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organization · Reporting owner

ELLIOTT ASSOCIATES, L.P.

Disclosed activity across 6 companies

Tapewire entity
97689
SEC CIK
0000904495

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
PEABODY ENERGY CORPBTU · Entity 412410% ownerAugust 14, 2018August 16, 2018
Roadrunner Transportation Systems, Inc.RRTS · Entity 14881210% ownerFebruary 26, 2019February 28, 2019

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.

PEABODY ENERGY CORP

Report date August 14, 2018 · Filed August 16, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.01 par value per share (the "Common Stock")SEC Table I · non-derivativeDirect10,818,761 Reported balance After 2018-08-14 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2018-08-14 · Sale · Disposed 489,926 · Balance 10,818,761

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes9,013,135 Reported balance After 2018-08-14 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2018-08-14 · Sale · Disposed 1,805,626 · Balance 9,013,135

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

Roadrunner Transportation Systems, Inc.

Report date February 26, 2019 · Filed February 28, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivativeDirect40,496,601 Reported balance After 2019-02-26 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2019-02-26 · Other · Acquired 38,818,886 · Balance 40,496,601

F2: Represents the exercise of subscription rights in the Issuer's rights offering, as described in the Issuer's Prospectus dated February 1, 2019 (the "Rights Offering") by the Reporting Person, with each right entitling the Reporting Person to purchase 23.1379497159 shares of Common Stock.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect271,640,210 Reported balance After 2019-02-26 transaction · row 2 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 2 · 2019-02-26 · Purchase · Acquired 231,143,609 · Balance 271,640,210

F3: Represents shares of Common Stock acquired by the Reporting Person pursuant to its backstop commitment in accordance with the Standby Purchase Agreement, dated as of November 8, 2018 (the "Standby Purchase Agreement"), filed as Exhibit 10.48 to the Issuer's Current Report on Form 8-K filed with the Securities and exchange Commission on November 9, 2018.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Series B Cumulative Redeemable Preferred StockSEC Table I · non-derivativeDirect0 Reported balance After 2019-02-26 transaction · row 3 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 3 · 2019-02-26 · Other · Disposed 49,600 · Balance 0

F4: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Series C Cumulative Redeemable Preferred StockSEC Table I · non-derivativeDirect0 Reported balance After 2019-02-26 transaction · row 4 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 4 · 2019-02-26 · Other · Disposed 17,600 · Balance 0

F4: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Series D Cumulative Redeemable Preferred StockSEC Table I · non-derivativeDirect0 Reported balance After 2019-02-26 transaction · row 5 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 5 · 2019-02-26 · Other · Disposed 32 · Balance 0

F4: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Series E Cumulative Redeemable Preferred StockSEC Table I · non-derivativeDirect0 Reported balance After 2019-02-26 transaction · row 6 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 6 · 2019-02-26 · Other · Disposed 12,000 · Balance 0

F4: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Series E-1 Cumulative Redeemable Preferred StockSEC Table I · non-derivativeDirect0 Reported balance After 2019-02-26 transaction · row 7 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 7 · 2019-02-26 · Other · Disposed 11,433 · Balance 0

F4: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Subscription Rights (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2019-02-19Direct0 Reported balance After 2019-02-26 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2019-02-26 · Other · Disposed 1,677,715 · Balance 0

F5: Represents subscription rights acquired by the Reporting Person in connection with the Rights Offering.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Represents the exercise of subscription rights in the Issuer's rights offering, as described in the Issuer's Prospectus dated February 1, 2019 (the "Rights Offering") by the Reporting Person, with each right entitling the Reporting Person to purchase 23.1379497159 shares of Common Stock.

F3: Represents shares of Common Stock acquired by the Reporting Person pursuant to its backstop commitment in accordance with the Standby Purchase Agreement, dated as of November 8, 2018 (the "Standby Purchase Agreement"), filed as Exhibit 10.48 to the Issuer's Current Report on Form 8-K filed with the Securities and exchange Commission on November 9, 2018.

F4: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F5: Represents subscription rights acquired by the Reporting Person in connection with the Rights Offering.

Past disclosures · reporting ended (4)

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

Affinion Group Holdings, Inc.

