You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| MERCED CAPITAL | 0 | 4,735,268 | 0 | 4,735,268 | 4,735,268 | 5.1% |
| SERIES E OF MERCED CAPITAL PARTNERS | 0 | 4,735,268 | 0 | 4,735,268 | 4,735,268 | 5.1% |
| DAVID A. ERICSON | 0 | 4,735,268 | 0 | 4,735,268 | 4,735,268 | 5.1% |
Page 1 of 10 – SEC Filing
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Page 2 of 10 – SEC Filing
| CUSIP No. 88104R100 | Page 2 of 10 Pages |
| 1. | Names of Reporting Persons. MERCED CAPITAL, 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 Delaware |
| 5. | Sole Voting Power | 0 | |
| Number of | |||
| Shares | 6. | Shared Voting Power | 4,735,268 |
| Beneficially | |||
| Owned by Each | |||
| Reporting | 7. | Sole Dispositive Power | 0 |
| Person With | |||
| 8. | Shared Dispositive Power | 4,735,268 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 4,735,268 |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
| 11. | Percent of Class Represented by Amount in Row (9) 5.1% |
| 12. | Type of Reporting Person: IA, PN |
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Page 3 of 10 – SEC Filing
| CUSIP No. 88104R100 | Page 3 of 10 Pages |
| 1. | Names of Reporting Persons. SERIES E OF MERCED CAPITAL PARTNERS, 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 |
| 5. | Sole Voting Power | 0 | |
| Number of | |||
| Shares | 6. | Shared Voting Power | 4,735,268 |
| Beneficially | |||
| Owned by Each | |||
| Reporting | 7. | Sole Dispositive Power | 0 |
| Person With | |||
| 8. | Shared Dispositive Power | 4,735,268 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 4,735,268 |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
| 11. | Percent of Class Represented by Amount in Row (9) 5.1% |
| 12. | Type of Reporting Person: OO |
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Page 4 of 10 – SEC Filing
| CUSIP No. 88104R100 | Page 4 of 10 Pages |
| 1. | Names of Reporting Persons. DAVID A. ERICSON |
| 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 |
| 5. | Sole Voting Power | 0 | |
| Number of | |||
| Shares | 6. | Shared Voting Power | 4,735,268 |
| Beneficially | |||
| Owned by Each | |||
| Reporting | 7. | Sole Dispositive Power | 0 |
| Person With | |||
| 8. | Shared Dispositive Power | 4,735,268 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 4,735,268 |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
| 11. | Percent of Class Represented by Amount in Row (9) 5.1% |
| 12. | Type of Reporting Person: IN, HC |
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Page 5 of 10 – SEC Filing
| Page 5 of 10 Pages |
| Item 1(a). | Name of Issuer: |
| Item 1(b). | Address of Issuer’s Principal Executive Offices: |
| Item 2(a). | Name of Person Filing: |
| Item 2(b). | Address of Principal Business Office or, if None, Residence: |
| Item 2(c). | Citizenship: |
| Item 2(d). | Title of Class of Securities: |
| Item 2(e). | CUSIP Number: |
| Item 3. | If This Statement is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a: |
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Page 6 of 10 – SEC Filing
| Page 6 of 10 Pages |
| Item 4. | Ownership: |
| Item 4(a) | Amount Beneficially Owned: |
| Item 4(b) | Percent of Class: |
| Item 4(c) | Number of Shares as to which such person has: |
| (i) Sole power to vote or direct the vote: | 0 |
| (ii) Shared power to vote or direct the vote: | 4,735,268 |
| (iii) Sole power to dispose or direct the disposition of: | 0 |
| (iv) Shared power to dispose or direct the disposition of: | 4,735,268 |
| Item 5. | Ownership of Five Percent or Less of a Class: |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person: |
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: |
| Item 8. | Identification and Classification of Members of the Group: |
| Item 9. | Notice of Dissolution of Group: |
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Page 7 of 10 – SEC Filing
| Page 7 of 10 Pages |
| Item 10. | Certification: |
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Page 8 of 10 – SEC Filing
| Page 8 of 10 Pages |
| MERCED CAPITAL, L.P. | |||
| By: Series E of Merced Capital Partners, LLC, General Partner | |||
| By: | /s/ David A. Ericson | ||
| Name: | David A. Ericson | ||
| Title: | Chairman, President and Chief Executive Officer | ||
| SERIES E OF MERCED CAPITAL PARTNERS, LLC | |||
| By: | /s/ David A. Ericson | ||
| Name: | David A. Ericson | ||
| Title: | Chairman, President and Chief Executive Officer | ||
| /s/ David A. Ericson | |||
| David A. Ericson |
| August 28, 2017 |
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Page 9 of 10 – SEC Filing
| Page 9 of 10 Pages |
| Ex. | Page No. | |
| 1 | Joint Filing Agreement | 10 |
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Page 10 of 10 – SEC Filing
| Page 10 of 10 Pages |
| MERCED CAPITAL, L.P. | |||
| By: Series E of Merced Capital Partners, LLC, General Partner | |||
| By: | /s/ David A. Ericson | ||
| Name: | David A. Ericson | ||
| Title: | Chairman, President and Chief Executive Officer | ||
| SERIES E OF MERCED CAPITAL PARTNERS, LLC | |||
| By: | /s/ David A. Ericson | ||
| Name: | David A. Ericson | ||
| Title: | Chairman, President and Chief Executive Officer | ||
| /s/ David A. Ericson | |||
| David A. Ericson |
| August 28, 2017 |
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