0001193805-20-000419.txt : 20200327 0001193805-20-000419.hdr.sgml : 20200327 20200327204020 ACCESSION NUMBER: 0001193805-20-000419 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200304 FILED AS OF DATE: 20200327 DATE AS OF CHANGE: 20200327 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: 20753562 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: 20753563 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: 20753564 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: 20753565 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: 20753566 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: 20753567 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: 20753568 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: 20753569 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 e619509_3a-ancora.xml 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 2020-03-02 2020-04-17 Common Stock $0.01 par value 221600 I See Footnote Call Options (right to buy) 17.50 2020-03-02 2020-04-17 Common Stock $0.01 par value 22000 I See Footnote Call Options (right to buy) 17.50 2020-03-02 2020-04-17 Common Stock $0.01 par value 177600 I See Footnote Call Options (right to buy) 17.50 2020-03-02 2020-04-17 Common Stock $0.01 par value 12800 I See Footnote Call Options (right to buy) 17.50 2020-03-02 2020-04-17 Common Stock $0.01 par value 162400 I See Footnote Call Options (right to buy) 17.50 2020-03-02 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 Put Options (obligation to buy) 25.00 2019-12-16 2020-04-17 Common Stock $0.01 par value 112500 I See Footnote Put Options (obligation to buy) 25.00 2019-12-16 2020-04-17 Common Stock $0.01 par value 8800 I See Footnote Put Options (obligation to buy) 25.00 2019-12-16 2020-04-17 Common Stock $0.01 par value 116200 I See Footnote Put Options (obligation to buy) 25.00 2019-12-16 2020-04-17 Common Stock $0.01 par value 12500 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. Additionally, the original Form 3 erroneously omitted relevant disclosure with respect to certain put options. This Amended Form 3 is being filed to reflect that all Reporting Persons have since obtained the necessary filing codes and also to correctly disclose the Reporting Persons' ownership. Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 Ancora Merlin Institutional LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 Ancora Merlin, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 Ancora Catalyst Institutional, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 Ancora Catalyst, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 Ancora Catalyst SPV I LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto 2020-03-27 /s/ Frederick DiSanto 2020-03-27