0000921895-20-000768.txt : 20200313
0000921895-20-000768.hdr.sgml : 20200313
20200313211513
ACCESSION NUMBER: 0000921895-20-000768
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200310
FILED AS OF DATE: 20200313
DATE AS OF CHANGE: 20200313
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ancora Advisors, LLC
CENTRAL INDEX KEY: 0001446114
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20715051
BUSINESS ADDRESS:
STREET 1: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
BUSINESS PHONE: 2168254000
MAIL ADDRESS:
STREET 1: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ANCORA MERLIN INSTITUTIONAL, LP
CENTRAL INDEX KEY: 0001431892
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20715052
BUSINESS ADDRESS:
STREET 1: ANCORA ADVISORS LLC
STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
BUSINESS PHONE: 216-839-5123
MAIL ADDRESS:
STREET 1: ANCORA ADVISORS LLC
STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
FORMER NAME:
FORMER CONFORMED NAME: MERLIN PARTNERS, LP
DATE OF NAME CHANGE: 20140926
FORMER NAME:
FORMER CONFORMED NAME: MERLIN PARTNERS LP
DATE OF NAME CHANGE: 20080409
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ancora Catalyst Institutional, LP
CENTRAL INDEX KEY: 0001620142
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20715053
BUSINESS ADDRESS:
STREET 1: ANCORA ADVISORS LLC
STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
BUSINESS PHONE: 216-825-4000
MAIL ADDRESS:
STREET 1: ANCORA ADVISORS LLC
STREET 2: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
FORMER NAME:
FORMER CONFORMED NAME: Ancora Catalyst Fund LP
DATE OF NAME CHANGE: 20140922
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ancora Catalyst SPV I LP
CENTRAL INDEX KEY: 0001740270
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20715054
BUSINESS ADDRESS:
STREET 1: 6060 PARKLAND BOULEVARD
STREET 2: SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
BUSINESS PHONE: 216-593-5002
MAIL ADDRESS:
STREET 1: 6060 PARKLAND BOULEVARD
STREET 2: SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C
CENTRAL INDEX KEY: 0001802503
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20715055
BUSINESS ADDRESS:
STREET 1: 94 SOLARIS AVENUE, PO BOX 1348
STREET 2: CAMANA BAY
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1108
BUSINESS PHONE: 216-593-5002
MAIL ADDRESS:
STREET 1: 94 SOLARIS AVENUE, PO BOX 1348
STREET 2: CAMANA BAY
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1108
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BIG LOTS INC
CENTRAL INDEX KEY: 0000768835
STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-VARIETY STORES [5331]
IRS NUMBER: 061119097
STATE OF INCORPORATION: OH
FISCAL YEAR END: 0131
BUSINESS ADDRESS:
STREET 1: 4900 E DUBLIN GRANVILLE RD
CITY: COLUMBUS
STATE: OH
ZIP: 43081-7651
BUSINESS PHONE: 614-278-6800
MAIL ADDRESS:
STREET 1: 4900 E DUBLIN GRANVILLE RD
CITY: COLUMBUS
STATE: OH
ZIP: 43081-7651
4
1
form411142005anc_03122020.xml
OWNERSHIP DOCUMENT
X0306
4
2020-03-10
0
0000768835
BIG LOTS INC
BIG
0001446114
Ancora Advisors, LLC
6060 PARKLAND BOULEVARD, SUITE 200
CLEVELAND
OH
44124
0
0
0
1
See Explanation of Responses
0001431892
ANCORA MERLIN INSTITUTIONAL, LP
ANCORA ADVISORS LLC
6060 PARKLAND BOULEVARD, SUITE 200
CLEVELAND
OH
44124
0
0
0
1
See Explanation of Responses
0001620142
Ancora Catalyst Institutional, LP
ANCORA ADVISORS LLC
6060 PARKLAND BOULEVARD, SUITE 200
CLEVELAND
OH
44124
0
0
0
1
See Explanation of Responses
0001740270
Ancora Catalyst SPV I LP
6060 PARKLAND BOULEVARD
SUITE 200
CLEVELAND
OH
44124
0
0
0
1
See Explanation of Responses
0001802503
Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C
94 SOLARIS AVENUE, PO BOX 1348
CAMANA BAY
GRAND CAYMAN
E9
KY1-1108
CAYMAN ISLANDS
0
0
0
1
See Explanation of Responses
Common Stock $0.01 par value
703314
I
See Footnote
Common Stock $0.01 par value
69754
I
See Footnote
Common Stock $0.01 par value
637911
I
See Footnote
Common Stock $0.01 par value
48468
I
See Footnote
Common Stock $0.01 par value
549756
I
See Footnote
Common Stock $0.01 par value
453140
I
See Footnote
Put option (right to sell)
27.50
2020-03-10
4
P
0
91
10.6910
A
2020-03-10
2020-03-20
Common Stock $0.01 par value
9100
91
I
See Footnote
