UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 84,530 (1) (2) (3) | $ 10 | I | See FN 2. |
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 68,176 (1) (2) (4) | $ 10 | I | See FN 2. |
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 138,195 (1) (2) (5) | $ 10 | I | See FN 2. |
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 706,407 (1) (2) (6) | $ 10 | I | See FN 2. |
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 200,383 (1) (2) (7) | $ 10 | I | See FN 2. |
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 92,130 (1) (2) (8) | $ 10 | I | See FN 2. |
Warrants to purchase common stock | 03/25/2022 | 03/25/2027 | Common stock | 92,130 (1) (2) (9) | $ 10 | I | See FN 2. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Beach Point Advisors LLC C/O BEACH POINT CAPITAL MANAGEMENT LP 1620 26TH STREET, STE. 6000N SANTA MONICA, CA 90404 |
X | |||
Klein Scott Martin 1620 26TH STREET SUITE 6000N SANTA MONICA, CA 90404 |
X | |||
GOLDSMITH CARL H C/O BEACH POINT CAPITAL MANAGEMENT LP 1620 26TH STREET, SUITE 6000N SANTA MONICA, CA 90404 |
X |
Beach Point Advisors LLC /s/ Lawrence M. Goldman By: Lawrence M. Goldman Authorized Signatory | 04/08/2022 | |
**Signature of Reporting Person | Date | |
/s/ Scott Klein By: Scott Klein | 04/08/2022 | |
**Signature of Reporting Person | Date | |
/s/ Carl Goldsmith By: Carl Goldsmith | 04/08/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reported securities are owned by Beach Point SCF XI LP ("SCF XI"), Beach Point SCF IV LLC ("SCF IV"), Beach Point SCF Multi-Port LP ("SCF Multi"), BPC Opportunities Fund III LP ("Opportunities"), Beach Point Select Fund LP ("Select"), Beach Point Securitized Credit Fund LP ("Securitized") and Beach Point TX SCF LP ("TX" and collectively with SCF XI, SCF IV, Multi, Opportunities, Select and Securitized, the "Funds"). The Funds may be deemed a "group" for purposes of Section 13(d) of the Exchange Act. |
(2) | Beach Point Advisors LLC ("Fund GP") is the General Partner or Managing Member of the Funds. Scott Klein and Carl Goldsmith are the members of the Fund GP and may be deemed to beneficially own the securities held by the Funds. Notwithstanding the foregoing, the Fund GP, Mr. Klein and Mr. Goldsmith each disclaims beneficial ownership of the securities held by the Funds, as filed with the Securities and Exchange Commission in a Form 3 on March 30, 2022 (and amended April 7, 2022), except to the extent of its or his respective pecuniary interest therein. |
(3) | The reported securities are owned by SCF XI. |
(4) | The reported securities are owned by SCF IV. |
(5) | The reported securities are owned by Multi. |
(6) | The reported securities are owned by Opportunities. |
(7) | The reported securities are owned by Select. |
(8) | The reported securities are owned by Securitized. |
(9) | The reported securities are owned by TX. |