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MANGROVE PARTNERS IM, LLC

Disclosed activity across 11 companies

Tapewire entity
84194
SEC CIK
0001535392

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

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.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (11)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Section 16 reporting ended · disclosed 2017-02-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect471,086 Reported balance After 2017-02-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-02-23 · Other · Disposed 3,534,615 · Balance 471,086

F3: Pursuant to a cash tender offer conducted by the Issuer, the Reporting Persons tendered, in exchange for cash consideration of $10.35 per share, Shares beneficially owned by them.

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Filing footnotes · ownership attribution and instrument terms

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

F3: Pursuant to a cash tender offer conducted by the Issuer, the Reporting Persons tendered, in exchange for cash consideration of $10.35 per share, Shares beneficially owned by them.

Arogo Capital Acquisition Corp.

Report date September 06, 2024 · Filed January 13, 2025

Section 16 reporting ended · disclosed 2025-01-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance Holding disclosure · report date 2024-09-06 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

F1: These shares of the Issuer's Class A Common Stock were held directly by the Mangrove Partners Master Fund, Ltd. (the "Master Fund"). Mangrove Partners IM, LLC ("Mangrove Partners") serves as the investment manager of the Master Fund and, in such capacity, may be deemed to beneficially own the securities reported herein. Mangrove Partners disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mangrove Partners is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

F2: Effective March 14, 2024, Nathanial August and the other members of Mangrove Partners contributed their interests to a newly formed entity, Mangrove Holding, Inc., and then sold their equity in Mangrove Holding, Inc. to the Mangrove Retirement Savings Plan, which holds 100% of the outstanding equity of Mangrove Holding, Inc. As a result of these changes, Mr. August may no longer be deemed an indirect beneficial owner of the Class A Common Stock held by the Master Fund and thus has been removed as a reporting person on this Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: These shares of the Issuer's Class A Common Stock were held directly by the Mangrove Partners Master Fund, Ltd. (the "Master Fund"). Mangrove Partners IM, LLC ("Mangrove Partners") serves as the investment manager of the Master Fund and, in such capacity, may be deemed to beneficially own the securities reported herein. Mangrove Partners disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mangrove Partners is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

F2: Effective March 14, 2024, Nathanial August and the other members of Mangrove Partners contributed their interests to a newly formed entity, Mangrove Holding, Inc., and then sold their equity in Mangrove Holding, Inc. to the Mangrove Retirement Savings Plan, which holds 100% of the outstanding equity of Mangrove Holding, Inc. As a result of these changes, Mr. August may no longer be deemed an indirect beneficial owner of the Class A Common Stock held by the Master Fund and thus has been removed as a reporting person on this Form 4.

Section 16 reporting ended · disclosed 2017-02-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect2,767,490 Last balance in matching sequence After 2017-02-06 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2017-02-06 · Purchase · Acquired 6,372 · Balance 2,672,607

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Row 2 · 2017-02-06 · Purchase · Acquired 75,000 · Balance 2,747,607

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Row 3 · 2017-02-06 · Purchase · Acquired 19,883 · Balance 2,767,490

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Filing footnotes · ownership attribution and instrument terms

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Green Plains Inc.

Report date March 30, 2020 · Filed April 02, 2020

Jointly reported with Mangrove Partners Master Fund, Ltd., AUGUST NATHANIEL H.

Section 16 reporting ended · disclosed 2020-04-02. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stock of $0.01 par valueSEC Table I · non-derivativeDirect3,504,739 Reported balance After 2020-04-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-04-01 · Sale · Disposed 9,000 · Balance 3,504,739

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Cash settled total return swap (obligation to buy)SEC Table II · derivative / convertible security · Expires 2023-11-17Direct384,261 Reported balance After 2020-03-30 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-03-30 · Sale · Disposed 86,160 · Balance 384,261

