0000921895-20-000801.txt : 20200317
0000921895-20-000801.hdr.sgml : 20200317
20200317211003
ACCESSION NUMBER: 0000921895-20-000801
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200304
FILED AS OF DATE: 20200317
DATE AS OF CHANGE: 20200317
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: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722928
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: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722929
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 Merlin, LP
CENTRAL INDEX KEY: 0001694450
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722930
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 Institutional, LP
CENTRAL INDEX KEY: 0001620142
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722931
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, LP
CENTRAL INDEX KEY: 0001694346
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722932
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 LP
CENTRAL INDEX KEY: 0001740270
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722933
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: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722934
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DiSanto Frederick D.
CENTRAL INDEX KEY: 0001498290
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08897
FILM NUMBER: 20722935
MAIL ADDRESS:
STREET 1: 6060 PARKLAND
STREET 2: SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
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
3/A
1
form3a11142005anc_03172020.xml
OWNERSHIP DOCUMENT
X0206
3/A
2020-03-04
2020-03-13
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
0001694450
Ancora Merlin, LP
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
0001694346
Ancora Catalyst, LP
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
0001498290
DiSanto Frederick D.
6060 PARKLAND
SUITE 200
CLEVELAND
OH
44124
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
Call Options (right to buy)
17.50
2019-03-02
2020-04-17
Common Stock $0.01 par value
221600
I
See Footnote
Call Options (right to buy)
17.50
2019-03-02
2020-04-17
Common Stock $0.01 par value
22000
I
See Footnote
Call Options (right to buy)
17.50
2019-03-02
2020-04-17
Common Stock $0.01 par value
177600
I
See Footnote
Call Options (right to buy)
17.50
2019-03-02
2020-04-17
Common Stock $0.01 par value
12800
I
See Footnote
Call Options (right to buy)
17.50
2019-03-02
2020-04-17
Common Stock $0.01 par value
162400
I
See Footnote
Call Options (right to buy)
17.50
2019-03-02
2020-04-17
Common Stock $0.01 par value
153600
I
See Footnote
Put Options (obligation to buy)
27.50
2020-01-23
2020-03-20
Common Stock $0.01 par value
45000
I
See Footnote
Put Options (obligation to buy)
27.50
2020-01-23
2020-03-20
Common Stock $0.01 par value
5000
I
See Footnote
Put Options (obligation to buy)
27.50
2020-01-23
2020-03-20
Common Stock $0.01 par value
46500
I
See Footnote
Put Options (obligation to buy)
27.50
2020-01-23
2020-03-20
Common Stock $0.01 par value
3500
I
See Footnote
Put Options (obligation to buy)
27.50
2020-03-20
Common Stock $0.01 par value
23900
I
See Footnote
Put Options (obligation to buy)
25.00
2020-02-14
2020-03-20
Common Stock $0.01 par value
4700
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.
Such options are exercisable as of March 4, 2020 and were immediately exercisable upon their acquisition.
This Amended Form 3 is filed on behalf of Ancora Merlin Institutional, Ancora Merlin, Ancora Catalyst Institutional, Ancora Catalyst, Ancora SPV I, Ancora SPV I Ltd, Ancora Advisors and Frederick DiSanto (collectively, the "Reporting Persons"). At the original filing date, Ancora Merlin, Ancora Catalyst and Frederick DiSanto did not have the necessary SEC filing codes. Ancora Merlin, Ancora Catalyst and Frederick DiSanto have since obtained the necessary filing codes and are filing this amendment accordingly.
Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
Ancora Merlin Institutional LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
Ancora Merlin, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
Ancora Catalyst Institutional, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
Ancora Catalyst, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
Ancora Catalyst SPV I LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
2020-03-17
/s/ Frederick DiSanto
2020-03-17