Report date April 10, 2019 · Filed April 12, 2019

Section 16 reporting ended · disclosed 2019-04-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivativeDirect0 Reported balance After 2019-04-10 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2019-04-10 · Other · Disposed 795,965 · Balance 0

F2: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2022-11-10Direct0 Reported balance After 2019-04-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-04-10 · Other · Disposed 22,222 · Balance 0

F2: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

Howmet Aerospace Inc.

Report date August 26, 2019 · Filed August 28, 2019

Section 16 reporting ended · disclosed 2019-08-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $1.00 par valueSEC Table I · non-derivativeIndirectSee Footnote14,514,475 Reported balance After 2019-08-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-08-26 · Sale · Disposed 811,348 · Balance 14,514,475

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.87 to $25.05, inclusive. The Reporting Person undertakes 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: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

Common Stock, $1.00 par valueSEC Table I · non-derivativeDirect13,435,039 Last balance in matching sequence After 2019-08-28 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 2 · 2019-08-27 · Sale · Disposed 851,021 · Balance 13,663,454

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.17 to $25.18, inclusive. The Reporting Person undertakes 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.

Row 3 · 2019-08-28 · Sale · Disposed 228,415 · Balance 13,435,039

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Notional Principal Amount Derivative AgreementsSEC Table II · derivative / convertible securityDirect1 Reported balance After 2019-08-26 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-08-26 · Other · Acquired 1 · Balance 1

F5: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

Notional Principal Amount Derivative AgreementsSEC Table II · derivative / convertible securityDirect1 Reported balance After 2019-08-27 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2019-08-27 · Other · Acquired 1 · Balance 1

F6: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

Notional Principal Amount Derivative AgreementsSEC Table II · derivative / convertible securityDirect1 Reported balance After 2019-08-28 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2019-08-28 · Other · Acquired 1 · Balance 1

F7: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

Notional Principal Amount Derivative AgreementsSEC Table II · derivative / convertible securityIndirectSee Footnote1 Reported balance After 2019-08-26 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2019-08-26 · Other · Acquired 1 · Balance 1

F5: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F2: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

Notional Principal Amount Derivative AgreementsSEC Table II · derivative / convertible securityIndirectSee Footnote1 Reported balance After 2019-08-27 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2019-08-27 · Other · Acquired 1 · Balance 1

F6: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F2: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.87 to $25.05, inclusive. The Reporting Person undertakes 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.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.17 to $25.18, inclusive. The Reporting Person undertakes 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.

F5: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F7: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

MITEL NETWORKS CORP

Report date September 26, 2017 · Filed September 28, 2017

Section 16 reporting ended · disclosed 2017-09-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common shares, no par valueSEC Table I · non-derivativeIndirectSee footnotes3,999,057 Reported balance After 2017-09-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-09-26 · Sale · Disposed 88,617 · Balance 3,999,057

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Includes Common Stock received in a distribution exempt under Rule 16a-9.

F3: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Common shares, no par valueSEC Table I · non-derivativeDirect3,737,199 Last balance in matching sequence After 2017-09-27 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 2 · 2017-09-27 · Sale · Disposed 198,504 · Balance 3,800,553

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Includes Common Stock received in a distribution exempt under Rule 16a-9.

Row 3 · 2017-09-27 · Sale · Disposed 63,354 · Balance 3,737,199

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Includes Common Stock received in a distribution exempt under Rule 16a-9.

Notional Principal Amount Derivative AgreementsSEC Table II · derivative / convertible securityIndirectSee footnotes1,254,712 Reported balance Holding disclosure · report date 2017-09-26 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance 1,254,712

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F4: Notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps expiring January 2, 2018, entered into by the Reporting Person through Liverpool, at initial execution prices ranging from $6.1362 to $7.2235. The Derivative Agreements provide Liverpool with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The counterparties to the Derivative Agreements are unaffiliated third party financial institutions.

F3: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2: Includes Common Stock received in a distribution exempt under Rule 16a-9.

F3: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

F4: Notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps expiring January 2, 2018, entered into by the Reporting Person through Liverpool, at initial execution prices ranging from $6.1362 to $7.2235. The Derivative Agreements provide Liverpool with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The counterparties to the Derivative Agreements are unaffiliated third party financial institutions.