F1: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") with Morgan Stanley Capital Services LLC as the counterparty between August 16, 2019 and March 13, 2020 at prices between $5.44 and $12.18. The swaps can be settled and closed at any time by Master Fund. The swaps provide Master Fund with economic exposure to the Common Stock referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Stock increases, and benefiting counterparty if the price of the Common Stock decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Cash settled total return swap (obligation to buy)SEC Table II · derivative / convertible security · Expires 2023-11-17Direct256,699 Reported balance After 2020-03-31 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-03-31 · Sale · Disposed 127,562 · Balance 256,699

F1: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") with Morgan Stanley Capital Services LLC as the counterparty between August 16, 2019 and March 13, 2020 at prices between $5.44 and $12.18. The swaps can be settled and closed at any time by Master Fund. The swaps provide Master Fund with economic exposure to the Common Stock referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Stock increases, and benefiting counterparty if the price of the Common Stock decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Cash settled total return swap (obligation to buy)SEC Table II · derivative / convertible security · Expires 2023-11-17Direct192,755 Reported balance After 2020-04-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-04-01 · Sale · Disposed 63,924 · Balance 192,755

F1: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") with Morgan Stanley Capital Services LLC as the counterparty between August 16, 2019 and March 13, 2020 at prices between $5.44 and $12.18. The swaps can be settled and closed at any time by Master Fund. The swaps provide Master Fund with economic exposure to the Common Stock referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Stock increases, and benefiting counterparty if the price of the Common Stock decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") with Morgan Stanley Capital Services LLC as the counterparty between August 16, 2019 and March 13, 2020 at prices between $5.44 and $12.18. The swaps can be settled and closed at any time by Master Fund. The swaps provide Master Fund with economic exposure to the Common Stock referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Stock increases, and benefiting counterparty if the price of the Common Stock decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Navios Maritime Containers L.P.

Report date January 06, 2021 · Filed January 07, 2021

Jointly reported with Mangrove Partners Master Fund, Ltd., AUGUST NATHANIEL H.

Section 16 reporting ended · disclosed 2021-01-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common UnitsSEC Table I · non-derivativeDirect3,227,268 Reported balance After 2021-01-06 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-01-06 · Sale · Disposed 37,573 · Balance 3,227,268

F1: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Pearl Holdings Acquisition Corp

Report date April 16, 2024 · Filed May 06, 2024

Section 16 reporting ended · disclosed 2024-05-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Ordinary SharesSEC Table I · non-derivativeIndirectSee Footnote249,158 Reported balance Holding disclosure · report date 2024-04-16 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 249,158

F1: These shares of the Issuer's Class A Ordinary Shares are held directly by the Mangrove Partners Master Fund, Ltd. (the "Master Fund"). Mangrove Partners IM, LLC ("Mangrove Partners") serves as the investment manager of the Master Fund and, in such capacity, may be deemed to beneficially own the securities reported herein. Mangrove Partners disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mangrove Partners is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

F2: Effective March 14, 2024, Nathanial August and the other members of Mangrove Partners contributed their interests to a newly formed entity, Mangrove Holding, Inc., and then sold their equity in Mangrove Holding, Inc. to the Mangrove Retirement Savings Plan, which holds 100% of the outstanding equity of Mangrove Holding, Inc. As a result of these changes, Mr. August may no longer be deemed an indirect beneficial owner of the Class A Ordinary Shares held by the Master Fund and thus has been removed as a reporting person on this Form 4.

Filing footnotes · ownership attribution and instrument terms

F1: These shares of the Issuer's Class A Ordinary Shares are held directly by the Mangrove Partners Master Fund, Ltd. (the "Master Fund"). Mangrove Partners IM, LLC ("Mangrove Partners") serves as the investment manager of the Master Fund and, in such capacity, may be deemed to beneficially own the securities reported herein. Mangrove Partners disclaims beneficial ownership of these securities except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mangrove Partners is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

F2: Effective March 14, 2024, Nathanial August and the other members of Mangrove Partners contributed their interests to a newly formed entity, Mangrove Holding, Inc., and then sold their equity in Mangrove Holding, Inc. to the Mangrove Retirement Savings Plan, which holds 100% of the outstanding equity of Mangrove Holding, Inc. As a result of these changes, Mr. August may no longer be deemed an indirect beneficial owner of the Class A Ordinary Shares held by the Master Fund and thus has been removed as a reporting person on this Form 4.

