UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
(Amendment No. 16)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-
1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
A. Schulman, Inc.
-----------------
(Name of Issuer)
Common Stock, par value $1.00 per share
---------------------------------------
(Title of Class of Securities)
808194104
---------
(CUSIP Number)
Mr. James A. Mitarotonda
c/o Barington Companies Equity Partners, L.P.
888 Seventh Avenue, 17th Floor
New York, NY 10019
(212) 974-5700
--------------
(Name, Address and Telephone Number of
Person Authorized to Receive Notices
and Communications)
March 30, 2007
--------------
(Date of Event which Requires Filing
of this Statement)
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: |_|.
(Continued on following pages)
(Page 1 of 42 Pages)
SCHEDULE 13D
CUSIP No. 808194104 Page 2 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Companies Equity Partners, L.P. 13-4088890
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
578,918
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 578,918
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
578,918
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.15%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 3 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Companies Investors, LLC 13-4126527
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 578,918
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 578,918
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
578,918
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.15%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 4 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Investments, L.P. 20-2871525
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 397,916
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 397,916
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON 397,916
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.48%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 5 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Companies Advisors, LLC 20-0327470
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 397,916
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 397,916
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
397,916
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.48%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IA, OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 6 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Companies Offshore Fund, Ltd.
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 961,950
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 961,950
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
961,950
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.57%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
CO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 7 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Offshore Advisors, LLC 20-4797640
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
(b) |X|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF none
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON none
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
none
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
none
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IA, OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 8 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Offshore Advisors II, LLC 20-8325785
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 961,950
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 961,950
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
961,950
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.57%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IA, OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 9 of 42 Pages
------------------- ------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Barington Capital Group, L.P. 13-3635132
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 1,938,784
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 1,938,784
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,938,784
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.19%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 10 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
LNA Capital Corp. 13-3635168
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 1,938,784
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 1,938,784
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,938,784
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.19%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
CO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 11 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
James A. Mitarotonda
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 1,940,784
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 1,940,784
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,940,784
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.20%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 12 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
RJG Capital Partners, L.P. 20-0133443
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 12,500
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 12,500
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
12,500
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.05%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 13 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
RJG Capital Management, LLC 20-0027325
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 12,500
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 12,500
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
12,500
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.05%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 14 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Ronald J. Gross
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 12,500
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 12,500
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
12,500
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.05%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 15 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
D.B. Zwirn Special Opportunities Fund, L.P. 73-1637217
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 14,507
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 14,507
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON 14,507
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.05%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 16 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
D.B. Zwirn Special Opportunities Fund, Ltd.
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 70,409
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 70,409
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
70,409
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.26%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
CO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 17 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
HCM/Z Special Opportunities LLC 98-0436333
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 29,412
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 29,412
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
29,412
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.11%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
CO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 18 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
D.B. Zwirn & Co., L.P. 02-0597442
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 114,328
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 114,328
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
114,328
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.42%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 19 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
DBZ GP, LLC 42-1657316
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 114,328
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 114,328
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
114,328
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.42%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 20 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Zwirn Holdings, LLC 30-0080444
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 114,328
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 114,328
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
114,328
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.42%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
SCHEDULE 13D
CUSIP No. 808194104 Page 21 of 42 Pages
------------------- -------------------
1) NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Daniel B. Zwirn
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(b) |_|
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS OO
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF 114,328
SHARES ------------------------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY none
EACH ------------------------------------------------------------------
REPORTING 9) SOLE DISPOSITIVE POWER
PERSON 114,328
WITH ------------------------------------------------------------------
10) SHARED DISPOSITIVE POWER
none
--------------------------------------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON 114,328
--------------------------------------------------------------------------------
12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.42%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
Page 22 of 42 Pages
This Amendment No. 16 amends and supplements the Schedule 13D filed with
the Securities and Exchange Commission (the "SEC") on June 6, 2005, as amended
by that certain Amendment No. 1 filed on July 1, 2005, that certain Amendment
No. 2 filed on August 3, 2005, that certain Amendment No. 3 filed on August 25,
2005, that certain Amendment No. 4 filed on September 8, 2005, that certain
Amendment No. 5 filed on September 13, 2005, that certain Amendment No. 6 filed
on September 28, 2005, that certain Amendment No. 7 filed on October 11, 2005,
that certain Amendment No. 8 filed on October 25, 2006, that certain Amendment
No. 9 filed on May 30, 2006, that certain Amendment No. 10 filed on June 1,
2006, that certain Amendment No. 11 filed on September 28, 2006, that certain
Amendment No. 12 filed on October 10, 2006, that certain Amendment No. 13 filed
on October 12, 2006, that certain Amendment No. 14 filed on October 26, 2006 and
that certain Amendment No. 15 filed on November 7, 2006 (together, the
"Statement"), by and on behalf of Barington Companies Equity Partners, L.P.
("Barington") and others with respect to the common stock, par value $1.00 per
share (the "Common Stock"), of A. Schulman, Inc., a Delaware corporation (the
"Company"). The principal executive offices of the Company are located at 3550
West Market Street, Akron, Ohio 44333.
