SEC Form 4 · accession 0001193805-19-000215
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
Dec 7, 2018
Accepted (ET)
Feb 14, 2019 · 9:41 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 StockF1 | Dec 7, 2018 | P | 2,103 | $3.0022 | A | 245,631 | I | By Sidus Investment Management, LLC |
| Common StockF3 | Dec 7, 2018 | P | 5,223 | $3.0022 | A | 528,986 | I | By Sidus Double Alpha Fund, L.P. |
| Common StockF4 | Dec 7, 2018 | P | 2,328 | $3.0022 | A | 242,080 | I | By Sidus Double Alpha Fund, Ltd. |
| Common StockF2 | holding | — | — | — | 183,303 | 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.