SC 13D/A 1 buxton-mallinsc13da_051421.htm BUXTON-MALLINCKRODT SC 13D/A#12

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D/A

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2(a)

Under the Securities Exchange Act of 1934
(Amendment No. 12)*

Mallinckrodt plc
(Name of Issuer)

 

Ordinary shares, par value $0.20 per share
(Title of Class of Securities)

 

G5785G107
(CUSIP Number)

 

The Buxton Helmsley Group, Inc.

1185 Avenue of the Americas, Floor 3

New York, N.Y. 10036-2600

Tel.: +1 (212) 561-5540

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
January 31, 2022
(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(b) for other parties to whom copies are to be sent.

*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. G5785G107 SCHEDULE 13D Page 2 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Buxton Helmsley Holdings, Inc.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
WC
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Michigan
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
0
8 SHARED VOTING POWER
3,434,800
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
3,434,800
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,434,800
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.1%1
14 TYPE OF REPORTING PERSON (See Instructions)
HC, CO
       

__________________

1 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 3 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Buxton Helmsley Group, Inc.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
WC
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Michigan
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
0
8 SHARED VOTING POWER
3,434,800
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
3,434,800
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,434,800
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.1%2
14 TYPE OF REPORTING PERSON (See Instructions)
CO, IA
       

__________________

2 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 4 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alexander Parker
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
AF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 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
3,434,800
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
3,434,800
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,434,800
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.1%3
14 TYPE OF REPORTING PERSON (See Instructions)
HC, IN
       

__________________

3 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 5 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Valerii Mansurov
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
620,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
620,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
620,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7%34
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

4 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 6 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas Gitter
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Wisconsin
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
0
8 SHARED VOTING POWER
498,137
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
498,137
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
498,137
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%8
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

5 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 7 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vladimir Kovalenko
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
370,183
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
370,183
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
370,183
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%5
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

6 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 8 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Kharkov Aleksandr Sergeevich
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
265,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
265,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
265,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3%6
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

7 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 9 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Elena Tsygankova
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
WC
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
0
8 SHARED VOTING POWER
228,000
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
228,000
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
228,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3%7
14 TYPE OF REPORTING PERSON (See Instructions)
IA, IN
       

__________________

8 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 10 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Daniliuk Kirill Vladimirovich
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
193,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
193,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
193,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%9
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

9 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 11 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
James Paul Carey
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Ohio
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
180,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
180,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
180,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%18
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

10 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 12 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
James Jonathan Josey
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Missouri
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
168,600
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
168,600
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
168,600
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%13
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

11 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 13 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Roman Dontsov Valentinovich
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
135,212
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
135,212
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
135,212
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%10
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

12 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 14 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Zavolozhin Sergey Vladimirovich
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
130,430
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
130,430
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
130,430
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%24
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

13 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 15 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Victor Pardo
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
123,705
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
123,705
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
123,705
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%26
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

14 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 16 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alexey Evgeneevich Ilinykh
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
121,388
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
121,388
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
121,388
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%36
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

15 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 17 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alexey Isaev
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
121,347
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
121,347
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
121,347
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%11
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

16 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 18 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alexander Koch
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Germany
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
120,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
120,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
120,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%12
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

17 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 19 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Kimberly Tully
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New Jersey
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
110,961
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
110,961
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
110,961
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%16
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

18 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 20 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Edgard Gafurov
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
106,512
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
106,512
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
106,512
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%15
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

19 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 21 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Pradeep Vasudeva Kadambi
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Florida
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
101,900
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
101,900
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
101,900
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%14
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

20 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 22 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Israel Larrondo
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Spain
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
94,628
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
94,628
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
94,628
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%32
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

21 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 23 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Joan I. Barry Revocable Trust (Dtd. 12/13/13)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
WC
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Missouri
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
93,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
93,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
93,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%17
14 TYPE OF REPORTING PERSON (See Instructions)
OO
       

__________________

22 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 24 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Victor Viktorovich Borodaenko
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
88,651
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
88,651
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
88,651
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%42
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

23 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 25 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Janice J. O'Connor
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Missouri
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
84,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
84,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
84,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%19
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

24 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 26 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Yushenkova Olga Petrovna
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
77,699
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
77,699
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
77,699
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%21
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

25 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 27 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Denis Baykin
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
77,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
77,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
77,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%40
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

26 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 28 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vanik Petrosian
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
74,300
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
74,300
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
74,300
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%22
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

27 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 29 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Richard Barry
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Texas
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
72,285
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
72,285
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
72,285
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%23
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

28 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 30 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Igor Gnativ
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
66,651
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
66,651
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,651
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%38
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

29 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 31 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alex Peter Wounlund
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Denmark
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
66,016
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
66,016
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,016
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%27
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

30 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 32 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Carleen Walsh
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
64,654
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
64,654
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,654
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%35
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

31 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 33 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Mary Dunne
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
64,347
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
64,347
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,347
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%31
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

32 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 34 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Aleksandr Aleksandrovich Morozov
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
61,499
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
61,499
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
61,499
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%43
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

33 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 35 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Andrew Gruber
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Massachussets
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
60,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
60,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
60,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%20
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

34 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 36 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Ryzhov Evgenii Nikolaevich
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
56,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
56,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
56,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%41
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

35 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 37 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Chris Tichenor
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
54,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
54,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
54,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%25
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

36 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 38 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Oksana Dmitrievna Trofimova
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
50,547
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
50,547
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
50,547
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%44
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

37 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 39 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Aleksei Chernyshev
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
50,020
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
50,020
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
50,020
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%39
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

38 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 40 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
David Lamb
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Oregon
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
47,632
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
47,632
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
47,632
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%33
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

39 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 41 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Aleksei Gudz
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
45,106
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
45,106
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
45,106
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%45
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

