| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/03/2019 | 3. Issuer Name and Ticker or Trading Symbol FTD Companies, Inc. [ FTD ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock par value $0.0001 per share | 3,710,763 | I | Please see footnotes below.(1)(2) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Option (Right to buy) | 03/14/2019 | 06/21/2019 | FTD Common Stock, par value $0.0001 per share | 250,000 | 2.5 | I | Please see footnotes below.(3)(4) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. Nantahala Capital Management, LLC ("NCM") may be deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser. |
| 2. Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM and Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
| 3. Nantahala Capital Management, LLC ("NCM") may be deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser. |
| 4. Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM and Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
| /s/ Paul E. Rehm, Compliance Officer | 05/10/2019 | |
| /s/ Wilmot B. Harkey | 05/10/2019 | |
| /s/ Daniel Mack | 05/10/2019 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
