UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. )1
Advanced Analogic Technologies Incorporated
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
00752J108
(CUSIP Number)
STEVEN WOLOSKY, ESQ.
OLSHAN GRUNDMAN FROME ROSENZWEIG & WOLOSKY LLP
Park Avenue Tower
65 East 55th Street
New York, New York 10022
(212) 451-2300
Authorized to Receive Notices and Communications)
July 29, 2010
(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 §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨.
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.
_______________
1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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. 00752J108
1 | NAME OF REPORTING PERSON DIALECTIC CAPITAL MANAGEMENT, LLC | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS AF | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS 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 2,208,592 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 2,208,592 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,208,592 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.2% | ||
14 | TYPE OF REPORTING PERSON IA, OO |
2
CUSIP NO. 00752J108
1 | NAME OF REPORTING PERSON DIALECTIC CAPITAL PARTNERS, LP | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS 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 494,659 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 494,659 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 494,659 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.2% | ||
14 | TYPE OF REPORTING PERSON PN |
3
CUSIP NO. 00752J108
1 | NAME OF REPORTING PERSON DIALECTIC OFFSHORE, LTD. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS 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 328,386 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 328,386 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 328,386 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 1% | ||
14 | TYPE OF REPORTING PERSON CO |
4
CUSIP NO. 00752J108
1 | NAME OF REPORTING PERSON DIALECTIC ANTITHESIS PARTNERS, LP | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS 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 808,279 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 808,279 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 808,279 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.9% | ||
14 | TYPE OF REPORTING PERSON PN |
5
CUSIP NO. 00752J108
1 | NAME OF REPORTING PERSON DIALECTIC ANTITHESIS OFFSHORE, LTD. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS WC | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS 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 577,268 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 577,268 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 577,268 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.4% | ||
14 | TYPE OF REPORTING PERSON CO |
6
CUSIP NO. 00752J108
1 | NAME OF REPORTING PERSON JOHN FICHTHORN | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS AF | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ¨ | |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER - 0 - | |
8 | SHARED VOTING POWER 2,208,592 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 2,208,592 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,208,592 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.2% | ||
14 | TYPE OF REPORTING PERSON IN, HC |
7
CUSIP NO. 00752J108
1 | NAME OF REPORTING PERSON LUKE FICHTHORN | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | SOURCE OF FUNDS AF | ||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ¨ | |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER - 0 - | |
8 | SHARED VOTING POWER 2,208,592 | ||
9 | SOLE DISPOSITIVE POWER - 0 - | ||
10 | SHARED DISPOSITIVE POWER 2,208,592 | ||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,208,592 | ||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o | |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.2% | ||
14 | TYPE OF REPORTING PERSON IN, HC |
8
CUSIP NO. 00752J108
The following constitutes the Schedule 13D filed by the undersigned (the “Schedule 13D”).
Item 1. | Security and Issuer |
This statement relates to the Common Stock, par value $0.001 per share (the “Shares”), of Advanced Analogic Technologies Incorporated (the “Issuer”). The address of the principal executive offices of the Issuer is 3230 Scott Boulevard, Santa Clara, California 95054.
Item 2. | Identity and Background. |
(a) This Schedule 13D is being filed by Dialectic Capital Management, LLC, a Delaware limited liability company (the “Investment Manager”), the investment manager of Dialectic Capital Partners, LP., a Delaware limited partnership (“DCP”), Dialectic Offshore, Ltd., a Cayman Islands exempted company (“DOF”), Dialectic Antithesis Partners, LP, a Delaware limited partnership (“DAP”), Dialectic Antithesis Offshore, Ltd., a Cayman Islands exempted company (“DAO”), John Fichthorn, a natural person who is a U.S. citizen (“JF”), and a managing member of the Investment Manager and Luke Fichthorn, a natural person who is a U.S. citizen (“LF”), and a managing member of the Investment Manager (the Investment Manager, DCP, DOF, DAP, DAO, JF, AND LF, colle ctively the “Reporting Persons”).
(b) The principal business address for each of the Investment Manager, DCP, DAP, JF and LF is 875 Third Avenue, 15th Floor, New York, New York 10022. The principal business address for DOF and DAO is c/o Goldman Sachs Administration Services, Hardwicke House, 2nd Floor, Hatch Street, Dublin 2, Ireland.