Ranger Oil Corp

Report date June 05, 2020 · Filed June 10, 2020

Jointly reported with Mangrove Partners Master Fund, Ltd., AUGUST NATHANIEL H.

Section 16 reporting ended · disclosed 2020-06-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stock of $0.01 par valueSEC Table I · non-derivativeDirect1,132,251 Last balance in matching sequence After 2020-06-08 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2020-06-08 · Sale · Disposed 646 · Balance 1,728,736

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Row 2 · 2020-06-08 · Sale · Disposed 654 · Balance 1,728,082

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Row 3 · 2020-06-08 · Sale · Disposed 50,000 · Balance 1,678,082

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Row 4 · 2020-06-08 · Sale · Disposed 545,831 · Balance 1,132,251

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Cash settled total return swap (obligation to buy)SEC Table II · derivative / convertible security · Expires 2022-11-14Direct0 Reported balance After 2020-06-05 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-06-05 · Sale · Disposed 106,976 · Balance 0

F1: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") with Morgan Stanley Capital Services LLC as the counterparty between November 9, 2017 and August 8, 2018 at prices between $33.45 and $79.73. The swaps can be settled and closed at any time by Master Fund. The swaps provide Master Fund with economic exposure to the Common Stock referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Stock increases, and benefiting counterparty if the price of the Common Stock decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") with Morgan Stanley Capital Services LLC as the counterparty between November 9, 2017 and August 8, 2018 at prices between $33.45 and $79.73. The swaps can be settled and closed at any time by Master Fund. The swaps provide Master Fund with economic exposure to the Common Stock referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Stock increases, and benefiting counterparty if the price of the Common Stock decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Section 16 reporting ended · disclosed 2020-01-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Preferred UnitsSEC Table II · derivative / convertible securityIndirectBy MPF InvestCo 6, LLC0 Reported balance After 2019-12-31 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2019-12-31 · Other · Disposed 1,323,806 · Balance 0

F1: Each Series A Preferred Unit ("Preferred Unit") is convertible into one common unit representing a limited partnership unit of the Issuer ("Common Unit") (i) at the option of the holder thereof beginning on the 10th day following the completion of the Rights Offering (as defined in the Issuer's Third Amended and Restated Agreement of Limited Partnership, dated as of June 27, 2019 (the "LPA")) and (ii) automatically upon the consummation of the merger pursuant to the Merger Agreement (as defined in footnote 2 herein). The Preferred Units do not have an expiration date.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F13: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC was assumed by StoneMor Inc. in a transaction intended to be tax-free under the U.S. Internal Revenue Code of 1986, as amended, in exchange for one share of Common Stock for each Preferred Unit held by each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC. At the Effective Time, such shares of Common Stock are held directly by Master Fund.

F6: The Mangrove Partners Fund (Cayman Drawdown), L.P. ("Cayman Drawdown") wholly owns MPF InvestCo 6, LLC and is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of Cayman Drawdown.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Series A Preferred UnitsSEC Table II · derivative / convertible securityIndirectBy MPF InvestCo 7, LLC0 Reported balance After 2019-12-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-12-31 · Other · Disposed 540,438 · Balance 0

F1: Each Series A Preferred Unit ("Preferred Unit") is convertible into one common unit representing a limited partnership unit of the Issuer ("Common Unit") (i) at the option of the holder thereof beginning on the 10th day following the completion of the Rights Offering (as defined in the Issuer's Third Amended and Restated Agreement of Limited Partnership, dated as of June 27, 2019 (the "LPA")) and (ii) automatically upon the consummation of the merger pursuant to the Merger Agreement (as defined in footnote 2 herein). The Preferred Units do not have an expiration date.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F13: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC was assumed by StoneMor Inc. in a transaction intended to be tax-free under the U.S. Internal Revenue Code of 1986, as amended, in exchange for one share of Common Stock for each Preferred Unit held by each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC. At the Effective Time, such shares of Common Stock are held directly by Master Fund.