Pressburg, LLC

Report date December 06, 2019 · Filed December 13, 2019

Section 16 reporting ended · disclosed 2019-12-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common Stock, par value $0.001 per shareSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2019-12-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2019-12-06 · Disposition to issuer · Disposed 5,225,017 · Balance 0

F1: The Issuer, Citizen Energy Operating, LLC ("Citizen") and Citizen Energy Pressburg Inc., a subsidiary of Citizen ("Merger Sub"), are parties to that certain Agreement and Plan of Merger, dated October 1, 2019 (the "Merger Agreement"), pursuant to which, among other things, on December 6, 2019, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of Citizen. At the effective time of the Merger, each outstanding share of Class A common stock, $0.001 par value per share, of the Issuer was cancelled and converted into a right to receive $1.52 in cash.

F2: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F3: Securities were owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: The Issuer, Citizen Energy Operating, LLC ("Citizen") and Citizen Energy Pressburg Inc., a subsidiary of Citizen ("Merger Sub"), are parties to that certain Agreement and Plan of Merger, dated October 1, 2019 (the "Merger Agreement"), pursuant to which, among other things, on December 6, 2019, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of Citizen. At the effective time of the Merger, each outstanding share of Class A common stock, $0.001 par value per share, of the Issuer was cancelled and converted into a right to receive $1.52 in cash.

F2: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F3: Securities were owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

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
December 06, 2019 Filed Dec 13, 2019 22:31 UTC Pressburg, LLC ROAN · Entity 153141 Disposition to issuerClass A Common Stock, par value $0.001 per share 5,225,017 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-004598 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · price: The Issuer, Citizen Energy Operating, LLC ("Citizen") and Citizen Energy Pressburg Inc., a subsidiary of Citizen ("Merger Sub"), are parties to that certain Agreement and Plan of Merger, dated October 1, 2019 (the "Merger Agreement"), pursuant to which, among other things, on December 6, 2019, Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of Citizen. At the effective time of the Merger, each outstanding share of Class A common stock, $0.001 par value per share, of the Issuer was cancelled and converted into a right to receive $1.52 in cash.

F2 · ownership.nature: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Securities were owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

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August 28, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · derivative · entry 8

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 228,415 shares

Expires not disclosed

F7 · derivative.exercise_price: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F7 · shares: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F7 · price: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F7 · derivative.exercise_date: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F7 · derivative.expiration_date: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F7 · balance_after: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.08. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

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August 28, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 SaleCommon Stock, $1.00 par value 228,415 $25.05 $5,721,795.75
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · nonDerivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,435,039

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

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August 27, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · derivative · entry 7

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1

Underlying: Common Stock · 513,121 shares

Expires not disclosed

F6 · derivative.exercise_price: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · shares: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · price: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · derivative.exercise_date: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · derivative.expiration_date: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · balance_after: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F2 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

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August 27, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · derivative · entry 6

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 415,400 shares

Expires not disclosed

F6 · derivative.exercise_price: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · shares: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · price: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · derivative.exercise_date: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · derivative.expiration_date: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F6 · balance_after: The Reporting Person, directly and through Liverpool, increased its position in the Derivative Agreements in the form of cash settled swaps. The strike price of the Derivative Agreements reported herein is $25.18. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the Subject Shares. The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

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August 27, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 SaleCommon Stock, $1.00 par value 851,021 $25.17 $21,420,198.57
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,663,454

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.17 to $25.18, inclusive. The Reporting Person undertakes 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.