Put option (right to sell)
27.50
2020-03-10
4
P
0
9
10.6910
A
2020-03-10
2020-03-20
Common Stock $0.01 par value
900
9
I
See Footnote
Put option (right to sell)
27.50
2020-03-10
4
P
0
9
10.6910
A
2020-03-10
2020-03-20
Common Stock $0.01 par value
900
9
I
See Footnote
Put option (right to sell)
27.50
2020-03-10
4
P
0
75
10.6910
A
2020-03-10
2020-03-20
Common Stock $0.01 par value
7500
75
I
See Footnote
Put option (right to sell)
27.50
2020-03-11
4
P
0
5
10.9500
A
2020-03-11
2020-03-20
Common Stock $0.01 par value
500
14
I
See Footnote
Put option (right to sell)
27.50
2020-03-11
4
P
0
33
10.9500
A
2020-03-11
2020-03-20
Common Stock $0.01 par value
3300
108
I
See Footnote
Put option (right to sell)
25.00
2020-03-11
4
P
0
11
8.4000
A
2020-03-11
2020-03-20
Common Stock $0.01 par value
1100
11
I
See Footnote
Put option (right to sell)
27.50
2020-03-12
4
P
0
72
14.1000
A
2020-03-12
2020-03-20
Common Stock $0.01 par value
72000
163
I
See Footnote
Put option (right to sell)
27.50
2020-03-12
4
P
0
8
14.1000
A
2020-03-12
2020-03-20
Common Stock $0.01 par value
800
17
I
See Footnote
Put option (right to sell)
27.50
2020-03-12
4
P
0
5
14.1000
A
2020-03-12
2020-03-20
Common Stock $0.01 par value
500
19
I
See Footnote
Put option (right to sell)
27.50
2020-03-12
4
P
0
33
14.1000
A
2020-03-12
2020-03-20
Common Stock $0.01 par value
3300
141
I
See Footnote
Put option (right to sell)
25.00
2020-03-12
4
P
0
9
11.7000
A
2020-03-12
2020-03-20
Common Stock $0.01 par value
900
20
I
See Footnote
This Form 3 is filed jointly by Ancora Merlin Institutional LP ("Ancora Merlin Institutional"), Ancora Merlin, LP ("Ancora Merlin"), Ancora Catalyst Institutional, LP ("Ancora Catalyst Institutional"), Ancora Catalyst, LP ("Ancora Catalyst"), Ancora Catalyst SPV I LP ("Ancora SPV I"), Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C ("Ancora SPV I Ltd"), Ancora Advisors, LLC ("Ancora Advisors") and Frederick DiSanto (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock, par value $0.01 (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
Securities owned directly by Ancora Merlin Institutional. As the investment advisor of Ancora Merlin Institutional, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Merlin Institutional. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Merlin Institutional.
Securities owned directly by Ancora Merlin. As the investment advisor of Ancora Merlin, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Merlin. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Merlin.
Securities owned directly by Ancora Catalyst Institutional. As the investment advisor of Ancora Catalyst Institutional, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Catalyst Institutional. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Catalyst Institutional.
Securities owned directly by Ancora Catalyst. As the investment advisor of Ancora Catalyst, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Catalyst. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Catalyst.
Securities owned directly by Ancora SPV I. As the investment advisor of Ancora SPV I, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora SPV I. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora SPV I.
Securities owned directly by Ancora SPV I Ltd. As the investment advisor of Ancora SPV I Ltd, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora SPV I Ltd. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora SPV I Ltd.
At the current time, Ancora Merlin, Ancora Catalyst and Frederick DiSanto do not have the necessary SEC filing codes. Accordingly, Ancora Merlin Institutional, Ancora Catalyst Institutional, Ancora SPV I, Ancora SPV I Ltd and Ancora Advisors are the reporting parties. The remaining Reporting Persons are currently obtaining the necessary filing codes and upon receipt will file an amended Form 4.
Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-13
Ancora Merlin Institutional LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-13
Ancora Catalyst Institutional, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-13
Ancora Catalyst SPV I LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-13
Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-13