SEC Form 4 · accession 0000921895-18-003212

ACACIA RESEARCH CORP · ACTG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Alfred Victor Tobia Jr.

Director

Period of report

Nov 19, 2018

Accepted (ET)

Dec 6, 2018 · 9:27 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000934549

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Nov 19, 2018	P	20,000	$3.014	A	221,664	I	By Sidus Investment Management, LLC
Common Stock^F1	Nov 20, 2018	P	7,700	$2.9709	A	229,364	I	By Sidus Investment Management, LLC
Common Stock^F1	Nov 21, 2018	P	1,499	$3.0057	A	230,863	I	By Sidus Investment Management, LLC
Common Stock^F1	Nov 30, 2018	P	3,000	$3.1287	A	233,863	I	By Sidus Investment Management, LLC
Common Stock^F1	Dec 3, 2018	P	2,500	$3.098	A	236,363	I	By Sidus Investment Management, LLC
Common Stock^F3	Nov 20, 2018	P	8,500	$2.9709	A	495,735	I	By Sidus Double Alpha Fund, L.P.
Common Stock^F3	Nov 21, 2018	P	3,000	$3.0057	A	498,735	I	By Sidus Double Alpha Fund, L.P.
Common Stock^F3	Nov 30, 2018	P	4,300	$3.1287	A	503,035	I	By Sidus Double Alpha Fund, L.P.
Common Stock^F3	Dec 3, 2018	P	5,300	$3.098	A	508,335	I	By Sidus Double Alpha Fund, L.P.
Common Stock^F4	Nov 20, 2018	P	3,800	$2.9709	A	226,944	I	By Sidus Double Alpha Fund, Ltd.
Common Stock^F4	Nov 21, 2018	P	847	$3.0057	A	227,791	I	By Sidus Double Alpha Fund, Ltd.
Common Stock^F4	Nov 30, 2018	P	2,700	$3.1287	A	230,491	I	By Sidus Double Alpha Fund, Ltd.
Common Stock^F4	Dec 3, 2018	P	2,200	$3.098	A	232,691	I	By Sidus Double Alpha Fund, Ltd.
Common Stock^F2	holding	—	—		—	177,957	I	By Sidus Investment Partners, L.P.

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Shares of common stock held in an account for which Sidus Investment Management, LLC ("Sidus Management") serves as a sub-advisor (the "Managed Account"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the sub-advisor to the Managed Account, may be deemed to beneficially own the shares of common stock directly held in the Managed Account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
F2Shares of common stock owned directly by Sidus Investment Partners, L.P. ("Sidus Partners"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the investment manager of Sidus Partners, may be deemed to beneficially own the shares of common stock directly held by Sidus Partners for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
F3Shares of common stock owned directly by Sidus Double Alpha Fund, L.P. ("Sidus Double Alpha"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the investment manager of Sidus Double Alpha, may be deemed to beneficially own the shares of common stock directly held by Sidus Double Alpha for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
F4Shares of common stock owned directly by Sidus Double Alpha Fund, Ltd. ("Sidus Double Alpha Offshore"). The Reporting Person, solely by virtue of his position as a managing member of Sidus Management, the investment manager of Sidus Double Alpha Offshore, may be deemed to beneficially own the shares of common stock directly held by Sidus Double Alpha Offshore for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.