F7: The Mangrove Partners i-Feeder 1, Ltd. ("i-Feeder") wholly owns MPF InvestCo 7, LLC and is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of i-Feeder.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Series A Preferred UnitsSEC Table II · derivative / convertible securityIndirectBy MPF InvestCo 8, LLC0 Reported balance After 2019-12-31 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2019-12-31 · Other · Disposed 1,441,276 · Balance 0

F1: Each Series A Preferred Unit ("Preferred Unit") is convertible into one common unit representing a limited partnership unit of the Issuer ("Common Unit") (i) at the option of the holder thereof beginning on the 10th day following the completion of the Rights Offering (as defined in the Issuer's Third Amended and Restated Agreement of Limited Partnership, dated as of June 27, 2019 (the "LPA")) and (ii) automatically upon the consummation of the merger pursuant to the Merger Agreement (as defined in footnote 2 herein). The Preferred Units do not have an expiration date.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F13: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC was assumed by StoneMor Inc. in a transaction intended to be tax-free under the U.S. Internal Revenue Code of 1986, as amended, in exchange for one share of Common Stock for each Preferred Unit held by each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC. At the Effective Time, such shares of Common Stock are held directly by Master Fund.

F8: The Mangrove Partners Fund (Cayman), Ltd. ("Mangrove Fund Cayman") wholly owns MPF InvestCo 8, LLC and is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of Mangrove Fund Cayman.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Series A Preferred UnitsSEC Table II · derivative / convertible securityIndirectBy The Mangrove Partners Fund, L.P.0 Reported balance After 2019-12-31 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-12-31 · Other · Disposed 1,828,929 · Balance 0

F1: Each Series A Preferred Unit ("Preferred Unit") is convertible into one common unit representing a limited partnership unit of the Issuer ("Common Unit") (i) at the option of the holder thereof beginning on the 10th day following the completion of the Rights Offering (as defined in the Issuer's Third Amended and Restated Agreement of Limited Partnership, dated as of June 27, 2019 (the "LPA")) and (ii) automatically upon the consummation of the merger pursuant to the Merger Agreement (as defined in footnote 2 herein). The Preferred Units do not have an expiration date.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F9: The Mangrove Partners Fund, L.P. is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of The Mangrove Partners Fund, L.P.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Series A Preferred UnitsSEC Table II · derivative / convertible securityIndirectBy The Mangrove Partners Fund (Cayman Partnership), L.P.0 Reported balance After 2019-12-31 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2019-12-31 · Other · Disposed 5,160,383 · Balance 0

F1: Each Series A Preferred Unit ("Preferred Unit") is convertible into one common unit representing a limited partnership unit of the Issuer ("Common Unit") (i) at the option of the holder thereof beginning on the 10th day following the completion of the Rights Offering (as defined in the Issuer's Third Amended and Restated Agreement of Limited Partnership, dated as of June 27, 2019 (the "LPA")) and (ii) automatically upon the consummation of the merger pursuant to the Merger Agreement (as defined in footnote 2 herein). The Preferred Units do not have an expiration date.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F10: The Mangrove Partners Fund (Cayman Partnership), L.P. is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of The Mangrove Partners Fund (Cayman Partnership), L.P.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Cash-Settled Total Return Swap (obligation to buy)SEC Table II · derivative / convertible security · Expires 2022-07-22Direct0 Reported balance After 2019-12-31 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2019-12-31 · Other · Disposed 2,369,877 · Balance 0

F3: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") between July 20, 2017 and May 24, 2019, with Morgan Stanley Capital Services LLC as the counterparty and at prices between $2.0669 and $7.5468. The swaps can be settled and closed at any time by Master Fund.