Item 2. Identity and Background.
Item 2(a) - (c) of the Statement is hereby amended and restated as
follows:
(a) - (c) This Statement is being filed by Barington Companies Equity
Partners, L.P., Barington Companies Investors, LLC, Barington Investments, L.P.,
Barington Companies Advisors, LLC, Barington Companies Offshore Fund, Ltd.,
Barington Offshore Advisors II, LLC, Barington Capital Group, L.P., LNA Capital
Corp., James A. Mitarotonda, RJG Capital Partners, L.P., RJG Capital Management,
LLC, Ronald J. Gross, D.B. Zwirn Special Opportunities Fund, L.P., D.B. Zwirn
Special Opportunities Fund, Ltd., HCM/Z Special Opportunities LLC, D.B. Zwirn &
Co., L.P., DBZ GP, LLC, Zwirn Holdings, LLC and Daniel B. Zwirn (each, a
"Reporting Entity" and, collectively, the "Reporting Entities"). As a result of
a structural reorganization at Barington Capital Group, L.P., Barington Offshore
Advisors, LLC is no longer a beneficial owner of Common Stock of the Company.
The Reporting Entities have previously reported together with Starboard
Value & Opportunity Fund, LLC, Parche, LLC, Admiral Advisors, LLC, Ramius
Capital Group, L.L.C., C4S & Co., L.L.C., Peter A. Cohen, Morgan B. Stark,
Jeffrey M. Solomon, Thomas W. Strauss (collectively, the "Ramius Entities")
regarding their respective interests in the Common Stock because they might have
been deemed to constitute a "group" with respect to such Common Stock for
purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended
(the "Exchange Act"). On March 30, 2007, the Reporting Entities and the Ramius
Entities decided to make decisions regarding their respective investments in
shares of Common Stock independently of each other, and in particular will no
longer act together for the purpose of acquiring, holding or disposing of
securities of the Company. As a result, the Reporting Entities disclaim
membership in any "group" with the Ramius Entities, for purposes of Section
13(d)(3) of the Exchange Act or otherwise, and will no longer be filing a joint
Statement on Schedule 13D with the Ramius Entities.
Page 23 of 42 Pages
As of April 3, 2007, the Reporting Entities are the beneficial owners of,
in the aggregate, 2,067,612 shares of Common Stock, representing approximately
7.67% of the shares of Common Stock presently outstanding.
Barington Companies Equity Partners, L.P. is a Delaware limited
partnership. The principal business of Barington Companies Equity Partners, L.P.
is acquiring, holding and disposing of investments in various companies. The
address of the principal business and principal office of Barington Companies
Equity Partners, L.P. is 888 Seventh Avenue, 17th Floor, New York, New York
10019.
Barington Investments, L.P. is a Delaware limited partnership. The
principal business of Barington Investments, L.P. is acquiring, holding and
disposing of investments in various companies. The address of the principal
business and principal office of Barington Investments, L.P. is 888 Seventh
Avenue, 17th Floor, New York, New York 10019.
Barington Companies Offshore Fund, Ltd. is an international business
company organized under the laws of the British Virgin Islands. The principal
business of Barington Companies Offshore Fund, Ltd. is acquiring, holding and
disposing of investments in various companies. The address of the principal
business and principal office of Barington Companies Offshore Fund, Ltd. is c/o
Bison Financial Services Limited, Bison Court, Road Town, Tortola, British
Virgin Islands. The executive officers and directors of Barington Companies
Offshore Fund, Ltd. and their principal occupations and business addresses are
set forth on Schedule I and incorporated by reference in this Item 2.
The general partner of Barington Companies Equity Partners, L.P. is
Barington Companies Investors, LLC. Barington Companies Investors, LLC is a
Delaware limited liability company. The principal business of Barington
Companies Investors, LLC is serving as the general partner of Barington
Companies Equity Partners, L.P. The address of the principal business and
principal office of Barington Companies Investors, LLC is 888 Seventh Avenue,
17th Floor, New York, New York 10019. James A. Mitarotonda is the Managing
Member of Barington Companies Investors, LLC.
The general partner of Barington Investments, L.P. is Barington Companies
Advisors, LLC. Barington Companies Advisors, LLC is a Delaware limited liability
company. The principal business of Barington Companies Advisors, LLC is serving
as the general partner of Barington Investments, L.P. The address of the
principal business and principal office of Barington Companies Advisors, LLC is
888 Seventh Avenue, 17th Floor, New York, New York 10019. James A. Mitarotonda
is the Managing Member of Barington Companies Advisors, LLC.
The investment advisor of Barington Companies Offshore Fund, Ltd. is
Barington Offshore Advisors II, LLC. Barington Offshore Advisors II, LLC is a
Delaware limited liability company. The principal business of Barington Offshore
Advisors II, LLC is serving as the investment advisor of Barington Companies
Offshore Fund, Ltd. The address of the principal business and principal office
of Barington Offshore Advisors II, LLC is 888 Seventh Avenue, 17th Floor, New
York, New York 10019. James A. Mitarotonda is the Managing Member of Barington
Offshore Advisors II, LLC.