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August 26, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · derivative · entry 5

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1

Underlying: Common Stock · 476,548 shares

Expires not disclosed

F5 · derivative.exercise_price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · shares: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · derivative.exercise_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · derivative.expiration_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · balance_after: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F2 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

Read SEC document
August 26, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · derivative · entry 4

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 412,300 shares

Expires not disclosed

F5 · derivative.exercise_price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · shares: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · derivative.exercise_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · derivative.expiration_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F5 · balance_after: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.89 to $25.05. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

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August 26, 2019 Filed Aug 28, 2019 23:48 UTC Howmet Aerospace Inc. ARNC · Entity 2911 SaleCommon Stock, $1.00 par value 811,348 $24.94 $20,235,019.12
Disclosure

SEC source: 0000902664-19-003581 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,514,475

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.87 to $25.05, inclusive. The Reporting Person undertakes 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 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

Read SEC document
August 23, 2019 Filed Aug 28, 2019 01:44 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003557 · ownership.xml · derivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1

Underlying: Common Stock · 429,038 shares

Expires not disclosed

F3 · derivative.exercise_price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · shares: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · derivative.exercise_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · derivative.expiration_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · balance_after: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F4 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

Read SEC document
August 23, 2019 Filed Aug 28, 2019 01:44 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-003557 · ownership.xml · derivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 412,300 shares

Expires not disclosed

F3 · derivative.exercise_price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · shares: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · price: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · derivative.exercise_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · derivative.expiration_date: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

F3 · balance_after: The Reporting Person, directly and through The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool"), increased its position in notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps. The strike prices of the Derivative Agreements reported herein range from $24.31 to $24.66. The Derivative Agreements provide the Reporting Person with economic results that are comparable to the economic results of ownership but do not provide them with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Person disclaims beneficial ownership in the Subject Shares. The Derivative Agreements shall continue until terminated as elected by the parties, and have an initial reference expiration date of December 18, 2020.

Read SEC document
August 23, 2019 Filed Aug 28, 2019 01:44 UTC Howmet Aerospace Inc. ARNC · Entity 2911 SaleCommon Stock, $1.00 par value 1,282,860 $24.51 $31,442,898.60
Disclosure

SEC source: 0000902664-19-003557 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,325,823

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.31 to $24.64, inclusive. The Reporting Person undertakes 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.

Read SEC document
June 26, 2019 Filed Jun 28, 2019 20:05 UTC Pressburg, LLC ROAN · Entity 153141 PurchaseClass A Common Stock, par value $0.001 per share 170,844 $0.00 $170.84
Disclosure

SEC source: 0000902664-19-002888 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,225,017

F1 · ownership.nature: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: Securities are owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

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April 10, 2019 Filed Apr 12, 2019 20:28 UTC Affinion Group Holdings, Inc. AFGR · Entity 158373 OtherWarrant (Right to Buy) · Derivative 22,222 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0000902664-19-001905 · ownership.xml · derivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,222 shares

Expires 2022-11-10

F2 · kind: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3 · kind: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

F2 · price: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3 · price: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
April 10, 2019 Filed Apr 12, 2019 20:28 UTC Affinion Group Holdings, Inc. AFGR · Entity 158373 OtherCommon Stock, par value $0.01 per share ("Common Stock") 795,965 $0.00 $0.00
Disclosure

SEC source: 0000902664-19-001905 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3 · kind: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

F2 · price: On April 10, 2019, the Issuer and Affinion Group completed the Recapitalization, the Merger and the other transactions described in Amendment No. 4 to the Schedule 13D filed by the Reporting Person ("Amendment No. 4"). Immediately prior to the consummation of the Merger, the Reporting Person tendered its Existing Notes in the Exchange Offer, and received shares of Class M Common Stock, and such shares of Class M Common Stock were converted into New Common Stock and New Penny Warrants as a result of the Merger.

F3 · price: The shares of Common Stock reported herein were exchanged for New Investor Warrants in the Merger. The Warrants reported herein were mandatorily exercised immediately following the consummation of the Exchange Offer and the shares of Common Stock issued pursuant to such exercise were exchanged for New Investor Warrants in the Merger. Immediately following the consummation of the Recapitalization, the Merger and the other transactions described in Amendment No. 4, the Reporting Person owned 46,702 shares of New Common Stock, 2,104,973 New Penny Warrants and 73,440 New Investor Warrants. Capitalized terms not defined herein have the meaning set forth in Amendment No. 4.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 28, 2019 Filed Mar 4, 2019 23:20 UTC Affinion Group Holdings, Inc. AFGR · Entity 158373 OtherWarrant (Right to Buy) · Derivative 659,965 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0000902664-19-001365 · ownership.xml · derivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,222