F5: The swaps provide Master Fund with economic exposure to the Common Units referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Units increases, and benefitting counterparty if the price of the Common Units decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F11: Mangrove Partners serves as investment manager of Master Fund.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Cash-Settled Total Return Swap (obligation to buy)SEC Table II · derivative / convertible security · Expires 2022-05-30Direct0 Reported balance After 2019-12-31 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2019-12-31 · Other · Disposed 48,893 · Balance 0

F4: These cash-settled total return swaps were entered into by Master Fund between May 28, 2019 and June 17, 2019, with Barclays Bank PLC as the counterparty and at prices between $2.0029 and $2.586. The swaps can be settled and closed at any time by Master Fund.

F5: The swaps provide Master Fund with economic exposure to the Common Units referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Units increases, and benefitting counterparty if the price of the Common Units decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F11: Mangrove Partners serves as investment manager of Master Fund.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Each Series A Preferred Unit ("Preferred Unit") is convertible into one common unit representing a limited partnership unit of the Issuer ("Common Unit") (i) at the option of the holder thereof beginning on the 10th day following the completion of the Rights Offering (as defined in the Issuer's Third Amended and Restated Agreement of Limited Partnership, dated as of June 27, 2019 (the "LPA")) and (ii) automatically upon the consummation of the merger pursuant to the Merger Agreement (as defined in footnote 2 herein). The Preferred Units do not have an expiration date.

F2: Pursuant to the Merger and Reorganization Agreement and Plan of Merger dated as of September 27, 2018 (as amended to date, the "Merger Agreement"), by and among the Issuer, StoneMor GP LLC (now StoneMor Inc. ("StoneMor Inc.")) and certain of their affiliates, at the effective time of the merger on December 31, 2019 (the "Effective Time"), each Preferred Unit held by the Reporting Persons and each Common Unit underlying swaps held by Master Fund converted into one share of common stock, par value $0.01 per share of StoneMor Inc. ("Common Stock"). At the Effective Time, the shares of Common Stock received in exchange for the Preferred Units are held directly by Master Fund.

F3: These cash-settled total return swaps were entered into by The Mangrove Partners Master Fund, Ltd. ("Master Fund") between July 20, 2017 and May 24, 2019, with Morgan Stanley Capital Services LLC as the counterparty and at prices between $2.0669 and $7.5468. The swaps can be settled and closed at any time by Master Fund.

F4: These cash-settled total return swaps were entered into by Master Fund between May 28, 2019 and June 17, 2019, with Barclays Bank PLC as the counterparty and at prices between $2.0029 and $2.586. The swaps can be settled and closed at any time by Master Fund.

F5: The swaps provide Master Fund with economic exposure to the Common Units referenced in the swap (the "Subject Securities"), benefiting Master Fund if the price of the Common Units increases, and benefitting counterparty if the price of the Common Units decreases. The swap does not provide Master Fund with the power to vote or direct the voting or dispose of, or to dispose or direct the disposition of, the Subject Securities, nor the right to acquire such power over the Subject Securities. The Reporting Persons expressly disclaim beneficial ownership of the Subject Securities.

F6: The Mangrove Partners Fund (Cayman Drawdown), L.P. ("Cayman Drawdown") wholly owns MPF InvestCo 6, LLC and is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of Cayman Drawdown.

F7: The Mangrove Partners i-Feeder 1, Ltd. ("i-Feeder") wholly owns MPF InvestCo 7, LLC and is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of i-Feeder.

F8: The Mangrove Partners Fund (Cayman), Ltd. ("Mangrove Fund Cayman") wholly owns MPF InvestCo 8, LLC and is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of Mangrove Fund Cayman.

F9: The Mangrove Partners Fund, L.P. is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of The Mangrove Partners Fund, L.P.

F10: The Mangrove Partners Fund (Cayman Partnership), L.P. is a feeder fund to Master Fund. Mangrove Partners serves as investment manager of The Mangrove Partners Fund (Cayman Partnership), L.P.

