Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Eaton Vance Limited Duration Income Fund
(Name of Issuer)
Auction Preferred Shares
(Title of Class of Securities)
27828H204, 27828H303, 27828H402, 27828H501, 27828H600
(CUSIP Number)
April 12, 2022
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| ☐ |
Rule 13d-1(b)
|
| ☒ |
Rule 13d-1(c)
|
| ☐ |
Rule 13d-1(d)
|
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
Continued on following pages
Page 1 of 17 Pages
Exhibit Index: Page 15
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 2 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Sunrise Partners Limited Partnership
|
|
|
|||
|
|
|
||||
|
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
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
PN
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the Securities and Exchange Commission
(“SEC”) on November 22, 2021.
|
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 3 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Paloma International, 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
|
|
|
||
|
Cayman Islands
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
PN, HC
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the SEC on November 22, 2021.
|
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 4 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Paloma Partners Management Company
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(a)☐
|
|||||
|
(b)☒
|
|
|
|||
|
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|
|||
|
|
|
||||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
|
Delaware
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
CO, IA
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the SEC on November 22, 2021.
|
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 5 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Paloma Partners Advisors LP
|
|
|
|||
|
|
|
||||
|
2
|
CHECK TH
E APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(a)☐
|
|||||
|
(b)☒
|
|
|
|||
|
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|
|||
|
|
|
||||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
|
Delaware
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
PN, IA
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the SEC on November 22, 2021.
|
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 6 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Paloma Partners Advisors, Inc.
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(a)☐
|
|||||
|
(b)☒
|
|
|
|||
|
3
|
SEC USE ONLY
|
|
|
||
| |
|
|
|||
|
|
|
||||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
|
Delaware
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
CO, HC
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the SEC on November 22, 2021.
|
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 7 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Gregory Hayt
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(a)☐
|
|||||
|
(b)☒
|
|
|
|||
|
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|
|||
|
|
|
||||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
|
United States of America
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
;
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
IN, HC
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the SEC on November 22, 2021.
|
|
SCHEDULE 13G
|
|
|
CUSIP Nos. 27828H204, 27828H303, 27828H402, 27828H501, 27828H600
|
Page 8 of 17 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
S. Donald Sussman
|
|
|
|||
|
|
|
||||
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
|
(a)☐
|
|||||
|
(b)☒
|
|
|
|||
|
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|
|||
|
|
|
||||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
|
United States of America
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,012
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
11.7% (1)
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
IN, HC
|
|
|
|||
|
|
|
||||
| (1) |
Based upon a total of 8,640 Auction Preferred Shares outstanding as of November 2, 2021, as reported in the proxy statement on Schedule 14A, filed by the Issuer with the SEC on November 22, 2021.
|
|
SCHEDULE 13G
|
|
Page 9 of 17 Pages
|
|
Item 1(a).
|
Name of Issuer:
|
|
Eaton Vance Limited Duration Income Fund
|
|
Item 1(b).
|
Address of Issuer’s Principal Executive Offices:
|
|
Two International Place, Boston, Massachusetts 02110
|
|
|
Item 2(a).
|
Name of Person Filing:
|
|
Sunrise Partners Limited Partnership
|
|
|
Paloma International L.P.
|
|
|
Paloma Partners Management Company
|
|
|
Paloma Partners Advisors LP
|
|
|
Paloma Partners Advisors, Inc.
|
|
|
Gregory Hayt
|
|
|
S. Donald Sussman
|
|
|
Item 2(b).
|
Address of Principal Business Office or, if none, Residence:
|
|
Sunrise Partners Limited Partnership
|
|
|
Maples Corporate Services Limited
|
|
|
P.O. Box 309, Ugland House Grand
|
|
|
Cayman, KY1-1104, Cayman Islands
|
|
|
Paloma International, L.P.
|
|
|
Maples Corporate Services Limited
|
|
|
P.O. Box 309, Ugland House Grand
|
|
|
Cayman, KY1-1104, Cayman Islands
|
|
|
Paloma Partners Management Company
|
|
|
Two American Lane
|
|
|
Greenwich, CT 06836
|
|
|
Paloma Partners Advisors LP
|
|
|
888 E. Las Olas Blvd.
|
|
|
Ft. Lauderdale, FL 33301
|
|
|
Paloma Partners Advisors, Inc.
|
|
|
c/o Paloma Partners Advisors LP
|
|
|
888 E. Las Olas Blvd.
|
|
|
Ft. Lauderdale, FL 33301
|
|
|
Gregory Hayt
|
|
|
c/o Paloma Partners Management Company
|
|
|
Two American Lane
|
|
|
Greenwich, CT 06836
|
|
|
S. Donald Sussman
|
|
|
c/o Paloma Partners Advisors LP
|
|
|
888 E. Las Olas Blvd.
|
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Ft. Lauderdale, FL 33301
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SCHEDULE 13G
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Page 10 of 17 Pages
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Item 2(c).
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Citizenship:
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Sunrise Partners Limited Partnership — Cayman Islands
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Paloma International L.P. — Cayman Islands
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Paloma Partners Management Company — Delaware
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Paloma Partners Advisors LP — Delaware
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Paloma Partners Advisors, Inc. — Delaware
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Gregory Hayt — United States of America
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S. Donald Sussman — United States of America
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Item 2(d).
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Title of Class of Securities:
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Auction Preferred Shares
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Item 2(e).
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CUSIP Number:
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27828H204, 27828H303, 27828H402, 27828H501, 27828H600
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| Item 3. |
If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a(n):
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(a)
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
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(f)
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Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);
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(g)
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Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);
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(h)
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Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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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);
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(j)
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A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);
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(k)
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Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of
institution:____________________________.