Page 24 of 42 Pages
Barington Companies Investors, LLC, Barington Companies Advisors, LLC and
Barington Offshore Advisors II, LLC are each majority-owned subsidiaries of
Barington Capital Group, L.P. Barington Capital Group, L.P. is a New York
limited partnership. The principal business of Barington Capital Group, L.P. is
acquiring, holding and disposing of investments in various companies. The
address of the principal business and principal office of Barington Capital
Group, L.P. is 888 Seventh Avenue, 17th Floor, New York, New York 10019.
The general partner of Barington Capital Group, L.P. is LNA Capital Corp.
LNA Capital Corp. is a Delaware corporation. The principal business of LNA
Capital Corp. is serving as the general partner of Barington Capital Group, L.P.
The address of the principal business and principal office of LNA Capital Corp.
is c/o Barington Capital Group, L.P., 888 Seventh Avenue, 17th Floor, New York,
New York 10019. James A. Mitarotonda is the sole stockholder and director of LNA
Capital Corp. The executive officers of LNA Capital Corp. and their principal
occupations and business addresses are set forth on Schedule II and incorporated
by reference in this Item 2. The principal occupation of Mr. Mitarotonda is
serving as the Chairman and Chief Executive Officer of Barington Capital Group,
L.P. The business address of Mr. Mitarotonda is c/o Barington Capital Group,
L.P., 888 Seventh Avenue, 17th Floor, New York, New York 10019.
RJG Capital Partners, L.P. is a Delaware limited partnership formed to
engage in the business of acquiring, holding and disposing of investments in
various companies. The address of the principal offices of RJG Capital Partners,
L.P. is 11517 West Hill Drive, North Bethesda, Maryland 20852.
The general partner of RJG Capital Partners, L.P. is RJG Capital
Management, LLC. RJG Capital Management, LLC is a Delaware limited liability
company formed to be the general partner of RJG Capital Partners, L.P. The
address of the principal offices of RJG Capital Management, LLC is 11517 West
Hill Drive, North Bethesda, Maryland 20852. Ronald J. Gross is the Managing
Member of RJG Capital Management, LLC. The business address of Mr. Gross is c/o
RJG Capital Management, LLC, 11517 West Hill Drive, North Bethesda, Maryland
20852.
D.B. Zwirn Special Opportunities Fund, L.P. is a Delaware limited
partnership formed to be a private investment fund. The address of the principal
business and principal office of D.B. Zwirn Special Opportunities Fund, L.P. is
745 Fifth Avenue, 18th Floor, New York, New York 10151.
D.B. Zwirn Special Opportunities Fund, Ltd. is an exempted company
organized under the laws of the Cayman Islands formed to be a private investment
fund. The address of the principal business and principal office of D.B. Zwirn
Special Opportunities Fund, Ltd. is c/o Goldman Sachs (Cayman) Trust, Limited,
P.O. Box 896 GT, George Town, Harbour Centre, 2nd Floor, Grand Cayman, Cayman
Island, British West Indies. HCM/Z Special Opportunities LLC is an exempted
company organized under the laws of the Cayman Islands formed to be used as an
investment vehicle. The address of the principal business and principal office
of HCM/Z Special Opportunities LLC is c/o Highbridge Capital Corporation,
Corporate Centre, 4th Floor, 27 Hospital Road, Grand Cayman, Cayman Islands,
British West Indies. There are no officers of D.B. Zwirn Special Opportunities
Fund, Ltd. or HCM/Z Special Opportunities LLC. The directors of D.B. Zwirn
Special Opportunities Fund, Ltd. and HCM/Z Special Opportunities LLC
Page 25 of 42 Pages
and their principal occupations and business addresses are set forth on Schedule
III and incorporated by reference in this Item 2.
The manager of D.B. Zwirn Special Opportunities Fund, L.P., D.B. Zwirn
Special Opportunities Fund, Ltd. and HCM/Z Special Opportunities LLC is D.B.
Zwirn & Co., L.P. D.B. Zwirn & Co., L.P. is a Delaware limited partnership. The
principal business of D.B. Zwirn & Co., L.P. is acting as the manager of D.B.
Zwirn Special Opportunities Fund, L.P., D.B. Zwirn Special Opportunities Fund,
Ltd. and HCM/Z Special Opportunities LLC. The address of the principal business
and principal office of D.B. Zwirn & Co., L.P. is 745 Fifth Avenue, 18th Floor,
New York, New York 10151. The general partner of D.B. Zwirn & Co., L.P. is DBZ
GP, LLC. DBZ GP, LLC is a Delaware limited liability company that acts as the
general partner of D.B. Zwirn & Co., L.P. The address of the principal business
and principal office of DBZ GP, LLC is 745 Fifth Avenue, 18th Floor, New York,
New York 10151.