(c) The principal business of DCP, DOF, DAP and DAO is investing in securities. The principal business of the investment manager is providing investment advice. The principal occupation of JF and LF is investment management. Information with respect to the officers and directors of DOF and DAO is attached as Schedule B to this Schedule 13D.
JF and LF are the managing members of the Investment Manager and, as a result, each of JF and LF may be deemed to control such entity. Accordingly, each of JF and LF may be deemed to have a beneficial interest in the Shares by virtue of the Investment Manager’s role as investment manager to DCP, DOF, DAP and DAO and the Investment Manager’s power to vote and/or dispose of the Shares. Each of the Investment Manager, JF and LF disclaim beneficial ownership of the Shares owned by DCP, DOF, DAP and DAO except to the extent of his respective pecuniary interest, if any, therein.
(d) None of the Reporting Persons and directors listed on Annex A has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) during the last five years.
(e) None of the Reporting Persons or officers and directors listed on Schedule B has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction during the last five years, and no Reporting Person 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.
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CUSIP NO. 00752J108
Item 3. | Source and Amount of Funds or Other Consideration. |
The Shares purchased by DCP, DOF, DAP and DAO were purchased with working capital (no borrowed funds were used to purchase the Shares, other than any borrowed funds used for working capital purposes in the ordinary course of business) in open market purchases. The aggregate purchase cost of the 2,208,592 Shares beneficially owned in the aggregate by DCP, DOF, DAP and DAO is $8,193,588.
Item 4. | Purpose of Transaction. |
The Reporting Persons purchased the Shares based on the Reporting Persons’ belief that the Shares, when purchased, were undervalued and represented an attractive investment opportunity. Depending upon overall market conditions, other investment opportunities available to the Reporting Persons, and the availability of Shares at prices that would make the purchase or sale of Shares desirable, the Reporting Persons may endeavor to increase or decrease their position in the Issuer through, among other things, the purchase or sale of Shares in the open market or in private transactions or otherwise, on such terms and at such times as the Reporting Persons may deem advisable.
No Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D except as set forth herein or such as would occur upon completion of any of the actions discussed herein. The Reporting Persons intend to review their investment in the Issuer on a continuing basis. Depending on various factors including, without limitation, the Issuer's financial position and investment strategy, the price levels of the Shares, conditions in the securities markets and general economic and industry conditions, the Reporting Persons may in the future take such actions with respect to their investment in the Issuer as they deem appropriate including, without limitation, communications with management and the Board of the Issuer, engaging in discussions with other stockholders and third parties about the Issuer and the Reporting Persons’ investment, making proposals to the Issuer concerning changes to the capitalization, ownership structure or operations of the Issuer, purchasing additional Shares, selling some or all of their Shares, engaging in short selling of or any hedging or similar transaction with respect to the Shares, or changing their intention with respect to any and all matters referred to in Item 4.
Item 5. | Interest in Securities of the Issuer. |
The aggregate percentage of Shares reported owned by each person named herein is based upon 42,112,625 Shares outstanding, as of July 26, 2010, which is the total number of Shares outstanding as reported in the Issuer’s Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission on July 30, 2010.
(a, b) | As of the date hereof, the Investment Manager may be deemed to be the beneficial owner of 2,208,592 Shares, constituting approximately 5.2% of the Shares outstanding. |
The Investment Manager has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 2,208,592 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 2,208,592 Shares. |
The Investment Manager specifically disclaims beneficial ownership in the Shares reported herein except to the extent of its pecuniary interest therein. |
(a, b) | As of the date hereof, DCP may be deemed to be the beneficial owner of 494,659 Shares, constituting approximately 1.2% of the Shares outstanding. |
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CUSIP NO. 00752J108
DCP has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 494,659 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 494,659 Shares. |
DCP specifically disclaims beneficial ownership in the Shares reported herein except to the extent of its pecuniary interest therein. |
In addition, DCP, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed to be the beneficial owner of the Shares beneficially owned in the aggregate by the other members of the group reported herein. DCP specifically disclaims beneficial ownership of such Shares, except to the extent of its pecuniary interest therein. |
(a, b) | As of the date hereof, DOF may be deemed to be the beneficial owner of 328,386 Shares, constituting less than one percent of the Shares outstanding. |
DOF has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 328,386 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 328,386 Shares. |
