1
|
NAME OF REPORTING PERSON
Lone Star Value Investors, LP
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
WC
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
1,067,885
|
|
8
|
SHARED VOTING POWER
- 0 -
|
||
9
|
SOLE DISPOSITIVE POWER
1,067,885
|
||
10
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,067,885
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
47.1%
|
||
14
|
TYPE OF REPORTING PERSON
PN
|
1
|
NAME OF REPORTING PERSON
LONE STAR VALUE CO-INVEST I, LP
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
- 0 -
|
|
8
|
SHARED VOTING POWER
- 0 -
|
||
9
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
10
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
|
||
14
|
TYPE OF REPORTING PERSON
PN
|
1
|
NAME OF REPORTING PERSON
Lone Star Value Investors GP, LLC
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
AF
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
1,067,885
|
|
8
|
SHARED VOTING POWER
- 0 -
|
||
9
|
SOLE DISPOSITIVE POWER
1,067,885
|
||
10
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,067,885
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
47.1%
|
||
14
|
TYPE OF REPORTING PERSON
OO
|
1
|
NAME OF REPORTING PERSON
Lone Star Value Management, LLC
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
AF, OO
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Connecticut
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
1,077,885
|
|
8
|
SHARED VOTING POWER
- 0 -
|
||
9
|
SOLE DISPOSITIVE POWER
1,077,885
|
||
10
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,077,885
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
47.6%
|
||
14
|
TYPE OF REPORTING PERSON
OO
|
1
|
NAME OF REPORTING PERSON
Jeffrey E. Eberwein
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
AF, OO
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
1,087,885
|
|
8
|
SHARED VOTING POWER
- 0 -
|
||
9
|
SOLE DISPOSITIVE POWER
1,087,885
|
||
10
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,087,885*
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
48.0%
|
||
14
|
TYPE OF REPORTING PERSON
IN
|
Item 2.
|
Identity and Background.
|
Item 3.
|
Source and Amount of Funds or Other Consideration.
|
|
Item 3 is hereby amended and restated to read as follows:
|
Item 5.
|
Interest in Securities of the Issuer.
|
A.
|
Lone Star Value Investors
|
|
(a)
|
As of the close of business on the date hereof, Lone Star Value Investors beneficially owned 1,067,885 Shares.
|
|
(b)
|
1. Sole power to vote or direct vote: 1,067,885
|
|
2. Shared power to vote or direct vote: 0
|
|
3. Sole power to dispose or direct the disposition: 1,067,885
|
|
4. Shared power to dispose or direct the disposition: 0
|
|
(c)
|
Lone Star Value Investors has not entered into any transactions in the Shares during the past sixty days.
|
B.
|
Lone Star Value Co-Invest
|
|
(a)
|
As of the close of business on the date hereof, Lone Star Value Co-Invest did not beneficially own any Shares.
|
|
(b)
|
1. Sole power to vote or direct vote: 0
|
|
2. Shared power to vote or direct vote: 0
|
|
3. Sole power to dispose or direct the disposition: 0
|
|
4. Shared power to dispose or direct the disposition: 0
|
|
(c)
|
Lone Star Value Co-Invest has not entered into any transactions in the Shares during the past sixty days.
|
C.
|
Lone Star Value GP
|
|
(a)
|
Lone Star Value GP, as the general partner of Lone Star Value Investors and Lone Star Value Co-Invest, may be deemed the beneficial owner of the 1,067,885 Shares owned by Lone Star Value Investors.
|
|
(b)
|
1. Sole power to vote or direct vote: 1,067,885
|
|
2. Shared power to vote or direct vote: 0
|
|
3. Sole power to dispose or direct the disposition: 1,067,885
|
|
4. Shared power to dispose or direct the disposition: 0
|
|
(c)
|
Lone Star Value GP has not entered into any transactions in the Shares during the past sixty days.
|
D.
|
Lone Star Value Management
|
|
(a)
|
As of the close of business on the date hereof, 10,000 Shares were held in the Separately Managed Account. Lone Star Value Management, as the investment manager of Lone Star Value Investors, Lone Star Value Co-Invest and the Separately Managed Account, may be deemed the beneficial owner of the (i) 1,067,885 Shares owned by Lone Star Value Investors and (ii) 10,000 Shares held in the Separately Managed Account.
|
|
(b)
|
1. Sole power to vote or direct vote: 1,077,885
|
|
2. Shared power to vote or direct vote: 0
|
|
3. Sole power to dispose or direct the disposition: 1,077,885
|
|
4. Shared power to dispose or direct the disposition: 0
|
|
(c)
|
Lone Star Value Management has not entered into any transactions in the Shares during the past sixty days.