The managing member of DBZ GP, LLC is Zwirn Holdings, LLC. Zwirn Holdings,
LLC is a Delaware limited liability company that acts as the managing member of
DBZ GP, LLC. The address of the principal business and principal office of Zwirn
Holdings, LLC is 745 Fifth Avenue, 18th Floor, New York, New York 10151. Daniel
B. Zwirn is the managing member of Zwirn Holdings, LLC. The business address of
Mr. Zwirn is c/o D.B. Zwirn & Co., L.P., 745 Fifth Avenue, 18th Floor, New York,
New York 10151.
The Reporting Entities do not believe that certain of the foregoing
information is called for by the Items of Schedule 13D and are disclosing it for
supplemental informational purposes only. Information with respect to each of
the Reporting Entities is given solely by such Reporting Entity and no Reporting
Entity shall have responsibility for the accuracy or completeness of information
supplied by another Reporting Entity.
Item 2(d) - (f) of the Statement is hereby amended and restated as
follows:
(d) - (e) During the last five years, none of the Reporting Entities or
any other person identified in response to this Item 2 was convicted in a
criminal proceeding (excluding traffic violations and similar misdemeanors) or
was a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such proceeding was or is subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
(f) Each natural person identified in Item 2 is a citizen of the United
States, other than Graham Cook, a director of Barington Companies Offshore Fund,
Ltd., Alison Nolan, a director of D.B. Zwirn Special Opportunities Fund, Ltd.
and Hugh Thompson, a director of HCM/Z Special Opportunities LLC, each of whom
is a citizen of the United Kingdom, and Jonathan Clipper, a director of
Barington Companies Offshore Fund, Ltd., who is a citizen of Bermuda and the
United Kingdom.
Item 3. Source and Amount of Funds or Other Consideration.
The information contained in Item 3 of the Statement is hereby amended and
supplemented as follows:
Page 26 of 42 Pages
Since the filing of the Statement, Barington Companies Equity Partners, L.P.,
Barington Investments, L.P., Barington Companies Offshore Fund, Ltd., D.B. Zwirn
Special Opportunities Fund, L.P. and D.B. Zwirn Special Opportunities Fund, Ltd.
purchased an aggregate of 340,765 shares of Common Stock. The amount of funds
expended for such purchase was approximately $1,652,864.19 by Barington
Companies Equity Partners, L.P., $714,287.16 by Barington Investments, L.P.,
$4,538,885.02 by Barington Companies Offshore Fund, Ltd., $121,785.66 by D.B.
Zwirn Special Opportunities Fund, L.P. and $175,123.58 by D.B. Zwirn Special
Opportunities Fund, Ltd.
Item 5. Interest in Securities of the Issuer.
Items 5(a) - (c) of the Statement are hereby amended and restated as
follows:
(a) As of April 3, 2007, Barington Companies Equity Partners, L.P.
beneficially owns an aggregate of 578,918 shares of Common Stock, representing
approximately 2.15% of the shares of Common Stock presently outstanding based
upon the 26,946,582 shares of Common Stock reported by the Company to be issued
and outstanding as of December 31, 2006 in its Form 10-Q filed with the
Securities and Exchange Commission on January 5, 2007 (the "Issued and
Outstanding Shares").
As of April 3, 2007, Barington Investments, L.P. beneficially owns 397,916
shares of Common Stock, representing approximately 1.48% of the Issued and
Outstanding Shares. As of April 3, 2007, Barington Companies Offshore Fund, Ltd.
beneficially owns 961,950 shares of Common Stock, representing approximately
3.57% of the Issued and Outstanding Shares. As the general partner of Barington
Companies Equity Partners, L.P., Barington Companies Investors, LLC may be
deemed to beneficially own the 578,918 shares of Common Stock beneficially owned
by Barington Companies Equity Partners, L.P., representing approximately 2.15%
of the Issued and Outstanding Shares. As the general partner of Barington
Investments, L.P., Barington Companies Advisors, LLC may be deemed to
beneficially own the 397,916 shares of Common Stock beneficially owned by
Barington Investments, L.P., representing approximately 1.48% of the Issued and
Outstanding Shares. As the investment advisor to Barington Companies Offshore
Fund, Ltd., Barington Offshore Advisors II, LLC may be deemed to beneficially
own the 961,950 shares of Common Stock beneficially owned by Barington Companies
Offshore Fund, Ltd., representing approximately 3.57% of the Issued and
Outstanding Shares. As the majority member of Barington Companies Advisors, LLC,
Barington Companies Investors, LLC and Barington Offshore Advisors II, LLC,
Barington Capital Group, L.P. may be deemed to beneficially own the 578,918
shares of Common Stock beneficially owned by Barington Companies Equity
Partners, L.P., the 397,916 shares of Common Stock beneficially owned by
Barington Investments, L.P. and the 961,950 shares of Common Stock beneficially
owned by Barington Companies Offshore Fund, Ltd., constituting an aggregate of
1,938,784 shares, representing approximately 7.19% of the Issued and Outstanding
Shares. As the general partner of Barington Capital Group, L.P., LNA Capital
Corp. may be deemed to beneficially own the 578,918
Page 27 of 42 Pages
shares of Common Stock beneficially owned by Barington Companies Equity
Partners, L.P., the 397,916 shares of Common Stock beneficially owned by
Barington Investments, L.P. and the 961,950 shares of Common Stock beneficially
owned by Barington Companies Offshore Fund, Ltd., constituting an aggregate of
1,938,784 shares of Common Stock, representing approximately 7.19% of the Issued
and Outstanding Shares. As the sole stockholder and director of LNA Capital
Corp., James A. Mitarotonda may be deemed to beneficially own the 578,918 shares
of Common Stock beneficially owned by Barington Companies Equity Partners, L.P.,
the 397,916 shares of Common Stock beneficially owned by Barington Investments,
L.P. and the 961,950 shares of Common Stock beneficially owned by Barington
Companies Offshore Fund, Ltd., constituting an aggregate of 1,938,784 shares of
Common Stock. Mr. Mitarotonda, who is a director of the Company, also
beneficially owns 2,000 shares of restricted Common Stock granted to him under
the Company's 2002 Equity Incentive Plan. As a result, Mr. Mitarotonda may be
deemed to beneficially own an aggregate of 1,940,784 shares of Common Stock,
representing approximately 7.20% of the Issued and Outstanding Shares. Mr.
