UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HAWTHORNE ZETA CORP. 680 WASHINGTON BOULEVARD SEVENTH FLOOR STAMFORD, CT 06901 |
X |
Hawthorne Zeta Corp., By: /s/ Spencer B. Haber, Title: Authorized Signatory | 03/01/2021 | |
**Signature of Reporting Person | Date | |
By: /s/ Spencer B. Haber | 03/01/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 3 is filed jointly by the following reporting persons: Hawthorne Zeta Corp. ("Hawthorne") and Spencer B. Haber ("Mr. Haber"). |
(2) | Hawthorne is a wholly-owned subsidiary of H/2 Credit Partners Master Fund Ltd. (the "Fund"). H/2 Credit GP LLC (the "Fund GP") is the investment manager of the Fund. Mr.Haber is the managing member of the Fund GP. Each Reporting Person and each of the foregoing entities disclaims beneficial ownership of the securities reported herein to the extent of its or his pecuniary interest therein, if any. |