Amended Statement of Ownership (sc 13g/a)
February 10 2017 - 4:20PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE
13G/A
(Rule 13d-102)
(Amendment No. 4)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
New
York & Company, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
649295102
(CUSIP Number)
December 31, 2016
(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)
|
|
|
|
|
|
|
CUSIP No. 649295102
|
|
13G/A
|
|
Page
2
of 9
|
|
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
North Run Capital, LP
|
|
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
3,567,880**
|
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
8
|
|
SHARED DISPOSITIVE POWER
3,567,880**
|
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,567,880**
|
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
5.5%**
|
|
12
|
|
TYPE OF REPORTING PERSON*
IA, PN
|
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
2
|
|
|
|
|
|
|
CUSIP No. 649295102
|
|
13G/A
|
|
Page
3
of 9
|
|
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
North Run Advisors, LLC
|
|
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
3,567,880**
|
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
8
|
|
SHARED DISPOSITIVE POWER
3,567,880**
|
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,567,880**
|
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
5.5%**
|
|
12
|
|
TYPE OF REPORTING PERSON*
HC, OO
|
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
3
|
|
|
|
|
|
|
CUSIP No. 649295102
|
|
13G/A
|
|
Page
4
of 9
|
|
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
Todd B. Hammer
|
|
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
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
|
6
|
|
SHARED VOTING POWER
3,567,880**
|
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
8
|
|
SHARED DISPOSITIVE POWER
3,567,880**
|
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,567,880**
|
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
5.5%**
|
|
12
|
|
TYPE OF REPORTING PERSON*
HC, IN
|
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
4
|
|
|
|
|
|
|
CUSIP No. 649295102
|
|
13G/A
|
|
Page
5
of 9
|
|
|
|
|
|
|
|
|
|
1
|
|
NAME OF
REPORTING PERSONS
Thomas B. Ellis
|
|
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
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
|
6
|
|
SHARED VOTING POWER
3,567,880**
|
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
|
8
|
|
SHARED DISPOSITIVE POWER
3,567,880**
|
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,567,880**
|
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES*
☐
|
|
11
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
5.5%**
|
|
12
|
|
TYPE OF REPORTING PERSON*
HC, IN
|
|
*
|
SEE INSTRUCTIONS BEFORE FILLING OUT
|
5
SCHEDULE 13G/A
This Amendment No. 4 (this “Amendment”) to the Schedule 13G (the “Schedule 13G”) is being filed on behalf of North
Run Advisors, LLC, a Delaware limited liability company (“North Run”), North Run Capital, LP, a Delaware limited partnership (the “Investment Manager”), Todd B. Hammer and Thomas B. Ellis (collectively, the “Reporting
Persons”). Todd B. Hammer and Thomas B. Ellis are the principals of the Investment Manager and the sole members of North Run, the general partner of the Investment Manager. The Investment Manager is the investment manager of certain private
pooled investment vehicles (collectively, the “Funds”). This Amendment relates to shares of Common Stock, par value $0.001 per share (the “Common Stock”), of New York & Company, Inc., a Delaware corporation (the
“Issuer”), held by the Funds.
Item 4 of the Schedule 13G is hereby amended and restated to read as follows:
|
|
(a)
|
North Run, the Investment Manager, Todd B. Hammer and Thomas B. Ellis may be deemed the beneficial owners of 3,567,880 shares of Common Stock.
|
|
|
(b)
|
North Run, the Investment Manager, Todd B. Hammer and Thomas B. Ellis may be deemed the beneficial owners of 5.5% of the outstanding shares of Common Stock. This percentage was determined by dividing 3,567,880 by
64,447,073, which is the number of shares of Common Stock outstanding as of November 30, 2016, according to the Issuer’s Form 10-Q filed on December 7, 2016 with the Securities and Exchange Commission.
|
|
|
(c)
|
North Run, the Investment Manager, Todd B. Hammer and Thomas B. Ellis have the shared power to vote and dispose of the 3,567,880 shares of Common Stock beneficially owned.
|
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.
Power of Attorney of Thomas B. Ellis, dated December 11, 2009.
6
Exhibit 24-2
Power of Attorney of Todd B. Hammer, dated December 11, 2009.
7
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.
Date: February 10, 2017
|
|
|
|
|
|
|
NORTH RUN CAPITAL, LP
|
|
|
|
|
By:
|
|
North Run Advisors, LLC
|
|
|
|
its general partner
|
|
|
|
|
|
|
|
By:
|
|
*
|
|
|
|
|
|
Name: Thomas B. Ellis
|
|
|
|
|
|
Title: Member
|
|
|
|
|
|
|
and
|
|
|
|
|
|
|
|
By:
|
|
*
|
|
|
|
|
|
Name: Todd B. Hammer
|
|
|
|
|
|
Title: Member
|
|
|
|
NORTH RUN ADVISORS, LLC
|
|
|
|
|
By:
|
|
*
|
|
|
|
Name: Thomas B. Ellis
|
|
|
|
Title: Member
|
|
|
|
|
|
and
|
|
|
|
|
|
|
|
|
By:
|
|
*
|
|
|
|
Name: Todd B. Hammer
|
|
|
|
Title: Member
|
|
|
|
*
|
|
Thomas B. Ellis
|
8
|
|
|
|
|
*
|
|
Todd B. Hammer
|
|
|
|
|
* By
|
|
/s/ SARAH L. FILION
|
|
|
|
Sarah L. Filion, Attorney-in-Fact
|
|
|
|
Pursuant to Powers of Attorney filed as exhibits hereto
|
9
New York & Company (NYSE:NWY)
Historical Stock Chart
From Mar 2024 to Apr 2024
New York & Company (NYSE:NWY)
Historical Stock Chart
From Apr 2023 to Apr 2024