40 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 42 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Petr Hoferek
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Nebraska
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
45,100
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
45,100
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
45,100
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%28
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

41 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 43 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
John V. Barry Revocable Trust (Dtd. 12/13/13)
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
WC
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Missouri
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
44,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
44,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
44,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%29
14 TYPE OF REPORTING PERSON (See Instructions)
OO
       

__________________

42 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 44 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vadim Anatolievich Osetrov
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
42,168
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
42,168
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
42,168
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0%46
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

43 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 45 of 45 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Nepiyvoda Kirill Nikolaevich
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  [X]

(b)  [   ]

3 SEC USE ONLY
 
4 SOURCE OF FUNDS (See Instructions)
PF
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
                                                                  [   ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Russia
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
26,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
26,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
26,000
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
[   ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0%30
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

44 Based upon 84,722,432 shares of Ordinary shares, par value $0.20 per share ("Shares"), of Mallinckrodt plc. (the "Issuer") outstanding as of September 24, 2021, as reported in the Issuer's quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 2, 2021.

 


 
 

 

This Amendment No. 12 to Schedule 13D ("Amendment No. 12") amends and supplements the Schedule 13D originally filed with the Securities and Exchange Commission by the Reporting Persons on March 5, 2021 (the "Schedule 13D") relating to the Ordinary shares, par value $0.20 per share (the "Shares"), of Mallinckrodt plc (the "Issuer"). Except as specifically provided herein, this Amendment No. 12 does not modify any of the information previously reported on the Schedule 13D. Capitalized terms used but not otherwise defined in this Amendment No. 12 shall have the meanings ascribed to them in the Schedule 13D.

 

Item 1. Security and Issuer

Item 1 of Schedule 13D is hereby amended and restated in its entirety to read as follows:

This Schedule 13D is being filed with respect to common shares issued by Mallinckrodt plc, whose principal executive offices are at College Business & Technology Park, Cruiserath, Blanchardstown, Dublin 15, Ireland.

 

Item 2. Identity and Background

 

Item 2 of Schedule 13D is hereby amended and restated in its entirety to read as follows:

 

  (a)

This Schedule 13D is being filed jointly pursuant to that certain Joint Filing Agreement filed herewith as Exhibit 99.1 by:

        Buxton Helmsley Holdings, Inc. ("Holdings")

        The Buxton Helmsley Group, Inc. ("Buxton")

        Alexander Parker ("Parker") and

        The individual persons and entities listed below (collectively, the "Individual Members"):

o   Valerii Mansurov

o   Thomas Gitter

o   Vladimir Kovalenko

o   Kharkov Aleksandr Sergeevich

o   Elena Tsygankova

o   Daniliuk Kirill Vladimirovich

o   James Paul Carey

o   James Jonathan Josey

o   Roman Dontsov Valentinovich

o   Zavolozhin Sergey Vladimirovich

o   Victor Pardo

o   Alexey Evgeneevich Ilinykh

o   Alexey Isaev

o   Alexander Koch

o   Kimberly Tully

o   Edgard Gafurov

o   Pradeep Vasudeva Kadambi

o   Israel Larrondo

o   Joan I. Barry Revocable Trust (Dtd. 12/13/13)

o   Victor Viktorovich Borodaenko

o   Janice J. O'Connor

o   Yushenkova Olga Petrovna

o   Denis Baykin

o   Vanik Petrosian

o   Richard Barry

o   Igor Gnativ

o   Alex Peter Wounlund

o   Carleen Walsh

o   Mary Dunne

o   Aleksandr Aleksandrovich Morozov

o   Andrew Gruber

o   Ryzhov Evgenii Nikolaevich

o   Chris Tichenor

o   Oksana Dmitrievna Trofimova

o   Aleksei Chernyshev

o   David Lamb

o   Aleksei Gudz

o   Petr Hoferek

o   John V. Barry Revocable Trust (Dtd. 12/13/13)

o   Vadim Anatolievich Osetrov

o   Nepiyvoda Kirill Nikolaevich

 

 
   

 

Together with Holdings, Buxton, and Parker, the Individual Members comprise a group within the meaning of Section 13(d)(3) of the Act.

     
  (b) The business address of Holdings, Buxton, and Parker is 1185 Avenue of the Americas, Floor 3, New York, N.Y.  10036-2600. Information regarding the Individual Members is set forth on Schedule A.
     
  (c) Buxton is the wholly-owned subsidiary of Holdings, a parent holding company. Buxton is a private asset management and financial services firm and a registered investment advisor. Buxton holds the Shares reported in this Schedule 13D in the accounts of Buxton's discretionary clients. Parker is the sole control person of both Buxton and Holdings.  Parker holds the title of Director at Holdings and Senior Managing Director at Buxton. There are no other directors, officers, or control persons at Holdings or Buxton. Information regarding the Individual Members is set forth on Schedule A.
 
     
  (d) During the last five years, neither Holdings, Buxton, Parker, nor any of the Individual Members have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
     
  (e) During the last five years, neither Holdings, nor the Individual Members, have been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and became 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.