F11: Mangrove Partners serves as investment manager of Master Fund.

F12: Master Fund, Mangrove Partners and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

F13: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC was assumed by StoneMor Inc. in a transaction intended to be tax-free under the U.S. Internal Revenue Code of 1986, as amended, in exchange for one share of Common Stock for each Preferred Unit held by each of MPF InvestCo 6, LLC, MPF InvestCo 7, LLC and MPF InvestCo 8, LLC. At the Effective Time, such shares of Common Stock are held directly by Master Fund.

Stonemor Inc.

Report date April 03, 2020 · Filed April 06, 2020

Jointly reported with Mangrove Partners Master Fund, Ltd., AUGUST NATHANIEL H.

Section 16 reporting ended · disclosed 2020-04-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.01 par value per shareSEC Table I · non-derivativeDirect9,327,799 Last balance in matching sequence After 2020-04-03 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2020-04-03 · Sale · Disposed 83,968 · Balance 9,415,289

F1: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Row 2 · 2020-04-03 · Sale · Disposed 87,490 · Balance 9,327,799

F1: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Master Fund, Mangrove Partners, the investment manager of Master Fund, and Nathaniel H. August, the principal of Mangrove Partners, may be deemed to indirectly beneficially own the securities reported herein and disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any.

Section 16 reporting ended · disclosed 2017-07-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.01 par valueSEC Table I · non-derivativeDirect6,348,923 Last balance in matching sequence After 2017-07-10 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2017-07-10 · Sale · Disposed 36,605 · Balance 6,398,923

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Row 2 · 2017-07-10 · Sale · Disposed 50,000 · Balance 6,348,923

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Filing footnotes · ownership attribution and instrument terms

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Section 16 reporting ended · disclosed 2016-12-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.01 par valueSEC Table I · non-derivativeDirect1,854,722 Reported balance After 2016-12-06 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-12-06 · Sale · Disposed 39,886 · Balance 1,854,722

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Filing footnotes · ownership attribution and instrument terms

F1: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
January 30, 2017 Filed Jan 31, 2017 09:28 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 19,911 $8.40 $167,188.68
Disclosure

SEC source: 0001214659-17-000542 · marketforms-37679.xml · nonDerivative · entry 4

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,354,269

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 27, 2017 Filed Jan 31, 2017 09:28 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 43,273 $8.36 $361,680.06
Disclosure

SEC source: 0001214659-17-000542 · marketforms-37679.xml · nonDerivative · entry 3

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,334,358

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 27, 2017 Filed Jan 31, 2017 09:28 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 100,000 $8.35 $835,000.00
Disclosure

SEC source: 0001214659-17-000542 · marketforms-37679.xml · nonDerivative · entry 2

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,291,085

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 27, 2017 Filed Jan 31, 2017 09:28 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 6,300 $8.35 $52,589.25
Disclosure

SEC source: 0001214659-17-000542 · marketforms-37679.xml · nonDerivative · entry 1

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,191,085

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 09:25 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 25,000 $8.35 $208,750.00
Disclosure

SEC source: 0001214659-17-000467 · marketforms-37644.xml · nonDerivative · entry 5

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,184,785

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

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January 26, 2017 Filed Jan 27, 2017 09:25 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 30,003 $8.35 $250,633.06
Disclosure

SEC source: 0001214659-17-000467 · marketforms-37644.xml · nonDerivative · entry 4

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,159,785

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 09:25 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 13,118 $8.35 $109,569.41
Disclosure

SEC source: 0001214659-17-000467 · marketforms-37644.xml · nonDerivative · entry 3

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,129,782

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 25, 2017 Filed Jan 27, 2017 09:25 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 5,562 $8.35 $46,441.59
Disclosure

SEC source: 0001214659-17-000467 · marketforms-37644.xml · nonDerivative · entry 2

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116,664

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 25, 2017 Filed Jan 27, 2017 09:25 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 3,000 $8.35 $25,047.60
Disclosure

