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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Echinus Advisors, LLC 63 CROSBY STREET 4TH FLOOR NEW YORK, NY 10012 |
 X |  |  | See Remarks |
Uhde Philip 63 CROSBY STREET, 4TH FLOOR NEW YORK, NY 10012 |
 X |  |  | See Remarks |
/s/ Philip Uhde | 04/25/2019 | |
**Signature of Reporting Person | Date | |
Echinus Advisors, LLC: by /s/ Philip Yang, its Chief Financial Officer & Chief Compliance Officer | 04/25/2019 | |
**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) | These securities are held for the account of Echinus Partners, LP, a Delaware limited partnership (the "Echinus Fund"). Echinus Advisors, LLC, a Delaware limited liability Company ("Echinus"), serves as the investment manager to the Echinus Fund. Mr. Philip Uhde ("Mr. Uhde") is the manager and majority controlling person of Echinus. In such capacities, each of Echinus and Mr. Uhde may be deemed to beneficially own the securities herein. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, if any. |
 Remarks: Echinus may be deemed a director by deputization of the Issuer by virtue of the fact that Mr. Uhde, currently serves on the board of directors of the Issuer. |