Amended Statement of Beneficial Ownership (sc 13d/a)
09 10월 2019 - 7:01PM
Edgar (US Regulatory)
SECURITIES
AND EXCHANGE COMMISSION
|
|
Washington, D.C. 20549
|
_______________
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|
SCHEDULE 13D/A
|
|
INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
|
|
Under the Securities Exchange Act of 1934
|
(Amendment No. 1)
|
|
Anterix
Inc.
|
(Name of Issuer)
|
|
Common
Stock, par value $0.0001 per share
|
(Title of Class of Securities)
|
|
03676C100
|
(CUSIP Number)
|
|
Eleazer Klein, Esq.
|
Marc Weingarten, Esq.
|
919 Third Avenue
|
New York, New York 10022
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(212)
756-2000
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(Name, Address and Telephone Number of Person
|
Authorized to Receive Notices and Communications)
|
|
October
7, 2019
|
(Date of Event which Requires
|
Filing of this Schedule)
|
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f)
or 13d-1(g), check the following box. ý
NOTE: Schedules filed in paper format shall include a
signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to
be sent.
(Continued on following pages)
(Page 1 of 14 Pages)
--------------------------
The information required on 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).
CUSIP No. 03676C100
|
SCHEDULE 13D/A
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Page 2 of
14 Pages
|
1
|
NAME OF REPORTING PERSON
OWL CREEK
I, L.P.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC USE ONLY
|
4
|
SOURCE OF FUNDS
WC, OO (See Item 3)
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
138,684
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
138,684
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
138,684
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
|
14
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 3 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK II, L.P.
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC USE ONLY
|
4
|
SOURCE OF FUNDS
WC, OO (See Item 3)
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
1,015,175
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
1,015,175
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
1,015,175
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9%
|
14
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 4 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK OVERSEAS MASTER
FUND, LTD.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
WC, OO (See Item 3)
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
2,075,485
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
2,075,485
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,075,485
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.2%
|
14
|
TYPE OF REPORTING PERSON
OO
|
|
|
|
|
|
CUSIP No. 03676C100
|
SCHEDULE 13D/A
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Page 5 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK SRI
MASTER FUND, LTD.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
WC, OO (See Item 3)
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
186,640
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
186,640
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
186,640
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1%
|
14
|
TYPE OF REPORTING PERSON
OO
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 6 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK CREDIT
OPPORTUNITIES MASTER FUND, L.P.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
WC, OO (See Item 3)
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
582,207
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
582,207
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
582,207
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.4%
|
14
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 7 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK SPECIAL SITUATIONS
FUND, L.P.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
WC, OO (See Item 3)
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
580,519
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
580,519
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
580,519
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.4%
|
14
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 8 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK ADVISORS,
LLC
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
AF
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
2,316,585
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
2,316,585
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
2,316,585
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.6%
|
14
|
TYPE OF REPORTING PERSON
OO
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 9 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
OWL CREEK ASSET
MANAGEMENT, L.P.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
AF
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
4,578,710
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
4,578,710
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
4,578,710
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.8%
|
14
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 10 of 14 Pages
|
1
|
NAME OF REPORTING PERSONS
JEFFREY A. ALTMAN
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨
(b) x
|
3
|
SEC
USE ONLY
|
4
|
SOURCE OF FUNDS
AF
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
|
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
4,578,710
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
4,578,710
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON
4,578,710
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.8%
|
14
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 11 of 14 Pages
|
This Amendment No. 1 ("Amendment No. 1")
amends the statement on Schedule 13D filed on August 30, 2019 (the "Original Schedule 13D", and as amended
hereby, the "Schedule 13D") with respect to the shares of common stock, par value $0.0001 per share (the
"Common Stock"), of Anterix Inc., a Delaware corporation (the "Issuer"). Capitalized terms
used herein and not otherwise defined in this Amendment No. 1 have the meanings set forth in the Original Schedule 13D. This
Amendment amends Items 3 and 5(a)-(c) as set forth below.
|
Item 3.
|
SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
|
Items 3 of the Schedule 13D is
hereby amended and restated in its entirety by the following:
The Reporting
Persons expended an aggregate of approximately $151,519,525 to purchase the 4,578,710 shares of Common Stock. Such shares of Common
Stock were acquired with investment funds of the Owl Creek Funds and margin borrowings described in the following sentence. Such
shares are held by the Reporting Persons in commingled margin accounts, which may extend margin credit to the Reporting Persons
as and when required to open or carry positions in the margin account, subject to applicable federal margin regulations, stock
exchange rules and credit policies. In such instances, the positions held in the margin account are pledged as collateral security
for the repayment of debit balances in the account. The margin accounts bear interest at a rate based upon the broker's call rate
from time to time in effect. The margin account may from time to time have debit balances. Since other securities are held in
the margin account, it is not possible to determine the amounts, if any, of margin used to purchase the shares of Common Stock
reported herein.
Item 5.
|
INTEREST IN SECURITIES OF THE COMPANY.
|
Items 5(a)-(c) of the Schedule
13D are hereby amended and restated in their entireties by the following:
(a) See
rows (11) and (13) of the cover pages to this Schedule 13D for the aggregate number of shares of Common Stock and percentages
of the shares of Common Stock beneficially owned by each of the Reporting Persons. The percentages used in this Schedule 13D are
calculated based upon 17,075,836 shares of Common Stock outstanding as of August 2, 2019, as reported in the Issuer’s Quarterly
Report on Form 10-Q for the quarterly period ended June 30, 2019, filed with the Securities and Exchange Commission on August
8, 2019.