Mitarotonda has sole voting and dispositive power with respect to the 578,918
shares of Common Stock beneficially owned by Barington Companies Equity
Partners, L.P., the 397,916 shares of Common Stock beneficially owned by
Barington Investments, L.P. and the 961,950 shares of Common Stock beneficially
owned by Barington Companies Offshore Fund, Ltd. Mr. Mitarotonda disclaims
beneficial ownership of any such shares except to the extent of his pecuniary
interest therein. Mr. Mitarotonda has sole voting and dispositive power with
respect to the 2,000 shares of restricted Common Stock beneficially owned by
him.
As of April 3, 2007, RJG Capital Partners, L.P. beneficially owns 12,500
shares of Common Stock, representing approximately 0.05% of the Issued and
Outstanding Shares. As the general partner of RJG Capital Partners, L.P., RJG
Capital Management, LLC may be deemed to beneficially own the 12,500 shares
owned by RJG Capital Partners, L.P., representing approximately 0.05% of the
Issued and Outstanding Shares. As the managing member of RJG Capital Management,
LLC, which in turn is the general partner of RJG Capital Partners, L.P., Ronald
J. Gross may be deemed to beneficially own the 12,500 shares owned by RJG
Capital Partners, L.P., representing approximately 0.05% of the Issued and
Outstanding Shares. Mr. Gross has sole voting and dispositive power with respect
to the 12,500 shares owned by RJG Capital Partners, L.P. by virtue of his
authority to vote and dispose of such shares. Mr. Gross disclaims beneficial
ownership of any such shares except to the extent of his pecuniary interest
therein.
As of April 3, 2007, D.B. Zwirn Special Opportunities Fund, L.P.
beneficially own 14,507 shares of Common Stock, representing approximately 0.05%
of the Issued and Outstanding Shares. As of April 3, 2007, each of D.B. Zwirn
Special Opportunities Fund, Ltd. and HCM/Z Special Opportunities LLC
beneficially own 70,409 shares and 29,412 shares of Common Stock, respectively,
representing approximately 0.26% and 0.11%, respectively, of the Issued and
Outstanding Shares.
As the manager of D.B. Zwirn Special Opportunities Fund, L.P., D.B. Zwirn
Special Opportunities Fund, Ltd. and HCM/Z Special Opportunities LLC, D.B. Zwirn
& Co., L.P. may be deemed to beneficially own the 14,507 shares of Common Stock
beneficially owned by D.B. Zwirn Special Opportunities Fund, L.P., the 70,409
shares of Common Stock beneficially owned by D.B. Zwirn Special Opportunities
Fund, Ltd. and the 29,412 shares of Common Stock beneficially owned by HCM/Z
Special Opportunities LLC, constituting an aggregate of 114,328 shares,
representing approximately 0.42% of the Issued and Outstanding Shares. As
general partner of D.B. Zwirn & Co., L.P., DBZ GP, LLC may be deemed to
beneficially own the 14,507 shares of Common Stock beneficially owned by D.B.