Buxton and Parker were involved in an adversary proceeding filed against them by the Issuer (Mallinckrodt Plc. v. The Buxton Helmsley Group, Inc. and Alexander E. Parker, Adv Proc. No. 21-505242), as part of the Issuer's Chapter 11 proceedings (Mallinckrodt plc, et al., Case No. 20-12522), for which an injunction (the "Injunction") was issued by the United States Bankruptcy Court for the District of Delaware (the "Court"), enjoining certain activities of Buxton, Parker, and "any person or entity" (with no limitation) deemed by Issuer's directors or management as "acting in concert", whether "directly or indirectly" (Injunction, § 6). Those enjoined activities include, for example, the calling of an extraordinary general meeting of the Issuer's shareholders/members, nomination of directors or officers as part of any general meeting of the shareholders/members, casting votes in any general meeting of the shareholders/members to "remove" or "replace" directors of the Issuer (the Injunction, § 1(e), "any action seeking to remove, replace ... any directors or officers of any Debtor"), submission of shareholder proposals to be "acted upon" by shareholders/members as part of a general meeting (the Injunction, § 1(c), "any steps to ... propose any matters to be acted upon by Mallinckrodt shareholders"), solicitation of proxies, any litigation against the Issuer or its officers and/or directors, among other restrictions of activities covered by that Injunction, requested by the Issuer and ordered by the Court.
     
  (f) Holdings and Buxton are Michigan corporations. Parker is a citizen of the United States of America. The citizenship of each Individual Member is set forth on Schedule A.

 

Item 3. Source and Amount of Funds or Other Considerations

Item 3 of Schedule 13D is hereby amended and restated in its entirety to read as follows:

1,429,266

Funds for the purchase of the Shares reported herein were derived from available working capital of Buxton. Buxton purchased 510,936 Shares of the Issuer in open market purchases between January 12, 2021 and March 1, 2021 for a total of $162,503.38. Buxton also purchased an additional 1,429,266 Shares of the Issuer in open market purchases during the sixty (60) days preceding this amendment, for a total of $225,190.10. Buxton made other purchases of the Shares previously, also via available working capital.

The Reporting Persons collectively may be deemed to be the beneficial owner of, in the aggregate, 8,534,478 Shares. For the Individual Members, other than Elena Tsygankova, the Joan I. Barry Revocable Trust (Dtd. 12/13/13), and the John V. Barry Revocable Trust (Dtd. 12/13/13), whose funding for the Shares was derived from available working capital, the source of funding for the Shares was personal funds of the respective Individual Member.

 

Item 4. Purpose of Transaction

 

Item 4 of Schedule 13D is hereby amended and restated in its entirety to read as follows:

 

The Reporting Persons reserve the right, consistent with applicable law, to (i) acquire additional Shares and/or other equity, debt, notes, instruments or other securities (collectively, "Securities") of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; and (iii) engage in any hedging or similar transactions with respect to the Securities. The Reporting Persons may engage in discussions with management or the Board of Directors of the Issuer concerning the business, operations, management, and future plans of the Issuer. Depending on various factors, including the Reporting Persons' financial position and investment strategy, the price of the Shares, conditions in the securities markets, and general economic and industry conditions, the Reporting Persons may in the future take such actions they deem appropriate and lawful.

 

On January 31, 2022, the Reporting Persons sent a letter via email (the "January 31, 2022, Letter to the Issuer re: Interest Disclosure") to the Issuer. The January 31, 2022, Letter to the Issuer re: Interest Disclosure, is filed herewith as Exhibit 99.2 to the Amendment No. 12.

 

On January 31, 2022, the Reporting Persons sent a letter via email (the "January 31, 2022, Letter to the Issuer re: Additional Violation") to the Issuer. The January 31, 2022, Letter to the Issuer re: Additional Violation, is filed herewith as Exhibit 99.3 to the Amendment No. 12.

 

On January 25, 2022, the Reporting Persons sent a letter via email (the "January 25, 2022, Letter to the Issuer") to the Issuer. The January 25, 2022, Letter to the Issuer, is filed herewith as Exhibit 99.4 to the Amendment No. 12.

 

On January 19, 2022, the Reporting Persons sent a letter via email (the "January 19, 2022, Letter to the Issuer") to the Issuer. The January 19, 2022, Letter to the Issuer, is filed herewith as Exhibit 99.5 to the Amendment No. 12.

 

On January 15, 2022, the Reporting Persons sent a letter via email (the "January 15, 2022, Letter to the Issuer") to the Issuer. The January 15, 2022, Letter to the Issuer, is filed herewith as Exhibit 99.6 to the Amendment No. 12.

 

On November 12, 2021, the Reporting Persons sent a letter via email (the "November 12, 2021, Letter to the Resigning Senior Vice President of Finance") to the Issuer's Resigning Senior Vice President of Finance. The November 12, 2021, Letter to the Resigning Senior Vice President of Finance, is filed herewith as Exhibit 99.7 to the Amendment No. 12.

 

On November 12, 2021, the Reporting Persons sent a letter via email (the "November 12, 2021, Letter to the Issuer") to the Issuer. The November 12, 2021, Letter to the Issuer, is filed herewith as Exhibit 99.8 to the Amendment No. 12.

 

On November 5, 2021, the Reporting Persons sent a letter via email (the "November 5, 2021, Letter to the Issuer") to the Issuer. The November 5, 2021, Letter to the Issuer, is filed herewith as Exhibit 99.9 to the Amendment No. 12.

 

On November 5, 2021, the Reporting Persons sent a letter via email (the "November 5, 2021, Letter to the Issuer's Counsel") to the Issuer. The November 5, 2021, Letter to the Issuer's Counsel, is filed herewith as Exhibit 99.10 to the Amendment No. 12.

 

On October 22, 2021, the Reporting Persons sent a letter via email (the "October 22, 2021, Letter to the U.S. Securities and Exchange Commission") to the U.S. Securities and Exchange Commission. The October 22, 2021, Letter to the U.S. Securities and Exchange Commission, is filed herewith as Exhibit 99.11 to the Amendment No. 12.

 

On October 22, 2021, the Reporting Persons sent a letter via email (the "October 22, 2021, Letter to the Issuer") to the Issuer. The October 22, 2021, Letter to the issuer, is filed herewith as Exhibit 99.12 to the Amendment No. 12.

