FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/24/2016 |
3. Issuer Name and Ticker or Trading Symbol
SCHOOL SPECIALTY INC [ SCOO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.001 par value | 113,562(1) | I | See Footnote(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The filing of this Form 3 shall not be construed as an admission that Frigate Ventures LP ("Frigate"), Admiralty Advisors LLC, the general partner of Frigate ("Admiralty"), Bruce R. Winson, the manager of Admiralty, M5V Advisors Inc. ("M5V"), Adam Spears, a director of M5V, or Moez Kassam, a director of M5V, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 par value (the "Common Stock"), of School Specialty, Inc. (the "Issuer") purchased by a private investment fund advised by Frigate and M5V (the "Fund"). Pursuant to Rule 16a-1, all of Frigate, Admiralty, Mr. Winson, M5V, Mr. Spears and Mr. Kassam disclaim such beneficial ownership. |
2. Frigate and M5V hold indirectly 113,562 shares of Common Stock of the Issuer through the Fund, for which Frigate and M5V are the Investment Advisors. Admiralty and Bruce R. Winson report the Common Stock held indirectly by the Fund because, as the general partner of Frigate and the manager of Admiralty, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Spears and Mr. Kassam report the Common Stock held indirectly by the Fund because, as the directors of M5V, at the time of purchase, they controlled the disposition and voting of the securities. |
Remarks: |
/s/ Bruce R. Winson, manager of Admiralty Advisors LLC, general partner of Frigate Ventures LP | 04/01/2016 | |
/s/ Bruce R. Winson, manager of Admiralty Advisors LLC | 04/01/2016 | |
/s/ Bruce R. Winson | 04/01/2016 | |
/s/ Adam Spears, director of M5V Advisors Inc. | 04/01/2016 | |
/s/ Adam Spears | 04/01/2016 | |
/s/ Moez Kassam | 04/01/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |