FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AKUMIN INC. [ AKU ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/08/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Shares | 03/08/2022 | S | 4,304 | D | $1 | 2,016,547 | I | See Footnotes(1)(2)(3)(4)(5) | ||
Common Shares | 03/09/2022 | S | 16,000 | D | $0.9677 | 2,000,547 | I | See Footnotes(1)(2)(3)(4)(5) | ||
Common Shares | 4,300,203 | I | See Footnotes(1)(2)(3)(4)(6) | |||||||
Common Shares | 2,033,597 | I | See Footnotes(1)(2)(3)(4)(7) | |||||||
Common Shares | 3,065,257 | I | See Footnotes(1)(2)(3)(4)(8) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | 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. This statement is jointly filed by and on behalf of each of SCW Capital, SCW Capital QP, LP ("SCW Capital QP"), SCW Single-Asset Partnership, LP ("SCW Single-Asset Partnership"), SCW Single-Asset Partnership QP, LP ("SCW Single-Asset Partnership QP"), Trinity Investment Group, LLC ("Trinity"), and SCW Capital Management, LP ("SCW Capital Management"). SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP are the direct beneficial owners of the securities covered by this statement. |
2. SCW Capital Management is the investment manager of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, and SCW Single-Asset Partnership QP. Trinity is the general partner of, and may be deemed to beneficially own securities owned by, each of SCW Capital, SCW Capital QP, SCW Single-Asset Partnership, SCW Single-Asset Partnership QP, and SCW Capital Management. |
3. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. |
4. Each reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer. |
5. SCW Single-Asset Partnership, LP is the record and direct beneficial owner of these securities of the Issuer. |
6. SCW Capital, LP is the record and direct beneficial owner of these securities of the Issuer. |
7. SCW Capital QP, LP is the record and direct beneficial owner of these securities of the Issuer. |
8. SCW Single-Asset Partnership QP, LP is the record and direct beneficial owner of these securities of the Issuer. |
Remarks: |
SCW CAPITAL MANAGEMENT, LP, By: Trinity Investment Group, LLC, Its: General Partner, By: /s/ John R. Wagner, Name: John R. Wagner, Title: Co-Managing Member | 03/10/2022 | |
SCW CAPITAL, LP, By: Trinity Investment Group, LLC, Its: General Partner, By: /s/ John R. Wagner, Name: John R. Wagner, Title: Co-Managing Member | 03/10/2022 | |
SCW CAPITAL QP, LP, By: Trinity Investment Group, LLC, Its: General Partner, By: /s/ John R. Wagner, Name: John R. Wagner, Title: Co-Managing Member | 03/10/2022 | |
SCW SINGLE-ASSET PARTNERSHIP, LP, By: Trinity Investment Group, LLC, Its: General Partner, By: /s/ John R. Wagner, Name: John R. Wagner, Title: Co-Managing Member | 03/10/2022 | |
SCW SINGLE-ASSET PARTNERSHIP QP, LP, By: Trinity Investment Group, LLC, Its: General Partner, By: /s/ John R. Wagner, Name: John R. Wagner, Title: Co-Managing Member | 03/10/2022 | |
TRINITY INVESTMENT GROUP, LLC, By: /s/ John R. Wagner, Name: John R. Wagner, Title: Co-Managing Member | 03/10/2022 | |
** 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 4 (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. |