Initial Statement of Beneficial Ownership (3)
July 03 2018 - 2:39PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
*
Tobia Alfred Victor Jr.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/19/2018
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3. Issuer Name
and
Ticker or Trading Symbol
ACACIA RESEARCH CORP [ACTG]
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(Last)
(First)
(Middle)
520 NEWPORT CENTER DRIVE, 12TH FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
NEWPORT BEACH, CA 92660
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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201664
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I
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By Sidus Investment Management, LLC
(1)
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Common Stock
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177957
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I
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By Sidus Invenstment Partners, L.P.
(2)
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Common Stock
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487235
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I
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By Sidus Douple Alpha Fund, L.P.
(3)
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Common Stock
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223144
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I
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By Sidus Double Alpha, Ltd.
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Shares of common stock held in an account for which Sidus Investment Management, LLC ("Sidus Management") serves as a sub-advisor (the "Managed Account"). The Reporting Person, solely by virture of his position as a managing member of Sidus Management, the sub-advisor to the Managed Account, may be deemed to beneficially own the shares of common stock directly held in the Managed Account for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Reporting Person expressly disclaims benenfical ownership of such shares of common stock except to the extent of his pecuniary interest therein.
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(2)
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Shares of common stock owned directly by Sidus Investment Partners, L.P. ("Sidus Partners"). The Reporting Person, solely by virture of his position as a managing member of Sidus Management, the investment manager of Sidus Partners, may be deemed to beneficially own the shares of common stock directly held by Sidus Partners for purposes of Section 16. The Reporting Person expressly disclaims beneficial ownership of such shares of common stock except to the extent of his pecuniary interest therein.
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(3)
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Shares of common stock owned direclty by Sidus Double Alpha Fund, L.P. ("Sidus Double Alpha"). The Reporting Person, solely by virture of his position as a managing member of Sidus Management, the investment manager of Sidus Double Alpha, may be deemed to beneficially own the shares of common stock directly held by Sidus Double Alpha for purposes of Section 16. The Reporting Person expressly disclaims benenfical ownership of such shares of common stock except to the extent of his pecuniary interest therein.
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(4)
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Shares of common stock owned directly by Sidus Double Alpha, Ltd. ("Sidus Double Alph Offshore"). The Reporting Person, solely by virture of his position as a managing member of Sidus Management, the investment manager of Sidus Double Alpha Offshore, may be deemed to beneficially own the shares of common stock directly held by Sidus Double Alpha Offshore for purposes of Section 16. The Reporting Person expressly disclaims benenfical ownership of such shares of common stock except to the extent of his pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Tobia Alfred Victor Jr.
520 NEWPORT CENTER DRIVE
12TH FLOOR
NEWPORT BEACH, CA 92660
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X
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Signatures
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Edward J. Treska as Attorney-in-Fact
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7/3/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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