 

On October 14, 2021, the Reporting Persons sent a letter via email (the "October 14, 2021, Letter") to the Issuer, with direct address to the Issuer's Irish legal counsel, Arthur Cox. The October 14, 2021, Letter is filed herewith as Exhibit 99.13 to the Amendment No. 12.

 

On September 14, 2021, the Reporting Persons sent a letter via email (the "September 14, 2021, Letter") to the Issuer. The September 14, 2021, Letter is filed herewith as Exhibit 99.14 to the Amendment No. 12.

 

On August 17, 2021, the Reporting Persons sent a letter via email (the "August 17, 2021, Letter") to the Issuer. The August 17, 2021, Letter is filed herewith as Exhibit 99.15 to the Amendment No. 12.

 

On August 5, 2021, the Reporting Persons sent a letter via email (the "August 5, 2021, Letter") to the Issuer. The August 5, 2021, Letter is filed herewith as Exhibit 99.16 to the Amendment No. 12.

 

On August 3, 2021, the Reporting Persons sent a letter via email (the "August 3, 2021, Letter") to the Issuer. The August 3, 2021, Letter is filed herewith as Exhibit 99.17 to the Amendment No. 12.

 

On July 7, 2021, the Reporting Persons sent a letter via email (the "July 7, 2021, Letter") to the Issuer. The July 7, 2021, Letter is filed herewith as Exhibit 99.18 to the Amendment No. 12.

 

On June 1, 2021, the Reporting Persons sent a letter via email (the "June 1, 2021, Letter") to the Issuer. The June 1, 2021, Letter is filed herewith as Exhibit 99.19 to the Amendment No. 12.

 

On May 20, 2021, the Reporting Persons sent a letter via email (the "May 20, 2021, Letter") to the Issuer. The May 20, 2021, Letter is filed herewith as Exhibit 99.20 to the Amendment No. 12.

 

On March 10, 2021, the Reporting Persons sent a letter via email (the "March 10, 2021, Letter") to the Issuer. The March 10, 2021, Letter is filed herewith as Exhibit 99.21 to the Amendment No. 12.

 

Item 5. Interest in Securities of the Issuer

 

Item 5 of Schedule 13D is hereby amended and restated in its entirety to read as follows:

 

(a) As of the time of this filing, Holdings, Buxton, and Parker own 3,434,800 Shares of the Issuer, or a 4.1% ownership interest of the Issuer's Shares. Information regarding the Individual Members is set forth on Schedule B. Collectively, Holdings, Buxton, Parker, and the Individual Members own 8,534,478 Shares or a 10.1% ownership interest of the Issuer's Shares.
   
(b)

Number of Shares as to which such person has:

 

(i) Sole Voting Power:

Each of Holdings, Buxton, and Parker has the sole power to vote or direct the vote over 0 Shares.

 

(ii) Shared Voting Power:

Holdings has the shared power to vote or direct the vote over 3,434,800 Shares.

Buxton has the shared power to vote or direct the vote over 3,434,800 Shares.

Parker has the shared power to vote or direct the vote over 3,434,800 Shares.

 

(iii) Sole Dispositive Power:

Each of Holdings, Buxton, and Parker has the sole power to dispose or direct the disposition of 0 Shares.

 

(iv) Shared Dispositive Power:

Holdings has the shared power to dispose or to direct the direct the disposition of 3,434,800 Shares.

Buxton has the shared power to dispose or to direct the direct the disposition of 3,434,800 Shares.

Parker has the shared power to dispose or to direct the direct the disposition of 3,434,800 Shares.

 

Information regarding the voting and dispositive power of the Individual Members is set forth on Schedule B.

   
 
(c)

The following table sets forth all transactions with respect to the Shares effected during the past sixty (60) days by any of the Reporting Persons, inclusive of any transactions effected through 4:00p.m., New York City time, on January 31, 2022.  Except as otherwise noted below, all such transactions were purchases of Shares effected in the open market, and the table includes commissions paid in per share prices.

 

 

