1
|
NAME OF REPORTING PERSON
|
|
|
||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
|
|
|
|||
Wolverine Flagship Fund Trading Limited
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Cayman Islands
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.4% (see Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
OO
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
|
|
|
|||
Wolverine Asset Management, LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Illinois
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.4% (see Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
IA
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
|
|
|
|||
Wolverine Holdings, L.P.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Illinois
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.4% (see Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
HC
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
|
|
|
|||
Wolverine Trading Partners, Inc.
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Illinois
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.4% (see Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
CO/HC
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
|
|
|
|||
Christopher L. Gust
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
US Citizen
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.4% (see Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
IN/HC
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
|
|
|
|||
Robert R. Bellick
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
US Citizen
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
3,945,926 shares of common stock
Warrants to purchase 2,500,000 shares of common stock
Series C Preferred Stock convertible into 517,286 shares of common stock
|
|
|
|||
|
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
8.4% (see Item 4)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON
|
|
|
||
IN/HC
|
|
|
|||
|
|
ITEM 1(a).
|
NAME OF ISSUER:
|
ITEM 1(b). | ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: |
ITEM 2(a). | NAME OF PERSON FILING: |
ITEM 2(b). | ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: |
ITEM 2(c). | CITIZENSHIP: |
ITEM 2(d). | TITLE OF CLASS OF SECURITIES: |
ITEM 2(e). | CUSIP NUMBER: |
ITEM 3.
|
IF THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b), or 13d-2(b) or (c) CHECK WHETHER THE PERSON FILING IS A: |
(a) | ☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c); |
(b) | ☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); |
(c) | ☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); |
(d) | ☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8); |
(e) | ☐ An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); |
(f) | ☐ An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); |
(g) | ☐ A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); |
(h) | ☐ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | ☐ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(j) | ☐ A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J); |
(k) | ☐ Group, in accordance with 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with 240.13d1(b)(1)(ii)(J), please specify the type of institution: |
ITEM 4.
|
OWNERSHIP: |
(a) | Amount beneficially owned: |
(b) | Percent of class: |
(c) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote: |
(ii) | Shared power to vote or to direct the vote: |
(iii) | Sole power to dispose or to direct the disposition of: |
(iv) | Shared power to dispose or to direct the disposition of: |
ITEM 5. | OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: |
ITEM 6. | OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: |
ITEM 7. | IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: |
ITEM 8. | IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: |
ITEM 9. | NOTICE OF DISSOLUTION OF GROUP: |
ITEM 10. | CERTIFICATION: |
Wolverine Flagship Fund Trading Limited
|
|
/s/ Kenneth L. Nadel
|
|
Signature
|
|
Kenneth L. Nadel, Director
|
|
Name/Title
|
|
Wolverine Asset Management, LLC
|
|
/s/ Kenneth L. Nadel
|
|
Signature
|
|
Kenneth L. Nadel, Chief Operating Officer
|
|
Name/Title
|
|
Wolverine Holdings, L.P.
|
|
/s/Christopher L. Gust
|
|
Signature
|
|
Christopher L. Gust, Managing Director
|
|
Name/Title
|
|
Wolverine Trading Partners, Inc.
|
|
/s/Christopher L. Gust
|
|
Signature
|
|
Christopher L. Gust, Authorized Signatory
|
|
Name/Title
|
|
/s/Christopher L. Gust
|
|
Christopher L. Gust
|
|
/s/ Robert R. Bellick
|
|
Robert R. Bellick
|