Zwirn Special Opportunities Fund, L.P., the 70,409 shares of Common Stock
beneficially owned by D.B. Zwirn Special Opportunities Fund, Ltd. and the 29,412
shares of Common Stock beneficially owned by HCM/Z Special Opportunities LLC,
constituting an aggregate of 114,328 shares, representing approximately 0.42% of
the Issued and Outstanding Shares. As the managing member of DBZ GP, LLC, Zwirn
Holdings, LLC may be deemed to beneficially own the 14,507 shares of Common
Stock beneficially owned by D.B. Zwirn Special Opportunities Fund, L.P., the
70,409 shares of Common Stock beneficially owned by D.B. Zwirn Special
Opportunities Fund, Ltd. and the 29,412 shares of Common Stock beneficially
owned by HCM/Z Special
Page 28 of 42 Pages
Opportunities LLC, constituting an aggregate of 114,328 shares, representing
approximately 0.42% of the Issued and Outstanding Shares. As the managing member
of Zwirn Holdings, LLC, Daniel B. Zwirn may be deemed to beneficially own the
14,507 shares of Common Stock beneficially owned by D.B. Zwirn Special
Opportunities Fund, L.P., the 70,409 shares of Common Stock beneficially owned
by D.B. Zwirn Special Opportunities Fund, Ltd. and the 29,412 shares of Common
Stock beneficially owned by HCM/Z Special Opportunities LLC, constituting an
aggregate of 114,328 shares, representing approximately 0.42% of the Issued and
Outstanding Shares. Mr. Zwirn disclaims beneficial ownership of such shares
except to the extent of his pecuniary interest therein.
The Reporting Entities do not believe that certain of the foregoing
information is called for by the Items of Schedule 13D and are disclosing it for
supplemental informational purposes only. Information with respect to each of
the Reporting Entities is given solely by such Reporting Entity and no Reporting
Entity shall have responsibility for the accuracy or completeness of information
supplied by another Reporting Entity.
(b) Each of the Reporting Entities may be deemed to have sole voting and
dispositive power over the shares of Common Stock reported as beneficially owned
by such person by virtue of their respective positions as described in paragraph
(a).
Each of the other Reporting Entities may be deemed to have sole voting and
dispositive power with respect to the shares each reports as beneficially owned
by such person, regardless of the fact that multiple Reporting Entities within
the same chain of ownership report sole voting and dispositive power with
respect to such shares. Each such Reporting Entity reports sole voting and
dispositive power with respect to such shares based on such person's
relationship to the other Reporting Entities within the same chain of ownership.
Except to the extent expressly stated herein, each Reporting Entity disclaims
beneficial ownership of any shares of Common Stock beneficially owned by any
other Reporting Entity.
(c) Information concerning all transactions in shares of Common Stock
effected by the Reporting Persons since the filing of the Statement are
described in Schedule IV attached hereto and incorporated herein by reference.
Item 6. Contracts, Arrangements, Understanding or Relationships With Respect to
Securities of the Issuer.
Item 6 of the Statement is hereby amended and restated as follows:
The Reporting Entities are parties to an agreement with respect to the
joint filing of this Statement and any amendments thereto, a copy of which is
attached hereto as Exhibit 99.22 and incorporated by reference herein.
Page 29 of 42 Pages
Barington Companies Advisors, LLC is compensated for its services as the
general partner of Barington Investments, L.P. by an affiliate of Millennium
Partners, L.P., the limited partner of Barington Investments, L.P.
Affiliates of Barington Capital Group, L.P. pay a monthly consulting fee
to RJG Capital Management, LLC for certain consulting services RJG Capital
Management, LLC provides to Barington Companies Equity Partners, L.P. The
arrangement with respect to the foregoing is pursuant to a verbal agreement
between the parties.
Barington Companies Advisors, LLC or one or more of its affiliates expect
to receive from D.B. Zwirn Special Opportunities Fund, L.P. and/or its
affiliates a fee with respect to certain profits D.B. Zwirn Special
Opportunities Fund, L.P. and/or its affiliates may derive from their investment
in the Common Stock of the Company.
Barington Capital Group, L.P. or one or more of its affiliates expect to
receive from Starboard Value & Opportunity Fund, LLC and Parche, LLC a fee with
respect to certain profits those entities may derive from their investment in
the Common Stock of the Company. A written agreement between the parties with
respect to the foregoing has not been formalized.
Item 7. Material to be Filed as Exhibits.
The information contained in Item 7 of the Statement is hereby amended and
supplemented as follows:
Exhibit No. Exhibit Description Page
--------------------------------------------------------------------------------
99.22 Agreement of Joint Filing among Barington Companies 39 to 42
Equity Partners, L.P., Barington Companies Investors,
LLC, Barington Investments, L.P., Barington Companies
Advisors, LLC, Barington Companies Offshore Fund, Ltd.,
Barington Offshore Advisors II, LLC, Barington Capital
Group, L.P., LNA Capital Corp., James A. Mitarotonda,
RJG Capital Partners, L.P., RJG Capital Management,
LLC, Ronald J. Gross, D.B. Zwirn Special Opportunities
Fund, L.P., D.B. Zwirn Special Opportunities Fund,
Ltd., HCM/Z Special Opportunities LLC, D.B. Zwirn &
Co., L.P., DBZ GP, LLC, Zwirn Holdings, LLC and Daniel
B. Zwirn dated April 4, 2007 which supersedes and
replaces the Agreement of Joint Filing dated November
6, 2006, as previously filed as Exhibit 99.21 to the
Schedule 13D Amendment No. 15 filed with the SEC on
November 7, 2006).
