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As Of Filer Filing For·On·As Docs:Size Issuer 1/27/17 Legion Partners Asset Mgmt, LLC SC 13G/A 2:222K Arabella Exploration, Inc. |
Document/Exhibit Description Pages Size 1: SC 13G/A Amendment to Statement of Beneficial Ownership HTML 92K 2: EX-99 Miscellaneous Exhibit HTML 15K
Arabella Exploration, Inc.
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(Name of Issuer)
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Ordinary Shares, par value $0.001 per share
Ordinary Share Purchase Warrants
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(Title of Class of Securities)
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x | Rule 13d-1(b) |
o | Rule 13d-1(c) |
o | Rule 13d-1(d) |
1
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NAME OF REPORTING PERSON
Legion Partners, L.P. I
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o
(b) o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
- 0 -
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6
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SHARED VOTING POWER
- 0 -
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7
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SOLE DISPOSITIVE POWER
- 0 -
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8
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SHARED DISPOSITIVE POWER
- 0 -
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
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12
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TYPE OF REPORTING PERSON
PN
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1
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NAME OF REPORTING PERSON
Legion Partners, L.P. II
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
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|
3
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SEC USE ONLY
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||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
- 0 -
|
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6
|
SHARED VOTING POWER
- 0 -
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||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
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SHARED DISPOSITIVE POWER
- 0 -
|
||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
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||
12
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TYPE OF REPORTING PERSON
PN
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1
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NAME OF REPORTING PERSON
Legion Partners Asset Management, LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
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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
- 0 -
|
||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
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SHARED DISPOSITIVE POWER
- 0 -
|
||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
|
||
12
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TYPE OF REPORTING PERSON
IA
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1
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NAME OF REPORTING PERSON
Legion Partners, LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
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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
- 0 -
|
||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
|
||
12
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TYPE OF REPORTING PERSON
OO
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1
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NAME OF REPORTING PERSON
Legion Partners Holdings, LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC USE ONLY
|
||
4
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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
- 0 -
|
||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
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SHARED DISPOSITIVE POWER
- 0 -
|
||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
|
||
12
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TYPE OF REPORTING PERSON
OO
|
1
|
NAME OF REPORTING PERSON
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC USE ONLY
|
||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
- 0 -
|
|
6
|
SHARED VOTING POWER
- 0 -
|
||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
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SHARED DISPOSITIVE POWER
- 0 -
|
||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
|
||
12
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TYPE OF REPORTING PERSON
IN
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1
|
NAME OF REPORTING PERSON
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC USE ONLY
|
||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
- 0 -
|
|
6
|
SHARED VOTING POWER
- 0 -
|
||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
|
||
12
|
TYPE OF REPORTING PERSON
IN
|
1
|
NAME OF REPORTING PERSON
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC USE ONLY
|
||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
- 0 -
|
|
6
|
SHARED VOTING POWER
- 0 -
|
||
7
|
SOLE DISPOSITIVE POWER
- 0 -
|
||
8
|
SHARED DISPOSITIVE POWER
- 0 -
|
||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
- 0 -
|
||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
|
||
12
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TYPE OF REPORTING PERSON
IN
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(iii)
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Legion Partners, LLC, a Delaware limited liability company (“Legion Partners LLC”), which serves as the general partner of each of Legion Partners I and Legion Partners II;
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(iv)
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Legion Partners Asset Management, LLC, a Delaware limited liability company (“Legion Partners Asset Management”), which serves as the investment advisor of each of Legion Partners I and Legion Partners II;
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(v)
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Legion Partners Holdings, LLC, a Delaware limited liability company (“Legion Partners Holdings”), which serves as the sole member of Legion Partners Asset Management and managing member of Legion Partners LLC;
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(vi)
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Christopher S. Kiper, who serves as a managing director of Legion Partners Asset Management and a managing member of Legion Partners Holdings;
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(vii)
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Bradley S. Vizi, who serves as a managing director of Legion Partners Asset Management and a managing member of Legion Partners Holdings; and
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(viii)
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Raymond White, who serves as a managing director of Legion Partners Asset Management and a managing member of Legion Partners Holdings.
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Each of the foregoing is referred to as a “Reporting Person” and collectively as the “Reporting Persons.”
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Item 3.
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If this statement is filed pursuant to Section 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(d)
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/ /
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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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(h)
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/ /
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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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/ /
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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 (15 U.S.C. 80a-3).
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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Legion Partners, L.P. I
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By:
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|||
Name:
|
|||
Title:
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Managing Director
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Legion Partners, L.P. II
|
|||
By:
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Legion Partners Asset Management, LLC
|
||
Investment Advisor
|
|||
By:
|
|||
Name:
|
|||
Title:
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Managing Director
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Legion Partners, LLC
|
|||
By:
|
Legion Partners Holdings, LLC
|
||
Managing Member
|
|||
By:
|
|||
Name:
|
|||
Title:
|
Managing Member
|
Legion Partners Asset Management, LLC
|
|||
By:
|
|||
Name:
|
|||
Title:
|
Managing Director
|
Legion Partners Holdings, LLC
|
|||
By:
|
|||
Name:
|
|||
Title:
|
Managing Member
|
This ‘SC 13G/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 1/27/17 | None on these Dates | ||
12/24/16 | ||||
List all Filings |