(b) See
rows (7) through (10) of the cover pages to this Schedule 13D for the number of shares of Common Stock as to which each Reporting
Person has the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition.
(c) The
transactions in the shares of Common Stock by the Reporting Persons since the filing of the Original Schedule are set forth in
Schedule A, and are incorporated herein by reference.
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 12 of 14 Pages
|
SIGNATURES
After reasonable
inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement
is true, complete and correct.
Dated: October 8, 2019
|
JEFFREY A. Altman
|
|
|
|
/s/ Jeffrey A. Altman
|
|
Jeffrey A. Altman, (i) individually, (ii) as managing member
of Owl Creek Advisors, LLC, (x) for itself and (y) as general partner of Owl Creek I, L.P., Owl Creek II, L.P., Owl Creek
Credit Opportunities Master Fund, L.P. and Owl Creek Special Situations Fund, L.P. and (iii) as managing member of the general
partner of Owl Creek Asset Management, L.P., (x) for itself and (y) as investment manager to Owl Creek I, L.P., Owl Creek
II, L.P., Owl Creek Overseas Master Fund, Ltd., Owl Creek SRI Master Fund, Ltd., Owl Creek Credit Opportunities Master Fund,
L.P. and Owl Creek Special Situations Fund, L.P.
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 13 of 14 Pages
|
SCHEDULE
A
Transactions
in the shares of Common Stock of the Issuer
Since the Filing of the Original Schedule 13D
The following
tables set forth all transactions in the shares of Common Stock effected since the filing of the Original Schedule 13D by the
Reporting Persons. Except as noted below, all such transactions were effected in the open market through brokers and the price
per share is net of commissions.
Owl Creek I
Trade Date
|
Shares Purchased (Sold)
|
Price Per Share ($)
|
09/10/2019
|
300
|
37.78
|
09/10/2019
|
100
|
37.95
|
09/11/2019
|
500
|
39.50
|
09/11/2019
|
300
|
40.37
|
09/12/2019
|
100
|
39.85
|
09/12/2019
|
200
|
39.89
|
09/13/2019
|
200
|
39.44
|
09/16/2019
|
900
|
39.40
|
09/19/2019
|
100
|
39.47
|
09/20/2019
|
36
|
38.92
|
Owl Creek II
Trade
Date
|
Shares
Purchased (Sold)
|
Price Per
Share ($)
|
09/10/2019
|
2,200
|
37.78
|
09/10/2019
|
800
|
37.95
|
09/10/2019
|
300
|
37.65
|
09/10/2019
|
200
|
37.74
|
09/11/2019
|
3,800
|
39.50
|
09/11/2019
|
2,400
|
40.37
|
09/12/2019
|
800
|
39.85
|
09/12/2019
|
1,300
|
39.89
|
09/13/2019
|
1,500
|
39.44
|
09/16/2019
|
5,800
|
39.40
|
09/17/2019
|
100
|
39.20
|
09/18/2019
|
300
|
39.40
|
09/19/2019
|
300
|
39.47
|
09/20/2019
|
433
|
38.92
|
Owl Creek Overseas
Trade
Date
|
Shares
Purchased (Sold)
|
Price Per
Share ($)
|
09/10/2019
|
4,700
|
37.78
|
09/10/2019
|
1,600
|
37.95
|
09/10/2019
|
700
|
37.65
|
09/10/2019
|
400
|
37.74
|
09/11/2019
|
8,200
|
39.50
|
CUSIP
No. 03676C100
|
SCHEDULE 13D/A
|
Page 14 of 14 Pages
|
09/11/2019
|
5,100
|
40.37
|
09/12/2019
|
1,800
|
39.85
|
09/12/2019
|
2,700
|
39.89
|
09/13/2019
|
3,300
|
39.44
|
09/16/2019
|
12,700
|
39.40
|
09/17/2019
|
300
|
39.20
|
09/18/2019
|
700
|
39.40
|
09/19/2019
|
500
|
39.47
|
09/20/2019
|
980
|
38.92
|
Owl Creek Special Situations
Trade Date
|
Shares Purchased (Sold)
|
Price Per Share ($)
|
09/10/2019
|
7,086
|
37.78
|
09/10/2019
|
2,500
|
37.95
|
09/10/2019
|
1,052
|
37.65
|
09/10/2019
|
600
|
37.74
|
09/11/2019
|
12,483
|
39.50
|
09/11/2019
|
7,800
|
40.37
|
09/12/2019
|
2,700
|
39.85
|
09/12/2019
|
4,162
|
39.89
|
09/13/2019
|
4,997
|
39.44
|
09/16/2018
|
19,518
|
39.40
|
09/17/2019
|
400
|
39.20
|
09/18/2019
|
1,099
|
39.40
|
09/19/2019
|
800
|
39.47
|
09/20/2019
|
1,452
|
38.92
|
09/26/2019
|
700
|
35.19
|
09/26/2019
|
14,909
|
35.36
|
09/27/2019
|
10,924
|
35.58
|
09/30/2019
|
2,300
|
35.53
|
10/03/2019
|
3,316
|
37.98
|
10/07/2019
|
12,951
|
37.83
|
10/08/2019
|
6,300
|
36.94
|
10/08/2019
|
2,600
|
37.23
|
10/08/2019
|
100
|
36.97
|
Pdvwireless, Inc. (NASDAQ:PDVW)
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부터 8월(8) 2024 으로 9월(9) 2024
Pdvwireless, Inc. (NASDAQ:PDVW)
과거 데이터 주식 차트
부터 9월(9) 2023 으로 9월(9) 2024