--------------------------------------------------------------------------------
Page 30 of 42 Pages
SIGNATURES
After reasonable inquiry and to the best knowledge and belief of the
undersigned, the undersigned certify that the information set forth in this
Statement is true, complete and correct.
Dated: April 4, 2006
BARINGTON COMPANIES EQUITY PARTNERS, L.P.
By: Barington Companies Investors,
LLC, its general partner
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: Managing Member
BARINGTON COMPANIES INVESTORS, LLC
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: Managing Member
BARINGTON INVESTMENTS, L.P.
By: Barington Companies Advisors, LLC,
its general partner
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: Managing Member
BARINGTON COMPANIES ADVISORS, LLC
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: Managing Member
BARINGTON COMPANIES OFFSHORE FUND, LTD.
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: President
Page 31 of 42 Pages
BARINGTON OFFSHORE ADVISORS II, LLC
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: Managing Member
BARINGTON CAPITAL GROUP, L.P.
By: LNA Capital Corp., its general
partner
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: President and CEO
LNA CAPITAL CORP.
By: /s/ James A. Mitarotonda
---------------------------------
Name: James A. Mitarotonda
Title: President and CEO
/s/ James A. Mitarotonda
-------------------------------------
James A. Mitarotonda
RJG CAPITAL PARTNERS, L.P.
By: RJG Capital Management, LLC,
its general partner
By: /s/ Ronald J. Gross
---------------------------------
Name: Ronald J. Gross
Title: Managing Member
RJG CAPITAL MANAGEMENT, LLC
By: /s/ Ronald J. Gross
---------------------------------
Name: Ronald J. Gross
Title: Managing Member
Page 32 of 42 Pages
/s/ Ronald J. Gross
-------------------------------------
Ronald J. Gross
D.B. ZWIRN SPECIAL OPPORTUNITIES FUND,
L.P. By: D.B. Zwirn Partners, LLC, its
general partner
By: Zwirn Holdings, LLC, its managing
member
By: /s/ Daniel B. Zwirn
---------------------------------
Name: Daniel B. Zwirn
Title: Managing Member
D.B. ZWIRN SPECIAL OPPORTUNITIES FUND,
LTD. By: D.B. Zwirn & Co., L.P.,
its manager
By: DBZ GP, LLC, its general partner
By: Zwirn Holdings, LLC, its managing
member
By: /s/ Daniel B. Zwirn
---------------------------------
Name: Daniel B. Zwirn
Title: Managing Member
HCM/Z SPECIAL OPPORTUNITIES LLC
By: D.B. Zwirn & Co., L.P., its manager
By: DBZ GP, LLC, its general partner
By: Zwirn Holdings, LLC, its managing
member
By: /s/ Daniel B. Zwirn
---------------------------------
Name: Daniel B. Zwirn
Title: Managing Member
D.B. ZWIRN & CO., L.P.
By: DBZ GP, LLC, its general partner
By: Zwirn Holdings, LLC, its managing
member
Page 33 of 42 Pages
By: /s/ Daniel B. Zwirn
---------------------------------
Name: Daniel B. Zwirn
Title: Managing Member
DBZ GP, LLC
By: Zwirn Holdings, LLC, its managing
member
By: /s/ Daniel B. Zwirn
---------------------------------
Name: Daniel B. Zwirn
Title: Managing Member
ZWIRN HOLDINGS, LLC
By: /s/ Daniel B. Zwirn
---------------------------------
Name: Daniel B. Zwirn
Title: Managing Member
/s/ Daniel B. Zwirn
-------------------------------------
Daniel B. Zwirn
Page 34 of 42 Pages
SCHEDULE I
Directors and Officers of Barington Companies Offshore Fund, Ltd.
Principal
Name and Position Principal Occupation Business Address
----------------- -------------------- ------------------------
James A. Mitarotonda Chairman and Chief Executive 888 Seventh Avenue
Director and President Officer of Barington Capital 17th Floor
Group, L.P. New York, NY 10019
Sebastian E. Cassetta Senior Managing Director and 888 Seventh Avenue
Director Chief Operating Officer of 17th Floor
Barington Capital Group, L.P. New York, NY 10019
Jonathan Clipper Managing Director of 7 Reid Street, Suite 108
Director Bedford Management Ltd. Hamilton HM11, Bermuda
Graham Cook Director/Manager, Corporate Bison Court
Director Services of Byson Financial P.O. Box 3460
Services, Ltd. Road Town, Tortola
British Virgin Islands
Citigroup Fund Fund Administration Washington Mall 1,
Services, Ltd. 3rd Flr.
Secretary 22 Church Street
Hamilton HM11, Bermuda
Melvyn Brunt Chief Financial Officer of 888 Seventh Avenue
Treasurer Barington Capital Group, L.P. 17th Floor
New York, NY 10019
Page 35 of 42 Pages
SCHEDULE II
Officers of LNA Capital Corp.
