SEC Form 4 · accession 0000899243-17-025780
SCHOOL SPECIALTY INC · SCOO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Bruce Ross Winson
10% Owner
Anson Funds Management LP
10% Owner
Anson Management GP LLC
10% Owner
Anson Advisors Inc.
10% Owner
Adam Spears
10% Owner
Moez Kassam
10% Owner
Period of report
Nov 8, 2017
Accepted (ET)
Nov 9, 2017 · 4:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001055454
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1,F2 | Nov 8, 2017 | S | 800,000 | $16.55 | D | 493,215 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The filing of this Form 4 shall not be construed as an admission that Anson Funds Management LP ("Anson"), Anson Management GP LLC, the general partner of Anson ("Anson GP"), Bruce R. Winson, the manager of Anson GP, Anson Advisors Inc. ("Anson Advisors"), Adam Spears, a director of Anson Advisors, or Moez Kassam, a director of Anson Advisors, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, $0.001 par value (the "Common Stock"), of School Specialty, Inc. (the "Issuer") purchased by private investment funds advised by Anson and Anson Advisors (the "Funds"). Pursuant to Rule 16a-1, all of Anson, Anson GP, Mr. Winson, Anson Advisors, Mr. Spears and Mr. Kassam disclaim such beneficial ownership.
- F2Anson and Anson Advisors hold indirectly 493,215 shares of Common Stock of the Issuer through the Funds, for which Anson and Anson Advisors are the Investment Advisors. Anson GP and Bruce R. Winson report the Common Stock held indirectly by the Funds because, as the general partner of Anson and the manager of Anson GP, respectively, at the time of purchase, they controlled the disposition and voting of the securities. Mr. Spears and Mr. Kassam report the Common Stock held indirectly by the Funds because, as the directors of Anson Advisors, at the time of purchase, they controlled the disposition and voting of the securities.