Reporting Person Date Shares Price of Security
Edgard Gafurov 2022-01-31 10000 0.15
Buxton 2022-01-31 189990 0.13904
Victor Viktorovich Borodaenko 2022-01-28 17848 0.144
Kimberly Tully 2022-01-28 2800 0.159
Kimberly Tully 2022-01-26 2800 0.1595
Buxton 2022-01-26 55503 0.16972
Kimberly Tully 2022-01-26 3000 0.133
Kimberly Tully 2022-01-26 500 0.154
Kimberly Tully 2022-01-26 110 0.159
Buxton 2022-01-25 62000 0.1699
Buxton 2022-01-25 230503 0.1749
Kimberly Tully 2022-01-25 6490 0.17
Israel Larraondo Perez 2022-01-25 1764 0.17
Israel Larraondo Perez 2022-01-25 2857 0.171
Buxton 2022-01-24 404639 0.16328
Buxton 2022-01-24 68129 0.1600
Israel Larraondo Perez 2022-01-24 100 0.17
Israel Larraondo Perez 2022-01-24 2900 0.17
Israel Larraondo Perez 2022-01-24 5000 0.15
Zavolozhin Sergey Vladimirovich 2022-01-24 749 0.20
Zavolozhin Sergey Vladimirovich 2022-01-24 601 0.19
Buxton 2022-01-21 15900 0.152
Buxton 2022-01-21 205779 0.152
Buxton 2022-01-21 25835 0.1131
Buxton 2022-01-21 18400 0.152
Buxton 2022-01-21 13000 0.152
Zavolozhin Sergey Vladimirovich 2022-01-21 246 0.14
Buxton 2022-01-20 13742 0.11
Buxton 2022-01-20 5000 0.11
Zavolozhin Sergey Vladimirovich 2022-01-20 7897 0.15
Zavolozhin Sergey Vladimirovich 2022-01-20 631 0.16
Buxton 2022-01-18 20000 0.1037
Buxton 2022-01-14 -3726 0.117
Buxton 2022-01-14 -700 0.1189
Zavolozhin Sergey Vladimirovich 2022-01-14 5306 0.15
Buxton 2022-01-13 -251 0.118
Thomas Gitter 2022-01-13 20000 0.111
Thomas Gitter 2022-01-13 5000 0.1086
Thomas Gitter 2022-01-13 20000 0.1154
Buxton 2022-01-12 -39848 0.1054
Buxton 2022-01-12 -8300 0.1068
Buxton 2022-01-12 -1000 0.1092
Buxton 2022-01-12 -2800 0.1094
Buxton 2022-01-12 -146200 0.1085
Buxton 2022-01-12 -19006 0.1054
Buxton 2022-01-12 -32810 0.1054
Buxton 2022-01-11 -8336 0.1148
Aleksei Chernyshev 2022-01-04 20 0.12
Thomas Gitter 2022-01-04 10000 0.126
Thomas Gitter 2022-01-04 15000 0.123
Israel Larraondo Perez 2021-12-31 5968 0.12
Israel Larraondo Perez 2021-12-31 12500 0.12
Buxton 2021-12-30 274836 0.1217
Israel Larraondo Perez 2021-12-30 6532 0.12
James Jonathan Josey 2021-12-30 15000 0.12
James Jonathan Josey 2021-12-30 5000 0.1224
James Jonathan Josey 2021-12-30 8000 0.1225
Buxton 2021-12-29 87316 0.1223
Buxton 2021-12-29 3000 0.1225
Buxton 2021-12-29 -1429 0.1199
James Jonathan Josey 2021-12-29 20600 0.124
Alex Wounlund 2021-12-23 18998 0.16
Thomas Gitter 2021-12-22 24000 0.16
James Jonathan Josey 2021-12-22 12822 0.16
James Jonathan Josey 2021-12-22 11578 0.166
Victor Pardo 2021-12-10 2000 0.165
Buxton 2021-12-02 100 0.188

 

 

   
(d) N/A.
   
(e) N/A.

 

Item 7. Material to Be Filed as Exhibits

 

Item 7 of Schedule 13D is hereby amended and restated in its entirety to read as follows:

 

  1. Joint Filing Agreement
     
  2. Letter - January 31, 2022 (to the Issuer re: Interest Disclosure)
     
  3. Letter - January 31, 2022 (to the Issuer re: Additional Violation)
     
  4. Letter - January 25, 2022 (to the Issuer)
     
  5. Letter - January 19, 2022 (to the Issuer)
     
  6. Letter - January 15, 2022 (to the Issuer)
     
  7. Letter - November 12, 2021 (to the Issuer's Resigning Senior Vice President of Finance)
     
  8. Letter - November 12, 2021 (to the Issuer)
     
  9. Letter - November 5, 2021 (to the Issuer)
     
  10. Letter - November 5, 2021 (to the Issuer's Counsel)
     
  11. Letter - October 22, 2021 (to the U.S. Securities and Exchange Commission)
     
  12. Letter - October 22, 2021 (to the Issuer)
     
  13. Letter - October 14, 2021
     
  14. Letter - September 14, 2021
     
  15. Letter - August 17, 2021
     
  16. Letter - August 5, 2021
     
  17. Letter - August 2, 2021
     
  18. Letter - July 7, 2021
     
  19. Letter - June 1, 2021
     
  20. Letter - May 20, 2021
     
  21. Letter - March 10, 2021

 

 

Schedule A

 

Schedule A of Schedule 13D is hereby amended and restated in its entirety to read as follows:

 

 

 

Name Principal Business Address or Residence Principal Occupation or Employment/ Principal Business Citizenship
Valerii Mansurov Russia, Ufa city, Richard Zorge 64, 14

Construction Consultant

Address:
Russia, Ufa, Shota Rustaveli 9

Russia
Thomas Gitter 17 Parklawn Place, Madison, WI 53705

Retired

USA
Vladimir Kovalenko 246700 Pskov Pushkina street 611/1 Russia

Investor (Self-Employed)

Russia
Kharkov Aleksandr Sergeevich 630550, OBL NOVOSIBIRSKAIA, R-N NOVOSIBIRSKII, S pazdolnoe, PER ZELENYI, DOM 28

Investor (Self-Employed)

Russia
Elena Tsygankova Moscow Rusakovskaya street 31

Financial Advisor

Russia
Daniliuk Kirill Vladimirovich 125315,G MOSKVA,PR-KT LENINGRADSKII,DOM 74/6,KV 76

Retired

Russia
James Paul Carey 881 Southerford Avenue, Dayton, OH 45429

Patent Lawyer at Mane, Inc.

Address: 2501 Henkle Drive, Lebanon, OH 45036

USA
James Jonathan Josey 5319 Carolwood Drive, Jackson, MS 39211

Deputy CFO at The Molpus Woodlands Group, LLC

Principal Business: Timber Investment

Address:
858 North Street, Jackson, MS 39211

USA
Roman Dontsov Valentinovich 350005 Russia, Krasnodar, Alexandra Pokryshkina street 2 /2 apartment 416

Investor (Self-Employed)

Russia
Zavolozhin Sergey Vladimirovich Russia, Novosibirsk region, R, P Koltsovo 28

Investor (Self-Employed)

Russia
Victor Pardo 11 Threepence Drive, Melville, NY 11747

Audio Engineer at Self-Employed

Address: 1100 Haff Avenue, North Bellmore, NY 11710

USA
Alexey Evgeneevich Ilinykh Russia Perm City 17-56 Yaltinskaya Street

Engineer (Self-Employed)

Principal Address:
46 Zagorodnaya Str. Svobodny, Amur Region, 676455

Russia
Alexey Isaev Russian Federation. Moscow. Fryazevskaya street house 11.