Underlying: Common Stock · 659,965 shares

Expires 2022-11-10

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 28, 2019 Filed Mar 4, 2019 23:20 UTC Affinion Group Holdings, Inc. AFGR · Entity 158373 OtherCommon Stock, par value $0.01 per share ("Common Stock") 659,965 $0.01 $6,599.65
Disclosure

SEC source: 0000902664-19-001365 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 795,965

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherSubscription Rights (right to buy) · Derivative 1,677,715 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · derivative · entry 8

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,818,886 shares

Expires 2019-02-19

F5 · security: Represents subscription rights acquired by the Reporting Person in connection with the Rights Offering.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherSeries E-1 Cumulative Redeemable Preferred Stock 11,433 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 7

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F4 · price: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherSeries E Cumulative Redeemable Preferred Stock 12,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 6

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F4 · price: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherSeries D Cumulative Redeemable Preferred Stock 32 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 5

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F4 · price: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherSeries C Cumulative Redeemable Preferred Stock 17,600 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 4

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F4 · price: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherSeries B Cumulative Redeemable Preferred Stock 49,600 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F4 · price: Represents shares of the Issuer's preferred stock that were redeemed by the Issuer at a price equal to their liquidation value plus all redemption premiums, in accordance with the Standby Purchase Agreement.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 PurchaseCommon Stock 231,143,609 $0.50 $115,571,804.50
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,640,210

F3 · kind: Represents shares of Common Stock acquired by the Reporting Person pursuant to its backstop commitment in accordance with the Standby Purchase Agreement, dated as of November 8, 2018 (the "Standby Purchase Agreement"), filed as Exhibit 10.48 to the Issuer's Current Report on Form 8-K filed with the Securities and exchange Commission on November 9, 2018.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
February 26, 2019 Filed Feb 28, 2019 22:01 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 OtherCommon Stock, par value $0.01 per share ("Common Stock") 38,818,886 $0.50 $19,409,443.00
Disclosure

SEC source: 0000902664-19-001315 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,496,601

F2 · kind: Represents the exercise of subscription rights in the Issuer's rights offering, as described in the Issuer's Prospectus dated February 1, 2019 (the "Rights Offering") by the Reporting Person, with each right entitling the Reporting Person to purchase 23.1379497159 shares of Common Stock.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
November 14, 2018 Filed Nov 16, 2018 22:13 UTC Roadrunner Transportation Systems, Inc. RRTS · Entity 148812 PurchaseCommon Stock, par value $0.01 per share ("Common Stock") 277,611 $0.70 $193,522.63
Disclosure

SEC source: 0000902664-18-004162 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,677,715

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 21:01 UTC PEABODY ENERGY CORP BTU · Entity 4124 SaleCommon Stock 1,805,626 $41.82 $75,511,279.32
Disclosure

SEC source: 0000902664-18-003205 · ownership.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 9,013,135

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F1 · ownership.nature: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 21:01 UTC PEABODY ENERGY CORP BTU · Entity 4124 SaleCommon Stock, $0.01 par value per share (the "Common Stock") 489,926 $41.82 $20,488,705.32
Disclosure

SEC source: 0000902664-18-003205 · ownership.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,818,761

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
May 15, 2018 Filed May 16, 2018 01:49 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherNotional Principal Amount Derivative Agreements · Derivative 1 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-18-002295 · p18-1176form4.xml · derivative · entry 4

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 256,000 shares

Expires not disclosed

F2 · security: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F2 · derivative.exercise_price: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F2 · shares: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F2 · price: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F2 · derivative.exercise_date: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F2 · derivative.expiration_date: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F2 · balance_after: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F3 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

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May 15, 2018 Filed May 16, 2018 01:49 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherCommon Stock, $1.00 par value 256,000 $17.93 $4,589,056.00
Disclosure

SEC source: 0000902664-18-002295 · p18-1176form4.xml · nonDerivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,608,683

F3 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

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May 15, 2018 Filed May 16, 2018 01:49 UTC Howmet Aerospace Inc. ARNC · Entity 2911 OtherCommon Stock, $1.00 par value 256,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-18-002295 · p18-1176form4.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,864,683