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SCHEDULE 13G
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Page 11 of 17 Pages
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| Item 4. |
Ownership.
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(a)
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Amount beneficially owned:
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1,012 shares deemed beneficially owned by Sunrise Partners Limited Partnership
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1,012 shares deemed beneficially owned by Paloma International L.P.
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1,012 shares deemed beneficially owned by Paloma Partners Management Company
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1,012 shares deemed beneficially owned by Paloma Partners Advisors LP
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1,012 shares deemed beneficially owned by Paloma Partners Advisors, Inc.
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1,012 shares deemed beneficially owned by Gregory Hayt
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1,012 shares deemed beneficially owned by S. Donald Sussman
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(b)
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Percent of class:
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11.7% deemed beneficially owned by Sunrise Partners Limited Partnership
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11.7% deemed beneficially owned by Paloma International L.P.
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11.7% deemed beneficially owned by Paloma Partners Management Company
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11.7% deemed beneficially owned by Paloma Partners Advisors LP
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11.7% deemed beneficially owned by Paloma Partners Advisors, Inc.
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11.7% deemed beneficially owned by Gregory Hayt
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11.7% deemed beneficially owned by S. Donald Sussman
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(c)
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Number of shares as to which the person has:
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The information set forth in Rows 5 through 11 on the cover page for the Reporting Person is hereby incorporated by reference into this Item 4(c).
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| Item 5. |
Ownership of Five Percent or Less of a Class.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of
securities, check the following. ☐
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N/A
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| Item 6. |
Ownership of More than Five Percent on Behalf of Another Person.
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If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect
should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company
Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
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N/A
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| Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
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If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3
classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
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N/A
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SCHEDULE 13G
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Page 12 of 17 Pages
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| Item 8. |
Identification and Classification of Members of the Group.
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If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of
the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.
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N/A
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| Item 9. |
Notice of Dissolution of Group.
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Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on
will be filed, if required, by members of the group, in their individual capacity. See Item 5.
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N/A
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| Item 10. |
Certification.
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired
and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose
or effect, other than activities solely in connection with a nomination under §240.14a-11.
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SCHEDULE 13G
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Page 13 of 17 Pages
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Dated: April 14, 2022
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SUNRISE PARTNERS LIMITED PARTNERSHIP
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| By: |
Paloma International L.P., parent holder
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| By: |
Paloma Partners Management Company, general partner
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| By: |
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/s/ DOUGLAS W. AMBROSE
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| By: |
Douglas W. Ambrose
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Title: Executive Vice President
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PALOMA INTERNATIONAL, L.P.
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By:
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Paloma Partners Management Company, general partner
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By:
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/s/ DOUGLAS W. AMBROSE
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Douglas W. Ambrose
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Title: Executive Vice President
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PALOMA PARTNERS MANAGEMENT COMPANY
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By:
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/s/ DOUGLAS W. AMBROSE
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| By: |
Douglas W. Ambrose
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Title: Executive Vice President
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SCHEDULE 13G
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Page 14 of 17 Pages
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PALOMA PARTNERS ADVISORS LP
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| By: |
Paloma Partners Advisors, Inc., general partner
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By:
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/s/ S. DONALD SUSSMAN
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S. Donald Sussman
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Title: President
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PALOMA PARTNERS ADVISORS INC.
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By:
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/s/ S. DONALD SUSSMAN
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S. Donald Sussman
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Title: President
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GREGORY HAYT
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/s/ GREGORY HAYT
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Gregory Hayt
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S. DONALD SUSSMAN
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/s/ S. DONALD SUSSMAN
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S. Donald Sussman
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SCHEDULE 13G
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Page 15 of 17 Pages
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EXHIBIT INDEX
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Exhibit
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Page No.
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Exhibit A – Joint Filing Agreement
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16
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SCHEDULE 13G
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Page 16 of 17 Pages
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Exhibit A
JOINT FILING AGREEMENT
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G
may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and
accuracy of the information concerning him or it contained herein and therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe
that such information is inaccurate.
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April 14, 2022
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(Date)
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SUNRISE PARTNERS LIMITED PARTNERSHIP
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Paloma International L.P., parent holder
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Paloma Partners Management Company, general partner
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By:
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/s/ DOUGLAS W. AMBROSE
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| By: |
Douglas W. Ambrose
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Title: Executive Vice President
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PALOMA INTERNATIONAL, L.P.
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| By: |
Paloma Partners Management Company, general partner
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By:
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/s/ DOUGLAS W. AMBROSE
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| By: |
Douglas W. Ambrose
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Title: Executive Vice President
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PALOMA PARTNERS MANAGEMENT COMPANY
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By:
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/s/ DOUGLAS W. AMBROSE
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By:
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Douglas W. Ambrose
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Title: Executive Vice President
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SCHEDULE 13G
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Page 17 of 17 Pages
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PALOMA PARTNERS ADVISORS LP
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By:
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Paloma Partners Advisors, Inc., general partner
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By:
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/s/ S. DONALD SUSSMAN
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By:
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S. Donald Sussman
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Title: President
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PALOMA PARTNERS ADVISORS INC.
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By:
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/s/ S. DONALD SUSSMAN
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By:
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S. Donald Sussman
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Title: President
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GREGORY HAYT
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/s/ GREGORY HAYT
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Gregory Hayt
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S. DONALD SUSSMAN
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/s/ S. DONALD SUSSMAN
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S. Donald Sussman
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