|
E.
|
Mr. Eberwein
|
|
(a)
|
As of the close of business on the date hereof, Mr Eberwein directly owned 10,000 Shares. Mr. Eberwein, as the manager of Lone Star Value GP and sole member of Lone Star Value Management, may be deemed the beneficial owner of the (i) 1,067,885 Shares owned by Lone Star Value Investors and (ii) 10,000 Shares held in the Separately Managed Account.
|
|
(b)
|
1. Sole power to vote or direct vote: 1,087,885
|
|
2. Shared power to vote or direct vote: 0
|
|
3. Sole power to dispose or direct the disposition: 1,087,885
|
|
4. Shared power to dispose or direct the disposition: 0
|
|
(c)
|
Mr. Eberwein has not entered into any transactions in the Shares during the past sixty days.
|
Item 6.
|
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
|
Item 6 is hereby amended to add the following:
|
Item 7.
|
Material to be Filed as Exhibits.
|
|
99.1
|
July 2014 Securities Purchase Agreement, dated July 21, 2014 (incorporated herein by reference to Exhibit 10.1 to the Form 8-K filed by the Issuer on July 25, 2014).
|
|
99.2
|
Co-Invest July 2014 Note, dated July 21, 2014 (incorporated herein by reference to Exhibit 4.1 to the Form 8-K filed by the Issuer on July 25, 2014).
|
|
99.3
|
September 2014 Securities Purchase Agreement, dated September 19, 2014 (incorporated herein by reference to Exhibit 10.1 to the Form 8-K filed by the Issuer on September 22, 2014).
|
|
99.4
|
Co-Invest September 2014 Note, dated September 19, 2014 (incorporated herein by reference to Exhibit 4.1 to the Form 8-K filed by the Issuer on September 22, 2014).
|
|
99.5
|
Amendment No. 1 to the LS Promissory Note, dated August 12, 2016.
|
|
99.6
|
Amendment No. 1 to the Co-Invest Notes, dated August 12, 2016.
|
|
99.7
|
Joint Filing Agreement, dated August 16, 2016.
|
Lone Star Value Investors, LP
|
|||
By:
|
Lone Star Value Investors GP, LLC
General Partner
|
||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Manager
|
Lone Star Value Co-Invest I, LP
|
|||
By:
|
Lone Star Value Investors GP, LLC
General Partner
|
||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Manager
|
Lone Star Value Investors GP, LLC
|
|||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Manager
|
Lone Star Value Management, LLC
|
|||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Sole Member
|
/s/ Jeffrey E. Eberwein
|
|
JEFFREY E. EBERWEIN
|
ATRM HOLDINGS, INC.
|
|||
By:
|
/s/ Daniel M. Koch
|
||
Name:
|
Daniel M. Koch
|
||
Title:
|
President and Chief Executive Officer
|
AGREED AND ACCEPTED BY:
|
||
LONE STAR VALUE INVESTORS, LP
|
||
By:
|
Lone Star Value Investors GP, LLC
General Partner
|
|
By:
|
/s/ Jeffrey E. Eberwein
|
|
Name:
|
Jeffrey E. Eberwein
|
|
Title:
|
Manager
|
ATRM HOLDINGS, INC.
|
|||
By:
|
/s/ Daniel M. Koch
|
||
Name:
|
Daniel M. Koch
|
||
Title:
|
President and Chief Executive Officer
|
AGREED AND ACCEPTED BY:
|
||
LONE STAR VALUE CO-INVEST I, LP
|
||
By:
|
Lone Star Value Investors GP, LLC
General Partner
|
|
By:
|
/s/ Jeffrey E. Eberwein | |
Name:
|
Jeffrey E. Eberwein
|
|
Title:
|
Manager
|
Lone Star Value Investors, LP
|
|||
By:
|
Lone Star Value Investors GP, LLC
General Partner
|
||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Manager
|
Lone Star Value Co-Invest I, LP
|
|||
By:
|
Lone Star Value Investors GP, LLC
General Partner
|
||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Manager
|
Lone Star Value Investors GP, LLC
|
|||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Manager
|
Lone Star Value Management, LLC
|
|||
By:
|
/s/ Jeffrey E. Eberwein
|
||
Name:
|
Jeffrey E. Eberwein
|
||
Title:
|
Sole Member
|
/s/ Jeffrey E. Eberwein
|
|
JEFFREY E. EBERWEIN
|