F2 · price: The Reporting Persons settled a portion of certain notional principal amount derivative agreements (the "Derivative Agreements") in the form of cash settled swaps with strike prices ranging from $18.5877 to $21.1014 pursuant to their terms. The Derivative Agreements provide the Reporting Persons with economic results that are comparable to the economic results of ownership but do not provide it with the power to vote or direct the voting or dispose of or direct the disposition of the shares that are referenced in the Derivative Agreements (such shares, the "Subject Shares"). The Reporting Persons disclaims beneficial ownership in the Subject Shares. The settlement of the Derivative Agreements and the reported purchase of the common stock in connection therewith are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended pursuant to Rule 16b-6(b) thereunder.

F3 · ownership.nature: Reflects a transaction effected by Liverpool, a wholly-owned subsidiary of Elliott.

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May 15, 2018 Filed May 16, 2018 01:49 UTC Howmet Aerospace Inc. ARNC · Entity 2911 PurchaseCommon Stock, $1.00 par value 256,000 $17.96 $4,598,016.00
Disclosure

SEC source: 0000902664-18-002295 · p18-1176form4.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,608,683

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

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January 31, 2018 Filed Feb 2, 2018 22:20 UTC PEABODY ENERGY CORP BTU · Entity 4124 ConversionSeries A Convertible Preferred Stock · Derivative 2,404,192 Not disclosed Strike: $40.30 Not disclosed
Disclosure

SEC source: 0000902664-18-000594 · p18-0380form4.xml · derivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 4,526,600 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F3 · price: Pursuant to the terms of the Certificate of Designation of the Series A Convertible Preferred Stock, the shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock without any action by the Reporting Person on January 31, 2018. These shares of Series A Convertible Preferred Stock had no expiration date.

F3 · derivative.exercise_date: Pursuant to the terms of the Certificate of Designation of the Series A Convertible Preferred Stock, the shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock without any action by the Reporting Person on January 31, 2018. These shares of Series A Convertible Preferred Stock had no expiration date.

F3 · derivative.expiration_date: Pursuant to the terms of the Certificate of Designation of the Series A Convertible Preferred Stock, the shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock without any action by the Reporting Person on January 31, 2018. These shares of Series A Convertible Preferred Stock had no expiration date.

F1 · ownership.nature: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

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January 31, 2018 Filed Feb 2, 2018 22:20 UTC PEABODY ENERGY CORP BTU · Entity 4124 ConversionCommon Stock, $0.01 par value per share (the "Common Stock") 4,526,600 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-18-000594 · p18-0380form4.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 11,308,687

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Pursuant to the terms of the Certificate of Designation of the Series A Convertible Preferred Stock, the shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock without any action by the Reporting Person on January 31, 2018. These shares of Series A Convertible Preferred Stock had no expiration date.

F1 · ownership.nature: This Form 4 is filed by Elliott Associates, L.P. ("Reporting Person"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.nature: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

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September 27, 2017 Filed Sep 28, 2017 22:08 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 63,354 $8.25 $522,670.50
Disclosure

SEC source: 0001140361-17-036834 · doc1.xml · nonDerivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,737,199

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · balance_after: Includes Common Stock received in a distribution exempt under Rule 16a-9.

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September 27, 2017 Filed Sep 28, 2017 22:08 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 198,504 $8.26 $1,638,650.52
Disclosure

SEC source: 0001140361-17-036834 · doc1.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,800,553

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · balance_after: Includes Common Stock received in a distribution exempt under Rule 16a-9.

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September 26, 2017 Filed Sep 28, 2017 22:08 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 88,617 $8.25 $731,329.52
Disclosure

SEC source: 0001140361-17-036834 · doc1.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,999,057

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · balance_after: Includes Common Stock received in a distribution exempt under Rule 16a-9.

F3 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

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September 15, 2017 Filed Sep 19, 2017 22:50 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 800 $8.30 $6,640.00
Disclosure

SEC source: 0001140361-17-035937 · doc1.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,087,674

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · balance_after: Includes Common Stock received in a distribution exempt under Rule 16a-9.

