportunities Fund II, L.P. · CIK 0001755679 · 10% owner Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,026,128 F1 · kind: On October 23, 2019, in connection with Julie Levenson's appointment to the Board of Directors of the Issuer, Graf Acquisition LLC, the sponsor of the Issuer (the "Sponsor"), transferred 18,000 shares of common stock to Ms. Levenson at the same per share price paid by the Sponsor. F2 · ownership.direct: The transferred securities were held directly by Graf Acquisition LLC. James A. Graf and OC Opportunities Fund II, L.P. share voting and dispositive power over the securities held by Graf Acquisition LLC. James Graf and OC Opportunities Fund II, L.P disclaim beneficial ownership over any securities owned by Graf Acquisition LLC other than to the extent of any pecuniary interest he or it may have therein, directly or indirectly. F3 · ownership.direct: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, OC Opportunities Fund II, L.P. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, OC Opportunities Fund II, L.P. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 18:56 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 300 | $39.00 | $11,698.50 |
DisclosureSEC source: 0000902664-19-004081 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,761,360 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 18, 2019 Filed Oct 21, 2019 17:30 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 7,200 | $38.70 | $278,655.12 |
DisclosureSEC source: 0000902664-19-004027 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,761,060 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 17, 2019 Filed Oct 21, 2019 17:30 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 14,129 | $38.94 | $550,246.84 |
DisclosureSEC source: 0000902664-19-004027 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,753,860 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 16, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 9,274 | $38.35 | $355,649.55 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 7 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,739,731 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 15, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 1,500 | $38.98 | $58,473.00 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 6 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,730,457 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 15, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 3,689 | $38.88 | $143,410.98 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 5 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,728,957 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 15, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 3,321 | $38.87 | $129,094.91 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 4 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,725,268 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 15, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 7,606 | $38.07 | $289,558.14 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 3 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,721,947 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 11, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 115,000 | $40.50 | $4,657,500.00 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,714,341 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 11, 2019 Filed Oct 16, 2019 17:03 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock, par value $0.0001 per share ("Common Stock") | 3,192 | $39.63 | $126,484.92 |
DisclosureSEC source: 0000902664-19-003993 · ownership.xml · nonDerivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,599,341 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 10, 2019 Filed Oct 10, 2019 17:25 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 2,268 | $38.12 | $86,450.26 |
DisclosureSEC source: 0000902664-19-003960 · ownership.xml · nonDerivative · entry 6 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,596,149 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 10, 2019 Filed Oct 10, 2019 17:25 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 6,519 | $37.89 | $246,982.09 |
DisclosureSEC source: 0000902664-19-003960 · ownership.xml · nonDerivative · entry 5 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,593,881 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 09, 2019 Filed Oct 10, 2019 17:25 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 8,652 | $37.27 | $322,493.78 |
DisclosureSEC source: 0000902664-19-003960 · ownership.xml · nonDerivative · entry 4 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,587,362 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 17:25 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 100 | $36.97 | $3,696.95 |
DisclosureSEC source: 0000902664-19-003960 · ownership.xml · nonDerivative · entry 3 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,578,710 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 08, 2019 Filed Oct 10, 2019 17:25 UTC | Anterix Inc. ATEX · Entity 4597 | PurchaseCommon Stock | 2,600 | $37.23 | $96,785.26 |
DisclosureSEC source: 0000902664-19-003960 · ownership.xml · nonDerivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner Owl Creek Special Situations Fund, L.P. · CIK 0001774065 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,578,610 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI"), Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund") and Owl Creek Special Situations Fund, L.P., a Delaware limited partnership ("Owl Creek Special Situations," and together with Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund, the "Owl Creek Funds"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II, Owl Creek Credit Fund and Owl Creek Special Situations. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, each of the Owl Creek Funds. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.