Investor (Self-Employed)

Russia
Alexander Koch Jakob-Kaiser-Str. 14A, D-49088 Osnabrueck, Germany

Self-Employed

Germany
Kimberly Tully 4 South Deer Place, Hainesport, NJ 08036

Self-Employed (Consultant)

USA
Edgard Gafurov Russia Novocheboksarsk Vostochnaya street, house 1, building 2, apartment 54

Investor (Self-Employed)

Russia
Pradeep Vasudeva Kadambi 2764 Tartus Dr., Jacksonville, FL 32246 USA

Doctor (Self-Employed)

USA
Israel Larrondo Medinaceli, 6, 6. 28660. Boadilla del Monte. Madrid. Spain

Renewable Energy Technician at PEMOG

Principal Business: Energy

Address: Juan Carlos I. 31. 28660. Boadilla del Monte. Madrid. Spain.

Spain
Joan I. Barry Revocable Trust (Dtd. 12/13/13) 3313 S. Victoria Drive, Blue Springs, MO 64015

Retired

USA
Victor Viktorovich Borodaenko Apt. 50, 16, k.3 15 Parkovaya street., Moscow, 105203, the Russian Federation

Principal Occupation: Auditor at LLC "TNF"

Address: 4 bld. 2, Presnenskaya Embankment, Moscow, 123112, the Russian Federation

Russia
Janice J. O'Connor 12808 S. Outer Belt Road, Lone Jack, MO 64070

Retired

USA
Yushenkova Olga Petrovna Russia, Ryazan,Moscovskoe shosse d.33/4 kv.435

Investor (Self-Employed)

Russia
Denis Baykin 140492, Russia, Moscow region, Kolomensky district, village Zarudnya, house 43, apartment 32

Principal Occupation: Sales Associate at OOO "Garmoniya"

Address: 141006, Russia, Moscow region, the city of Mytishchi, Sharapovsky proezd, possession 2

Russia
Vanik Petrosian Ul Vodopoinaia, d 19, kv 178, 357748, g Kislovodsk, Stavropolskii krai

Retired

Russia
Richard Barry 4532 Saint James Drive, Plano TX 75024

IT Management at United Surgical Partners Incorporated

Principal Business: Ambulatory Surgery Services

Address: 5601 Warren Parkway Frisco Texas, 75034

USA
Igor Gnativ 620026 Sverdlovsk region Yekaterinburg Decembrists 45-297

Entrepreneur/Investor

Russia
Alex Peter Wounlund Bredholtvej 8, 2650 Hvidovre, Denmark

Key Account Manager at GlobalConnect

Principal Business: Fiber Network

Address: Havneholmen 6, 2450 Copenhagen, Denmark

Denmark
Carleen Walsh 640 Lincoln Avenue, Sayville, N.Y. 11782

Self-Employed (Investor)

USA
Mary Dunne 54 Hicks Street, Brooklyn, NY 11201

Retired

USA
Aleksandr Aleksandrovich Morozov Russian Federation, Nadym Yamal-Nenets St. Zvereva 50 kV.187

Self-Employed (Investor)

Russia
Andrew Gruber 215 Pleasant Street, Arlington MA 02476

Engineer at Qualcomm

Principal Business: Wireless Technology

Address: 5775 Morehouse Drive, San Diego CA 92121

USA
Ryzhov Evgenii Nikolaevich Russian Federation, Resp Tatarstan, R-N Bugulminskii, G Bugulma, Ul Iuriia Gagarina, Dom 72

Self-Employed (Mechanical Engineering Work)

Russia
Chris Tichenor 400 Redding Road, Lexington, KY 40517

Retired

USA
Oksana Dmitrievna Trofimova Apt. 31, 5a Zavodskaya str, the town of Nadym, Yamalo-Nenets Autonomous Okrug, 629735, the Russian Federation

Self-Employed (Writer)

Russia
Aleksei Chernyshev Moscow, str. Makarenko, 9-18

Principal Occupation: Chief Mechanic at OOO "Fakel Plus"

Address: 399148, Lipetsk region, the village of Maly Khomutets, str. Lenina, house 63

Russia
David Lamb 13560 NW Springville Road, Portland, OR 97229

Digital Design Engineer at Skyworks Solutions, Inc.

Principal Business: Semiconductors

Address: 1600 NW Compton Drive, Suite 300, Hillsboro, OR 97006

USA
Aleksei Gudz Apt. 74, 101 Goroda Volos street, Rostov on Don city, 344000, the Russian Federation

Principal Occupation: Office Manager

Employer: PJSC VTB Bank

Address: 91/258 Budennovsky Avenue, Rostov on Don city, 344018, the Russian Federation

Russia
Petr Hoferek 9516 Park Drive, Unit 206, Omaha, NE 68127

Inventory Control at PAK Global LLC

Principal Business: Industrial Fabrics and Hardware

Address: 2528 South 156th Circle, Omaha, NE 68130

USA
John V. Barry Revocable Trust (Dtd. 12/13/13) 3313 S. Victoria Drive, Blue Springs, MO 64015

Retired

USA
Vadim Anatolievich Osetrov Art.5, 62 sheksninskaya str., Volgograd, 400094

Principal Occupation: Mechanic (Self-Employed)

Russia
Nepiyvoda Kirill Nikolaevich Russia, Kaluga, Duminichi, Molodezhnaya street 5a, 249300.