DOF specifically disclaims beneficial ownership in the Shares reported herein except to the extent of its pecuniary interest therein. |
In addition, DOF, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed to be the beneficial owner of the Shares beneficially owned in the aggregate by the other members of the group reported herein. DOF specifically disclaims beneficial ownership of such Shares, except to the extent of its pecuniary interest therein. |
(a, b) | As of the date hereof, DAP may be deemed to be the beneficial owner of 808,279 Shares, constituting approximately 1.9% of the Shares outstanding. |
DAP has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 808,279 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 808,279 Shares. |
DAP specifically disclaims beneficial ownership in the Shares reported herein except to the extent of its pecuniary interest therein. |
In addition, DAP, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed to be the beneficial owner of the Shares beneficially owned in the aggregate by the other members of the group reported herein. DAP specifically disclaims beneficial ownership of such Shares, except to the extent of its pecuniary interest therein. |
(a, b) | As of the date hereof, DAO may be deemed to be the beneficial owner of 577,268 Shares, constituting approximately 1.4% of the Shares outstanding. |
11
CUSIP NO. 00752J108
DAO has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 577,268 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 577,268 Shares. |
DAO specifically disclaims beneficial ownership in the Shares reported herein except to the extent of its pecuniary interest therein. |
In addition, DAO, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed to be the beneficial owner of the Shares beneficially owned in the aggregate by the other members of the group reported herein. DAO specifically disclaims beneficial ownership of such Shares, except to the extent of its pecuniary interest therein. |
(a, b) | As of the date hereof, JF may be deemed to be the beneficial owner of 2,208,592 Shares, constituting approximately 5.2% of the Shares outstanding. |
JF has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 2,208,592 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 2,208,592 Shares. |
JF specifically disclaims beneficial ownership in the Shares reported herein except to the extent of his pecuniary interest therein. |
(a, b) | As of the date hereof, LF may be deemed to be the beneficial owner of 2,208,592 Shares, constituting approximately 5.2% of the Shares outstanding. |
LF has the sole power to vote or direct the vote of 0 Shares; has the shared power to vote or direct the vote of 2,208,592 Shares; has sole power to dispose or direct the disposition of 0 Shares; and has shared power to dispose or direct the disposition of 2,208,592 Shares. |
LF specifically disclaims beneficial ownership in the Shares reported herein except to the extent of his pecuniary interest therein. |
(c) | The trading dates, number of Shares purchased and price per share for all transactions in the Shares by the Reporting Persons in the past 60 days are set forth in Schedule A. All such transactions were effected in open market transactions with brokers, except where indicated. |
(d) | No person other than the Reporting Persons is known to have the right to receive, or the power to direct the receipt of dividends from, or proceeds from the sale of, the Shares. |
(e) | Not applicable |
Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. |
On August 9, 2010, the Reporting Persons entered into a Joint Filing Agreement in which the Reporting Persons agreed to the joint filing on behalf of each of them of statements on Schedule 13D, with respect to securities of the Issuer, to the extent required by applicable law. The Joint Filing Agreement is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
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CUSIP NO. 00752J108
Item 7. | Material to be Filed as Exhibits. |
Exhibit 99.1 | Joint Filing Agreement by and among Dialectic Capital Management, LLC, Dialectic Capital Partners, LP, Dialectic Offshore, Ltd., Dialectic Antithesis Partners, LP, Dialectic Antithesis Offshore, Ltd., John Fichthorn and Luke Fichthorn, dated August 9, 2010. |
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CUSIP NO. 00752J108
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.
Dated: August 9, 2010
DIALECTIC CAPITAL PARTNERS, LP | |||
By: | Dialectic Capital, LLC, its general partner | ||
By: | /s/ John Fichthorn | ||
Name: | John Fichthorn | ||
Title: | Managing Member |
DIALECTIC CAPITAL MANAGEMENT, LLC | |||
By: | /s/ John Fichthorn | ||
Name: | John Fichthorn | ||
Title: | Managing Member |
DIALECTIC OFFSHORE, LTD. | |||
By: | /s/ John Fichthorn | ||
Name: | John Fichthorn | ||
Title: | Director |
DIALECTIC ANTITHESIS PARTNERS, LP | |||
By: | Dialectic Capital, LLC, its general partner | ||
By: | /s/ John Fichthorn | ||
Name: | John Fichthorn | ||
Title: | Managing Member |
DIALECTIC ANTITHESIS OFFSHORE, LTD. | |||
By: | /s/ John Fichthorn | ||
Name: | John Fichthorn | ||
Title: | Director |
/s/ John Fichthorn | |
JOHN FICHTHORN |
/s/ Luke Fichthorn | |
LUKE FICHTHORN |
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CUSIP NO. 00752J108
SCHEDULE A
Transactions in the Shares During the Past 60 Days
Shares of Common Stock Purchased/(Sold) | Price Per Share($) | Date of Purchase/Sale |
DIALECTIC CAPITAL PARTNERS, LP
4,098 | 3.4670 | 06/01/2010 | |
12,890 | 3.7000 | 06/03/2010 | |
8,379 | 3.7300 | 06/03/2010 | |
4,511 | 3.7121 | 06/03/2010 | |
18 | 3.1696 | 07/01/2010 | |
309 | 3.1701 | 07/01/2010 | |
6,610 | 3.4121 | 07/15/2010 | |
53,590 | 3.4150 | 07/16/2010 | |
9,743 | 3.4444 | 07/19/2010 | |
200 | 3.1936 | 07/29/2010 | |
31,100 | 3.2000 | 07/29/2010 |
DIALECTIC OFFSHORE, LTD.