Principal
Name and Position Principal Occupation Business Address
----------------- -------------------- ------------------------
James A. Mitarotonda Chairman and Chief Executive 888 Seventh Avenue
President and CEO Officer of Barington Capital 17th Floor
Group, L.P. New York, NY 10019
Sebastian E. Cassetta Senior Managing Director and 888 Seventh Avenue
Secretary Chief Operating Officer of 17th Floor
Barington Capital Group, L.P. New York, NY 10019
Melvyn Brunt Chief Financial Officer of 888 Seventh Avenue
Treasurer Barington Capital Group, L.P. 17th Floor
New York, NY 10019
Page 36 of 42 Pages
SCHEDULE III
Directors of D.B. Zwirn Special Opportunities Fund, Ltd.
Principal
Name and Position Principal Occupation Business Address
----------------- -------------------- ------------------------
Daniel B. Zwirn Managing Partner of D.B. 745 Fifth Avenue
Director Zwirn & Co., L.P. 18th Floor
New York, NY 10151
Alison Nolan Managing Director of Athena Ugland House,
Director International Management 113 South Church
Limited Street, George Town,
Grand Cayman
Directors of HCM/Z Special Opportunities LLC
Principal
Name and Position Principal Occupation Business Address
----------------- -------------------- ------------------------
Glenn R. Dubin Managing Member/Co-Founder of 9 West 57th Street
Director Highbridge Capital Management 27th Floor
and Co-Chairman of Dubin & New York, NY 10019
Swieca Capital Management
Hugh G. Thompson Senior Vice President of PO Box 1093GT
Director Maples Finance Limited Queensgate House
South Church Street,
George Town
Grand Cayman,
Cayman Islands
Page 37 of 42 Pages
SCHEDULE IV
This schedule sets forth information with respect to each purchase
and sale of Common Stock which was effectuated by a Reporting Entity since the
filing of the Statement. All transactions were effectuated in open market
transactions through a broker.
Shares purchased by Barington Companies Equity Partners, L.P.
Number of
Date Shares Price Per Share Cost(*)
---- ---------- --------------- ---------------
11/27/2006 12,289 $22.730 $279,328.97
11/28/2006 6,655 $22.564 $150,163.42
11/29/2006 306 $22.461 $6,873.07
1/9/2007 10,508 $19.860 $208,688.88
1/10/2007 4,095 $19.759 $80,913.11
1/16/2007 16,595 $20.753 $344,396.04
1/17/2007 11,616 $20.718 $240,660.29
1/18/2007 16,595 $20.599 $341,840.41
Shares purchased by Barington Investments, L.P.
Number of
Date Shares Price Per Share Cost(*)
---- ---------- --------------- ---------------
11/27/2006 5,012 $22.730 $113,922.76
11/28/2006 2,705 $22.564 $61,035.62
11/29/2006 124 $22.461 $2,785.16
1/9/2007 3,766 $19.860 $74,792.76
1/10/2007 1,468 $19.759 $29,006.21
1/16/2007 6,020 $20.753 $124,933.06
1/17/2007 4,214 $20.718 $87,305.65
2/23/2007 2,620 $21.215 $55,583.30
2/26/2007 2,657 $21.205 $56,341.69
2/27/2007 5,223 $20.789 $108,580.95
Shares purchased by Barington Companies Offshore Fund, Ltd.
Number of
Date Shares Price Per Share Cost(*)
---- ---------- --------------- ---------------
11/17/2006 8,000 $23.508 $188,064.00
11/27/2006 32,699 $22.730 $743,248.27
11/28/2006 10,240 $22.564 $231,055.36
11/29/2006 470 $22.461 $10,556.67
1/9/2007 16,170 $19.860 $321,136.20
1/10/2007 6,301 $19.759 $124,501.46
1/16/2007 25,535 $20.753 $529,927.86
1/17/2007 17,875 $20.718 $370,334.25
1/18/2007 25,535 $20.599 $525,995.47
2/23/2007 17,753 $21.215 $376,629.90
2/26/2007 18,005 $21.205 $381,796.03
2/27/2007 35,386 $20.789 $735,639.55
Page 38 of 42 Pages
Shares purchased by D.B. Zwirn Special Opportunities Fund, L.P.
Number of
Date Shares Price Per Share Cost(*)
---- ---------- --------------- ---------------
01/16/07 759 $20.7533 $15,751.75
01/17/07 531 $20.7184 $11,001.47
01/18/07 3,227 $20.5985 $66,471.36
02/23/07 340 $21.2153 $7,213.20
02/26/07 344 $21.2050 $7,294.52
02/27/07 676 $20.7890 $14,053.36
Shares purchased by D.B. Zwirn Special Opportunities Fund, Ltd.
Number of
Date Shares Price Per Share Cost(*)
---- ---------- --------------- ---------------
01/16/07 1,091 $20.7533 $22,641.85
01/17/07 764 $20.7184 $15,828.86
01/18/07 4,643 $20.5985 $95,638.84
02/23/07 487 $21.2153 $10,331.85
02/26/07 494 $21.2050 $10,475.27
02/27/07 972 $20.7890 $20,206.91
----------
(*) Excludes commissions and other execution-related costs.