Self-Employed (Investor)

Russia

 

 

 

Schedule B

 

Schedule B of Schedule 13D is hereby amended and restated in its entirety to read as follows:

 

 

Name Aggregate Number of Shares Owned Percentage of Class Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power
Valerii Mansurov 620,000 0.7% 620,000 0 620,000 0
Thomas Gitter 498,137 0.6% 0 498,137 0 498,137
Vladimir Kovalenko 370,183 0.4% 370,183 0 370,183 0
Kharkov Aleksandr Sergeevich 265,000 0.3% 265,000 0 265,000 0
Elena Tsygankova 228,000 0.3% 0 228,000 0 228,000
Daniliuk Kirill Vladimirovich 193,000 0.2% 193,000 0 193,000 0
James Paul Carey 180,000 0.2% 180,000 0 180,000 0
James Jonathan Josey 168,600 0.2% 168,600 0 168,600 0
Roman Dontsov Valentinovich 135,212 0.2% 135,212 0 135,212 0
Zavolozhin Sergey Vladimirovich 130,430 0.2% 130,430 0 130,430 0
Victor Pardo 123,705 0.1% 123,705 0 123,705 0
Alexey Evgeneevich Ilinykh 121,388 0.1% 121,388 0 121,388 0
Alexey Isaev 121,347 0.1% 121,347 0 121,347 0
Alexander Koch 120,000 0.1% 120,000 0 120,000 0
Kimberly Tully 110,961 0.1% 110,961 0 110,961 0
Edgard Gafurov 106,512 0.1% 106,512 0 106,512 0
Pradeep Vasudeva Kadambi 101,900 0.1% 101,900 0 101,900 0
Israel Larrondo 94,628 0.1% 94,628 0 94,628 0
Joan I. Barry Revocable Trust (Dtd. 12/13/13) 93,000 0.1% 93,000 0 93,000 0
Victor Viktorovich Borodaenko 88,651 0.1% 88,651 0 88,651 0
Janice J. O'Connor 84,000 0.1% 84,000 0 84,000 0
Yushenkova Olga Petrovna 77,699 0.1% 77,699 0 77,699 0
Denis Baykin 77,000 0.1% 77,000 0 77,000 0
Vanik Petrosian 74,300 0.1% 74,300 0 74,300 0
Richard Barry 72,285 0.1% 72,285 0 72,285 0
Igor Gnativ 66,651 0.1% 66,651 0 66,651 0
Alex Peter Wounlund 66,016 0.1% 66,016 0 66,016 0
Carleen Walsh 64,654 0.1% 64,654 0 64,654 0
Mary Dunne 64,347 0.1% 64,347 0 64,347 0
Aleksandr Aleksandrovich Morozov 61,499 0.1% 61,499 0 61,499 0
Andrew Gruber 60,000 0.1% 60,000 0 60,000 0
Ryzhov Evgenii Nikolaevich 56,000 0.1% 56,000 0 56,000 0
Chris Tichenor 54,000 0.1% 54,000 0 54,000 0
Oksana Dmitrievna Trofimova 50,547 0.1% 50,547 0 50,547 0
Aleksei Chernyshev 50,020 0.1% 50,020 0 50,020 0
David Lamb 47,632 0.1% 47,632 0 47,632 0
Aleksei Gudz 45,106 0.1% 45,106 0 45,106 0
Petr Hoferek 45,100 0.1% 45,100 0 45,100 0
John V. Barry Revocable Trust (Dtd. 12/13/13) 44,000 0.1% 44,000 0 44,000 0
Vadim Anatolievich Osetrov 42,168 0.0% 42,168 0 42,168 0
Nepiyvoda Kirill Nikolaevich 26,000 0.0% 26,000 0 26,000 0

 

 

 

 

 

 

 

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.

 

BUXTON HELMSLEY HOLDINGS, INC.    
     
     
By: /s/ Alexander E. Parker   January 31, 2022
Name: Alexander E. Parker    
Title: Director    
     
     
     
THE BUXTON HELMSLEY GROUP, INC.    
     
     
By: /s/ Alexander E. Parker   January 31, 2022
Name: Alexander E. Parker    
Title: Senior Managing Director    
     
     
     
ALEXANDER E. PARKER    
     
     
By: /s/ Alexander E. Parker   January 31, 2022
Name: Alexander E. Parker    
       
     
     
VALERII MANSUROV    
     
     
By: */s/ Valerii Mansurov   January 26, 2022
Name: Valerii Mansurov    
     
     
     
THOMAS GITTER    
     
     
By: */s/ Thomas Gitter   January 26, 2022
Name: Thomas Gitter    
     
     
     
VLADIMIR KOVALENKO    
     
     
By: */s/ Vladimir Kovalenko   January 26, 2022
Name: Vladimir Kovalenko    
     
     
     
KHARKOV ALEKSANDR SERGEEVICH    
     
     
By: */s/ Kharkov Aleksandr Sergeevich   January 26, 2022
Name: Kharkov Aleksandr Sergeevich    
     
     
     
ELENA TSYGANKOVA    
     
     
By: */s/ Elena Tsygankova   January 26, 2022
Name: Elena Tsygankova    
     
     
     
DANILIUK KIRILL VLADIMIROVICH    
     
     
By: */s/ Daniliuk Kirill Vladimirovich   January 26, 2022
Name: Daniliuk Kirill Vladimirovich    
     
     
     
JAMES PAUL CAREY    
     
     
By: */s/ James Paul Carey   January 26, 2022
Name: James Paul Carey    
     
     
     
JAMES JONATHAN JOSEY    
     
     
By: */s/ James Jonathan Josey   January 26, 2022
Name: James Jonathan Josey    
     
     
     
ROMAN DONTSOV VALENTINOVICH    
     
     
By: */s/ Roman Dontsov Valentinovich   January 26, 2022
Name: Roman Dontsov Valentinovich    
     
     
     