F3 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Read SEC document
September 15, 2017 Filed Sep 19, 2017 22:50 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 150,000 $8.25 $1,237,845.00
Disclosure

SEC source: 0001140361-17-035937 · doc1.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,088,474

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · balance_after: Includes Common Stock received in a distribution exempt under Rule 16a-9.

F3 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Read SEC document
September 12, 2017 Filed Sep 14, 2017 20:35 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 25,000 $8.15 $203,817.50
Disclosure

SEC source: 0001140361-17-035517 · doc1.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,976,106

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Read SEC document
September 01, 2017 Filed Sep 6, 2017 20:20 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 50,000 $8.26 $412,940.00
Disclosure

SEC source: 0001140361-17-034436 · doc1.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,001,106

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Read SEC document
August 28, 2017 Filed Aug 30, 2017 20:46 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 1,000 $8.25 $8,250.00
Disclosure

SEC source: 0001140361-17-033783 · doc1.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,051,106

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Read SEC document
August 25, 2017 Filed Aug 25, 2017 23:01 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 26,000 $8.25 $214,520.80
Disclosure

SEC source: 0001140361-17-033345 · doc1.xml · nonDerivative · entry 4

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes.

Disclosed balance after: 4,052,106

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person ("Liverpool").

Read SEC document
August 23, 2017 Filed Aug 25, 2017 23:01 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 920 $8.31 $7,645.48
Disclosure

SEC source: 0001140361-17-033345 · doc1.xml · nonDerivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,078,106

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
August 23, 2017 Filed Aug 25, 2017 23:01 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 7,264 $8.30 $60,293.38
Disclosure

SEC source: 0001140361-17-033345 · doc1.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,079,026

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Read SEC document
August 23, 2017 Filed Aug 25, 2017 23:01 UTC MITEL NETWORKS CORP MITL · Entity 162058 SaleCommon shares, no par value 120,000 $8.30 $996,000.00
Disclosure

SEC source: 0001140361-17-033345 · doc1.xml · nonDerivative · entry 1

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,086,290

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F1 · ownership.direct: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

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July 17, 2017 Filed Aug 22, 2017 21:19 UTC Affinion Group Holdings, Inc. AFGR · Entity 158373 OtherWarrant (Right to Buy) · Derivative 56,157 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001140361-17-033019 · doc1.xml · derivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 682,187

Underlying: Common Stock · 56,157 shares

Expires 2022-11-10

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · security: Warrants to buy shares of Common Stock received from the Issuer pursuant to the Amended and Restated Investor Purchase Agreement, dated as of May 9, 2017 are currently exercisable.

F2 · derivative.exercise_date: Warrants to buy shares of Common Stock received from the Issuer pursuant to the Amended and Restated Investor Purchase Agreement, dated as of May 9, 2017 are currently exercisable.

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June 02, 2017 Filed Jun 2, 2017 21:51 UTC PEABODY ENERGY CORP BTU · Entity 4124 PurchaseCommon Stock, par value $0.01 per Share 2,903 $23.62 $68,579.31
Disclosure

SEC source: 0001140361-17-023648 · doc1.xml · nonDerivative · entry 4

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,672,292

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

Read SEC document
June 02, 2017 Filed Jun 2, 2017 21:51 UTC PEABODY ENERGY CORP BTU · Entity 4124 PurchaseCommon Stock, par value $0.01 per Share 12,000 $23.18 $278,137.20
Disclosure

SEC source: 0001140361-17-023648 · doc1.xml · nonDerivative · entry 3

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,669,389

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

Read SEC document
June 01, 2017 Filed Jun 2, 2017 21:51 UTC PEABODY ENERGY CORP BTU · Entity 4124 PurchaseCommon Stock, par value $0.01 per Share 5,097 $23.74 $120,977.80
Disclosure

SEC source: 0001140361-17-023648 · doc1.xml · nonDerivative · entry 2

ELLIOTT ASSOCIATES, L.P. · CIK 0000904495 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,657,389

F1 · security: This Form 4 is filed by Elliott Associates, L.P. (the "Reporting Person"). The Reporting Person may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding common stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Securities owned by The Liverpool Limited Partnership, a Bermuda limited partnership and a wholly-owned subsidiary of the Reporting Person.

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.