SEC source: 0001214659-17-000467 · marketforms-37644.xml · nonDerivative · entry 1

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,111,102

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 24, 2017 Filed Jan 25, 2017 10:07 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 25,059 $8.35 $209,262.70
Disclosure

SEC source: 0001214659-17-000431 · marketforms-37638.xml · nonDerivative · entry 4

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,108,102

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 24, 2017 Filed Jan 25, 2017 10:07 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 4,000 $8.35 $33,404.40
Disclosure

SEC source: 0001214659-17-000431 · marketforms-37638.xml · nonDerivative · entry 3

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,083,043

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 23, 2017 Filed Jan 25, 2017 10:07 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 3,943 $8.37 $32,985.17
Disclosure

SEC source: 0001214659-17-000431 · marketforms-37638.xml · nonDerivative · entry 2

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078,800

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 23, 2017 Filed Jan 25, 2017 10:07 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 700 $8.37 $5,855.99
Disclosure

SEC source: 0001214659-17-000431 · marketforms-37638.xml · nonDerivative · entry 1

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,075,100

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 19, 2017 Filed Jan 23, 2017 09:42 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 3,700 $8.30 $30,700.01
Disclosure

SEC source: 0001214659-17-000409 · marketforms-37635.xml · nonDerivative · entry 2

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,074,400

Read SEC document
January 19, 2017 Filed Jan 23, 2017 09:42 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 2,000 $8.30 $16,590.00
Disclosure

SEC source: 0001214659-17-000409 · marketforms-37635.xml · nonDerivative · entry 1

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,070,700

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
January 18, 2017 Filed Jan 19, 2017 15:03 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 18,920 $8.38 $158,585.55
Disclosure

SEC source: 0001214659-17-000377 · marketforms-37633.xml · nonDerivative · entry 2

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,068,700

Read SEC document
January 18, 2017 Filed Jan 19, 2017 15:03 UTC Calamos Asset Management, Inc. /DE/ CLMS · Entity 178354 PurchaseClass A Common Stock 13,700 $8.38 $114,789.56
Disclosure

SEC source: 0001214659-17-000377 · marketforms-37633.xml · nonDerivative · entry 1

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,049,780

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

Read SEC document
December 06, 2016 Filed Dec 7, 2016 12:18 UTC WESTMORELAND COAL Co WLB · Entity 159111 SaleCommon Stock, $0.01 par value 39,886 $19.10 $761,671.03
Disclosure

SEC source: 0001214659-16-015233 · marketforms-37318.xml · nonDerivative · entry 1

Mangrove Partners Master Fund, Ltd. · CIK 0001569227 · 10% owner

Mangrove Partners Fund (Cayman), Ltd. · CIK 0001569229 · 10% owner

Mangrove Partners Fund, L.P. · CIK 0001486623 · 10% owner

MANGROVE CAPITAL · CIK 0001535391 · 10% owner

AUGUST NATHANIEL H. · CIK 0001535393 · 10% owner

MANGROVE PARTNERS · CIK 0001535392 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,854,722

F1 · ownership.direct: This Form is being jointly filed by (1) The Mangrove Partners Master Fund, Ltd. (the "Master Fund"), (2) The Mangrove Partners Fund, L.P. (the "US Feeder"), (3) The Mangrove Partners Fund (Cayman), Ltd. (the "Cayman Feeder"), (4) Mangrove Partners, (5) Mangrove Capital and (6) Nathaniel August. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons."

F2 · ownership.direct: The shares which are the subject of this Form are held by the Master Fund. Beneficial ownership of the shares which is the subject of this Form is also claimed indirectly by (i) the US Feeder and the Cayman Feeder, which are the two controlling shareholders of the Master Fund, (ii) Mangrove Partners which serves as the investment manager of each of the Master Fund, the US Feeder and the Cayman Feeder, (iii) Mangrove Capital which serves as the general partner of the US Feeder, and (iv) Nathaniel August who is the principal of Mangrove Partners and Mangrove Capital.

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.