ZAVOLOZHIN SERGEY VLADIMIROVICH    
     
     
By: */s/ Zavolozhin Sergey Vladimirovich   January 26, 2022
Name: Zavolozhin Sergey Vladimirovich    
     
     
     
VICTOR PARDO    
     
     
By: */s/ Victor Pardo   January 26, 2022
Name: Victor Pardo    
     
     
     
ALEXEY EVGENEEVICH ILINYKH    
     
     
By: */s/ Alexey Evgeneevich Ilinykh   January 26, 2022
Name: Alexey Evgeneevich Ilinykh    
     
     
     
ALEXEY ISAEV    
     
     
By: */s/ Alexey Isaev   January 26, 2022
Name: Alexey Isaev    
     
     
     
ALEXANDER KOCH    
     
     
By: */s/ Alexander Koch   January 26, 2022
Name: Alexander Koch    
     
     
     
KIMBERLY TULLY    
     
     
By: */s/ Kimberly Tully   January 26, 2022
Name: Kimberly Tully    
     
     
     
EDGARD GAFUROV    
     
     
By: */s/ Edgard Gafurov   January 26, 2022
Name: Edgard Gafurov    
     
     
     
PRADEEP VASUDEVA KADAMBI    
     
     
By: */s/ Pradeep Vasudeva Kadambi   January 26, 2022
Name: Pradeep Vasudeva Kadambi    
     
     
     
ISRAEL LARRONDO    
     
     
By: */s/ Israel Larrondo   January 26, 2022
Name: Israel Larrondo    
     
     
     
JOAN I. BARRY REVOCABLE TRUST (DTD. 12/13/13)    
     
     
By: */s/ Janice J. O'Connor   January 26, 2022
Name: Janice J. O'Connor    
Title: Co-Trustee    
     
     
     
VICTOR VIKTOROVICH BORODAENKO    
     
     
By: */s/ Victor Viktorovich Borodaenko   January 26, 2022
Name: Victor Viktorovich Borodaenko    
     
     
     
JANICE J. O'CONNOR    
     
     
By: */s/ Janice J. O'Connor   January 26, 2022
Name: Janice J. O'Connor    
     
     
     
YUSHENKOVA OLGA PETROVNA    
     
     
By: */s/ Yushenkova Olga Petrovna   January 26, 2022
Name: Yushenkova Olga Petrovna    
     
     
     
DENIS BAYKIN    
     
     
By: */s/ Denis Baykin   January 26, 2022
Name: Denis Baykin    
     
     
     
VANIK PETROSIAN    
     
     
By: */s/ Vanik Petrosian   January 26, 2022
Name: Vanik Petrosian    
     
     
     
RICHARD BARRY    
     
     
By: */s/ Richard Barry   January 26, 2022
Name: Richard Barry    
     
     
     
IGOR GNATIV    
     
     
By: */s/ Igor Gnativ   January 26, 2022
Name: Igor Gnativ    
     
     
     
ALEX PETER WOUNLUND    
     
     
By: */s/ Alex Peter Wounlund   January 26, 2022
Name: Alex Peter Wounlund    
     
     
     
CARLEEN WALSH    
     
     
By: */s/ Carleen Walsh   January 26, 2022
Name: Carleen Walsh    
     
     
     
MARY DUNNE    
     
     
By: */s/ Mary Dunne   January 26, 2022
Name: Mary Dunne    
     
     
     
ALEKSANDR ALEKSANDROVICH MOROZOV    
     
     
By: */s/ Aleksandr Aleksandrovich Morozov   January 26, 2022
Name: Aleksandr Aleksandrovich Morozov    
     
     
     
ANDREW GRUBER    
     
     
By: */s/ Andrew Gruber   January 26, 2022
Name: Andrew Gruber    
     
     
     
RYZHOV EVGENII NIKOLAEVICH    
     
     
By: */s/ Ryzhov Evgenii Nikolaevich   January 26, 2022
Name: Ryzhov Evgenii Nikolaevich    
     
     
     
CHRIS TICHENOR    
     
     
By: */s/ Chris Tichenor   January 26, 2022
Name: Chris Tichenor    
     
     
     
OKSANA DMITRIEVNA TROFIMOVA    
     
     
By: */s/ Oksana Dmitrievna Trofimova   January 26, 2022
Name: Oksana Dmitrievna Trofimova    
     
     
     
ALEKSEI CHERNYSHEV    
     
     
By: */s/ Aleksei Chernyshev   January 26, 2022
Name: Aleksei Chernyshev    
     
     
     
DAVID LAMB    
     
     
By: */s/ David Lamb   January 26, 2022
Name: David Lamb    
     
     
     
ALEKSEI GUDZ    
     
     
By: */s/ Aleksei Gudz   January 26, 2022
Name: Aleksei Gudz    
     
     
     
PETR HOFEREK    
     
     
By: */s/ Petr Hoferek   January 26, 2022
Name: Petr Hoferek    
     
     
     
JOHN V. BARRY REVOCABLE TRUST (DTD. 12/13/13)    
     
     
By: */s/ Janice J. O'Connor   January 26, 2022
Name: Janice J. O'Connor    
Title: Co-Trustee    
     
     
     
VADIM ANATOLIEVICH OSETROV    
     
     
By: */s/ Vadim Anatolievich Osetrov   January 26, 2022
Name: Vadim Anatolievich Osetrov    
     
     
     
NEPIYVODA KIRILL NIKOLAEVICH    
     
     
By: */s/ Nepiyvoda Kirill Nikolaevich   January 26, 2022
Name: Nepiyvoda Kirill Nikolaevich    
     
     
     
     
     
     
*By: /s/ Alexander E. Parker   January 31, 2022
Name: Alexander E. Parker    
Title: Attorney-in-Fact    

 

 

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