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Ancora Advisors, LLC, et al. – ‘4’ for 3/20/20 re: Big Lots Inc.

On:  Friday, 3/27/20, at 8:41pm ET   ·   For:  3/20/20   ·   Accession #:  1193805-20-420   ·   File #:  1-08897

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/27/20  Ancora Advisors, LLC              4                      1:36K  Big Lots Inc.                     E-Data Systems, Inc./FA
          Ancora Merlin Institutional, LP
          Ancora Merlin, LP
          Ancora Catalyst Institutional, LP
          Ancora Catalyst, LP
          Ancora Catalyst SPV I LP
          Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C
          DiSanto Frederick D.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      4K 
                Securities by an Insider --                                      
                e619510_4-ancora.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider — e619510_4-ancora.xml/3.6
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  3/20/20
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  768835
Issuer Name:  BIG LOTS INC
Issuer Trading Symbol:  BIG
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1446114
Owner Name:  Ancora Advisors, LLC
Reporting Owner Address:
Owner Street 1:  6060 PARKLAND BOULEVARD, SUITE 200
Owner Street 2:
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1431892
Owner Name:  ANCORA MERLIN INSTITUTIONAL, LP
Reporting Owner Address:
Owner Street 1:  ANCORA ADVISORS LLC
Owner Street 2:  6060 PARKLAND BOULEVARD, SUITE 200
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1694450
Owner Name:  Ancora Merlin, LP
Reporting Owner Address:
Owner Street 1:  6060 PARKLAND BOULEVARD
Owner Street 2:  SUITE 200
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1620142
Owner Name:  Ancora Catalyst Institutional, LP
Reporting Owner Address:
Owner Street 1:  ANCORA ADVISORS LLC
Owner Street 2:  6060 PARKLAND BOULEVARD, SUITE 200
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1694346
Owner Name:  Ancora Catalyst, LP
Reporting Owner Address:
Owner Street 1:  6060 PARKLAND BOULEVARD
Owner Street 2:  SUITE 200
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1740270
Owner Name:  Ancora Catalyst SPV I LP
Reporting Owner Address:
Owner Street 1:  6060 PARKLAND BOULEVARD
Owner Street 2:  SUITE 200
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1802503
Owner Name:  Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C
Reporting Owner Address:
Owner Street 1:  94 SOLARIS AVENUE, PO BOX 1348
Owner Street 2:  CAMANA BAY
Owner City:  GRAND CAYMAN
Owner State:  E9
Owner ZIP Code:  KY1-1108
Owner State Description:  CAYMAN ISLANDS
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1498290
Owner Name:  DiSanto Frederick D.
Reporting Owner Address:
Owner Street 1:  6060 PARKLAND
Owner Street 2:  SUITE 200
Owner City:  CLEVELAND
Owner State:  OH
Owner ZIP Code:  44124
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  Yes
Officer Title:
Other Text:  See Explanation of Responses
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock $0.01 par value
Footnote ID:  F1
Transaction Date:
Value:  3/25/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  2000
Transaction Price Per Share:
Value:  25.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  705,314
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F2
Non-Derivative Transaction:
Security Title:
Value:  Common Stock $0.01 par value
Footnote ID:  F1
Transaction Date:
Value:  3/25/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  500
Transaction Price Per Share:
Value:  25.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  70,254
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F3
Non-Derivative Transaction:
Security Title:
Value:  Common Stock $0.01 par value
Footnote ID:  F1
Transaction Date:
Value:  3/25/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  500
Transaction Price Per Share:
Value:  25.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  638,411
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F4
Non-Derivative Holding:
Security Title:
Value:  Common Stock $0.01 par value
Footnote ID:  F1
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  48,468
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F5
Non-Derivative Holding:
Security Title:
Value:  Common Stock $0.01 par value
Footnote ID:  F1
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  549,756
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F6
Non-Derivative Holding:
Security Title:
Value:  Common Stock $0.01 par value
Footnote ID:  F1
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  453,140
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F7
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  25.00
Transaction Date:
Value:  3/25/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  20
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  12/16/19
Expiration Date:
Value:  4/17/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  2000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,105
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F2
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  25.00
Transaction Date:
Value:  3/25/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  5
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  12/16/19
Expiration Date:
Value:  4/17/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  83
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F3
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  25.00
Transaction Date:
Value:  3/25/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  X
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  5
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  12/16/19
Expiration Date:
Value:  4/17/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,157
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F4
