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Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C 4

Accession 0001193805-20-000478

CIK 0000768835other

View on SEC.gov Company Profile

Filed

Apr 12, 8:00 PM ET

Accepted

Apr 13, 9:54 PM ET

Size

60.9 KB

Accession

0001193805-20-000478

Insider Transaction Report

Form 4

Period: 2020-04-09

BIG LOTS INCBIG

Ancora Advisors, LLC

Other

Transactions

Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
453,140
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
81,654

ANCORA MERLIN INSTITUTIONAL, LP

Other

Transactions

Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
453,140
Common Stock $0.01 par value
(indirect: See Footnote)
81,654
Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
549,756

Ancora Merlin, LP

Other

Transactions

Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
81,654
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
453,140
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
54,468

Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C

Other

Transactions

Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
81,654
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
453,140

Ancora Catalyst Institutional, LP

Other

Transactions

Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
81,654
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
453,140

Ancora Catalyst, LP

Other

Transactions

Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
453,140
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
81,654

Ancora Catalyst SPV I LP

Other

Transactions

Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
453,140
Common Stock $0.01 par value
(indirect: See Footnote)
81,654
Common Stock $0.01 par value
(indirect: See Footnote)
778,914

DiSanto Frederick D.

Other

Transactions

Sale
Call Options (right to buy)
2020-04-09$2.90/sh−221$640→ 1,995 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (22,100 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−178$516→ 1,598 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (17,800 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−154$446→ 1,382 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (15,400 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+28$140→ 28 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (2,800 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−849$1,543→ 1,146 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (84,900 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−22$64→ 198 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (2,200 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−13$38→ 115 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (1,300 underlying)
Sale
Call Options (right to buy)
2020-04-09$2.90/sh−162$469→ 1,462 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (16,200 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−623$1,132→ 839 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (62,300 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+369$1,867→ 369 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (36,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.00/sh+375$1,875→ 375 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (37,500 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−589$1,070→ 793 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (58,900 underlying)
Purchase
Put Option (right to sell)
2020-04-09$5.06/sh+6$30→ 6 total(indirect: See Footnotes)
Exercise: $25.00From: 2020-04-09Exp: 2020-04-17→ Common Stock $0.01 par value (600 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−84$153→ 114 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (8,400 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−681$1,237→ 917 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (68,100 underlying)
Sale
Call Options (right to buy)
2020-04-13$1.82/sh−49$89→ 66 total(indirect: See Footnote)
Exercise: $17.50From: 2020-03-02Exp: 2020-04-17→ Common Stock $0.01 par value (4,900 underlying)

Holdings

Common Stock $0.01 par value
(indirect: See Footnote)
716,611
Common Stock $0.01 par value
(indirect: See Footnote)
549,756
Common Stock $0.01 par value
(indirect: See Footnote)
778,914
Common Stock $0.01 par value
(indirect: See Footnote)
81,654
Common Stock $0.01 par value
(indirect: See Footnote)
54,468
Common Stock $0.01 par value
(indirect: See Footnote)
453,140

Footnotes (8)

[F1]This Form 4 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.
[F2]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.
[F3]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.
[F4]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.
[F5]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.
[F6]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.
[F7]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.
[F8]This purchase transaction closed existing short positions.

Documents

1 file

4
form411142005anc_04132020.xmlPrimary

Issuer

BIG LOTS INC

CIK 0000768835

→

Entity typeother

IncorporatedCayman Islands

Related Parties

filerCIK 0001802503

Filing Metadata

Form type: 4
Filed: Apr 12, 8:00 PM ET
Accepted: Apr 13, 9:54 PM ET
Size: 60.9 KB

View on SEC.gov