SEC Form 4 · accession 0001209191-16-093066
OMNOVA SOLUTIONS INC · OMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Mitarotonda
Director
Period of report
Jan 20, 2016
Accepted (ET)
Jan 22, 2016 · 2:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001090061
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Jan 20, 2016 | P | 1,810 | $4.65 | A | 867,700 | I | By Barington Companies Equity Partners, L.P. |
| Common SharesF1,F2 | Jan 21, 2016 | P | 38,441 | $4.928 | A | 906,141 | I | By Barington Companies Equity Partners, L.P. |
| Common SharesF2,F3 | Jan 21, 2016 | P | 2,787 | $4.928 | A | 65,684 | I | By Barington Companies Investors, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is the sole stockholder and director of LNA Capital Corp. LNA Capital Corp. is the general partner of Barington Capital Group, L.P., which is the majority member of Barington Companies Investors, LLC ("Barington Investors"). Barington Investors is the general partner of Barington Companies Equity Partners, L.P.
- F2The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F3Pursuant to the terms of an Investment Advisory Agreement between Barington Investors and MSF Partners, LLLP ("MSF"), Barington Investors is an investment advisor to MSF and manages an investment account on its behalf holding the number of Common Shares cited above.