Derivative Holding:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  25.00
Exercise Date:
Value:  12/16/19
Expiration Date:
Value:  4/17/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  12,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  12,500
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F5
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  27.50
Transaction Date:
Value:  3/20/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  E
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  450
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  1/23/20
Expiration Date:
Value:  3/20/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  45,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F2
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  27.50
Transaction Date:
Value:  3/20/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  E
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  50
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  1/23/20
Expiration Date:
Value:  3/20/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  5,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F3
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  27.50
Transaction Date:
Value:  3/20/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  E
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  209
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  1/23/20
Expiration Date:
Value:  3/20/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  20,900
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F4
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  27.50
Transaction Date:
Value:  3/20/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  E
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  35
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  1/23/20
Expiration Date:
Value:  3/20/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  3,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F5
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  27.50
Transaction Date:
Value:  3/20/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  E
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  239
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  1/23/20
Expiration Date:
Value:  3/20/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  23,900
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F7
Derivative Transaction:
Security Title:
Value:  Put option (obligation to buy)
Conversion or Exercise Price:
Value:  25.00
Transaction Date:
Value:  3/20/20
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  E
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  47
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  2/14/20
Expiration Date:
Value:  3/20/20
Underlying Security:
Underlying Security Title:
Value:  Common Stock $0.01 par value
Underlying Security Shares:
Value:  4,700
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  See Footnote
Footnote ID:  F7
Footnotes:
Footnote - F1:  This Form 4 is filed jointly by Ancora Merlin Institutional LP ("Ancora Merlin Institutional"), Ancora Merlin, LP ("Ancora Merlin"), Ancora Catalyst Institutional, LP ("Ancora Catalyst Institutional"), Ancora Catalyst, LP ("Ancora Catalyst"), Ancora Catalyst SPV I LP ("Ancora SPV I"), Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C ("Ancora SPV I Ltd"), Ancora Advisors, LLC ("Ancora Advisors") and Frederick DiSanto (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock, par value $0.01 (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
Footnote - F2:  Securities owned directly by Ancora Merlin Institutional. As the investment advisor of Ancora Merlin Institutional, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Merlin Institutional. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Merlin Institutional.
Footnote - F3:  Securities owned directly by Ancora Merlin. As the investment advisor of Ancora Merlin, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Merlin. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Merlin.
Footnote - F4:  Securities owned directly by Ancora Catalyst Institutional. As the investment advisor of Ancora Catalyst Institutional, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Catalyst Institutional. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Catalyst Institutional.
Footnote - F5:  Securities owned directly by Ancora Catalyst. As the investment advisor of Ancora Catalyst, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora Catalyst. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora Catalyst.
Footnote - F6:  Securities owned directly by Ancora SPV I. As the investment advisor of Ancora SPV I, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora SPV I. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora SPV I.
Footnote - F7:  Securities owned directly by Ancora SPV I Ltd. As the investment advisor of Ancora SPV I Ltd, Ancora Advisors may be deemed to beneficially own the securities owned directly by Ancora SPV I Ltd. As the Chairman and Chief Executive Officer, Mr. DiSanto may be deemed to beneficially own the securities owned directly by Ancora SPV I Ltd.
Owner Signature:
Signature Name:  Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  Ancora Merlin Institutional LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  Ancora Merlin, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  Ancora Catalyst Institutional, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  Ancora Catalyst, LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  Ancora Catalyst SPV I LP; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  Ancora Catalyst SPV I SPC Ltd. - Segregated Portfolio C; By: Ancora Advisors, LLC; By: /s/ Frederick DiSanto
Signature Date:  3/27/20
Owner Signature:
Signature Name:  /s/ Frederick DiSanto
Signature Date:  3/27/20


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