837 | 3.4670 | 06/01/2010 | |
4,985 | 3.7300 | 06/03/2010 | |
7,670 | 3.7000 | 06/03/2010 | |
2,685 | 3.7121 | 06/03/2010 | |
1,482 | 3.1696 | 07/01/2010 | |
26,197 | 3.1701 | 07/01/2010 | |
4,300 | 3.4121 | 07/15/2010 | |
35,500 | 3.4150 | 07/16/2010 | |
6,400 | 3.4444 | 07/19/2010 | |
100 | 3.1936 | 07/29/2010 | |
20,600 | 3.2000 | 07/29/2010 |
DIALECTIC ANTITHESIS OFFSHORE, LTD.
3,769 | 3.4670 | 06/01/2010 | |
37,980 | 3.7000 | 06/03/2010 | |
24,687 | 3.7300 | 06/03/2010 | |
13,293 | 3.7121 | 06/03/2010 | |
(117,433) | 3.1710 | 07/01/2010 | |
400 | 3.1936 | 07/29/2010 | |
67,500 | 3.2000 | 07/29/2010 |
DIALECTIC ANTITHESIS PARTNERS, LP
15,981 | 3.4670 | 06/01/2010 | |
26,949 | 3.7300 | 06/03/2010 | |
14,511 | 3.7121 | 06/03/2010 | |
41,460 | 3.7000 | 06/03/2010 | |
(20,481) | 3.1710 | 07/01/2010 | |
94,800 | 3.2000 | 07/29/2010 | |
610 | 3.1935 | 07/29/2010 |
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CUSIP NO. 00752J108
DIALECTIC CAPITAL MANAGEMENT, LLC
NONE
JOHN FICHTHORN
NONE
LUKE FICHTHORN
NONE
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CUSIP NO. 00752J108
SCHEDULE B
Directors of Dialectic Offshore, Ltd.
Name and Position | Principal Occupation | Principal Business Address | Citizenship | |||
John Fichthorn Director | Managing Member of Dialectic Capital Management, LLC | 875 Third Avenue, 15th Floor New York, New York 10022 | United States | |||
Scott Dakers Director | Manager Fiduciary Services at Ogier Fiduciary Services, Ltd | Ogier Fiduciary Services, Ltd 89 Nexus Way, Camana Bay Grand Cayman KY1-9007 Cayman Islands | United Kingdom | |||
Inderjit Singh Director | Manager Fiduciary Services at Ogier Fiduciary Services, Ltd | Ogier Fiduciary Services, Ltd 89 Nexus Way, Camana Bay Grand Cayman KY1-9007 Cayman Islands | United Kingdom |
Directors of Dialectic Antithesis Offshore, Ltd.
Name and Position | Principal Occupation | Principal Business Address | Citizenship | |||
John Fichthorn Director | Managing Member of Dialectic Capital Management, LLC | 875 Third Avenue, 15th Floor New York, New York 10022 | United States | |||
Scott Dakers Director | Manager Fiduciary Services at Ogier Fiduciary Services, Ltd | Ogier Fiduciary Services, Ltd 89 Nexus Way, Camana Bay Grand Cayman KY1-9007 Cayman Islands | United Kingdom | |||
Inderjit Singh Director | Manager Fiduciary Services at Ogier Fiduciary Services, Ltd | Ogier Fiduciary Services, Ltd 89 Nexus Way, Camana Bay Grand Cayman KY1-9007 Cayman Islands | United Kingdom |
17