0001104659-15-079994.txt : 20151118
0001104659-15-079994.hdr.sgml : 20151118
20151118174618
ACCESSION NUMBER: 0001104659-15-079994
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151117
FILED AS OF DATE: 20151118
DATE AS OF CHANGE: 20151118
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Rand Logistics, Inc.
CENTRAL INDEX KEY: 0001294250
STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400]
IRS NUMBER: 201195343
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 500 FIFTH AVENUE
STREET 2: 50TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10110
BUSINESS PHONE: 212-644-3450
MAIL ADDRESS:
STREET 1: 500 FIFTH AVENUE
STREET 2: 50TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10110
FORMER COMPANY:
FORMER CONFORMED NAME: Rand Acquisition CORP
DATE OF NAME CHANGE: 20040618
FORMER COMPANY:
FORMER CONFORMED NAME: Grand Slam Acquisition CORP
DATE OF NAME CHANGE: 20040617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KNOTT DAVID M
CENTRAL INDEX KEY: 0000808722
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33345
FILM NUMBER: 151241749
MAIL ADDRESS:
STREET 1: 485 UNDERHILL BLVD
STREET 2: STE 205
CITY: SYOSSET
STATE: NY
ZIP: 11791-3419
4
1
a4.xml
4
X0306
4
2015-11-17
0
0001294250
Rand Logistics, Inc.
RLOG
0000808722
KNOTT DAVID M
485 UNDERHILL BLVD
STE 205
SYOSSET
NY
11791-3419
0
0
1
0
Series A Convertible Preferred Stock
6.2
Common Stock
895725
111070
I
By Knott Partners, L.P.
Series A Convertible Preferred Stock
6.2
Common Stock
277500
34410
I
By Knott Partners Offshore Master Fund, L.P.
Series A Convertible Preferred Stock
6.2
2015-11-17
4
J
0
940
D
Common Stock
7580
0
I
By Knott Partners Offshore (SRI) Fund Limited
Series A Convertible Preferred Stock
6.2
Common Stock
28870
3580
I
By Managed Account
The Reporting Person is the managing member of Knott Partners Management, LLC, which is the managing general partner of Knott Partners, L.P. The Reporting Person is also the sole general partner of Knott Partners Offshore Master Fund, L.P., and a general partner of Knott Partners, L.P.
The Reporting Person is the sole director and the president of Dorset Management Corporation, which provides investment management services to Knott Partners Offshore (SRI) Fund Limited and separate institutional managed accounts (each, a "Managed Account").
As a result of the Reporting Person's interests in Knott Partners Management, LLC and in Dorset Management Corporation, the Reporting Person has investment discretion and control of the securities represented in this entry. The Reporting Person may be deemed to beneficially own an indirect pecuniary interest in the securities represented in this entry as a result of its performance-related fee. The Reporting Person disclaims beneficial ownership of any of the securities represented in this entry except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Each of Knott Partners, L.P., Knott Partners Offshore Master Fund, L.P., Knott Partners Offshore (SRI) Fund Limited, and the Managed Account disclaim beneficial ownership of securities reported as beneficially owned by any other party.
The Series A Convertible Preferred Stock is fully convertible and does not expire.
The transaction reported in Table II is a distribution in-kind without consideration to the sole shareholder of Knott Partners Offshore (SRI) Fund Limited.
By: /s/David M. Knott
2015-11-18