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. 1)*

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)
March 10, 2021
(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 46 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
1,225,535
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
1,225,535
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,225,535
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)
1.4%1
14 TYPE OF REPORTING PERSON (See Instructions)
HC, CO
       

__________________

1 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 3 of 46 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
1,225,535
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
1,225,535
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,225,535
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)
1.4%2
14 TYPE OF REPORTING PERSON (See Instructions)
CO, IA
       

 

 

 

__________________

2 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

   

 

 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 4 of 46 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
1,225,535
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
1,225,535
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,225,535
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)
1.4%3
14 TYPE OF REPORTING PERSON (See Instructions)
HC, IN
       

 

__________________

3 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

   

 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 5 of 46 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Vladislav Dikii
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
970,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
970,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
970,000
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)
1.1%4
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

4 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 6 of 46 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)
WC
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
626,750
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
626,750
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
626,750
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%5
14 TYPE OF REPORTING PERSON (See Instructions)
IA, IN
       

__________________

5 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 7 of 46 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Hank Beinstein
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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
0
8 SHARED VOTING POWER
241,689
9 SOLE DISPOSITIVE POWER
0
10 SHARED DISPOSITIVE POWER
241,689
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
241,689
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
       

__________________

6 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 8 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
69,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
69,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
69,000
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%7
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

7 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 9 of 46 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%8
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

8 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 10 of 46 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%9
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

9 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 11 of 46 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
47,018
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
47,018
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
47,018
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%10
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

10 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 12 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
111,400
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
111,400
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,400
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
       

__________________

11 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 13 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
90,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
90,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
90,000
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
       

__________________

12 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 14 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
80,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
80,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
80,000
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%13
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

13 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 15 of 46 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alexander Lugovoy
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
79,090
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
79,090
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
79,090
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
       

_________________

14 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 16 of 46 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
USA
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%15
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

15 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 17 of 46 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
67,413
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
67,413
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
67,413
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
       

__________________

16 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 18 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
52,080
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
52,080
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
52,080
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)
IN
       

__________________

17 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 19 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
39,347
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
39,347
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
39,347
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)
0.0%18
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

18 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 20 of 46 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Petr Hofrek
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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
38,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
38,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
38,000
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%19
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

19 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 21 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
24,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
24,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,000
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%20
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

20 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 22 of 46 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Israel Larraondo
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
20,139
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
20,139
10 SHARED VOTING POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,139
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%21
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

21 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 23 of 46 Pages

 

1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Robert Kramer
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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
20,000
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
20,000
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,000
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%22
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

22 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 24 of 46 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
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH 		7 SOLE VOTING POWER
17,632
8 SHARED VOTING POWER
0
9 SOLE DISPOSITIVE POWER
17,632
10 SHARED DISPOSITIVE POWER
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,632
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)
0.0%23
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

23 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 25 of 46 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%24
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

24 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 26 of 46 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
USA
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%25
14 TYPE OF REPORTING PERSON (See Instructions)
OO
       

__________________

25 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 27 of 46 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%26
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

26 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 28 of 46 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%27
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

27 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 29 of 46 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
USA
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%28
14 TYPE OF REPORTING PERSON (See Instructions)
OO
       

__________________

28 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

 

CUSIP No. G5785G107 SCHEDULE 13D Page 30 of 46 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
USA
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%29
14 TYPE OF REPORTING PERSON (See Instructions)
IN
       

__________________

29 Based upon 84,604,862 shares of Ordinary shares, par value $0.20 per share (“Shares”), of Mallinckrodt plc. (the “Issuer”) outstanding as of October 30, 2020, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2020.

 

 
 
 

This Amendment No. 1 to Schedule 13D (“Amendment No. 1”) 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. 1 does not modify any of the information previously reported on the Schedule 13D. Capitalized terms used but not otherwise defined in this Amendment No. 1 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   Vladislav Dikii

o   Thomas Gitter

o   Hank Beinstein

o   Janice J. O’Connor

o   Roman Dontsov Valentinovich

o   Alexander Koch

o   Alex Peter Wounlund

o   James Jonathan Josey

o   Pradeep Vasudeva Kadambi

o   Kimberly Tully

o   Andrew Gruber

o   Alexander Lugovoy

o   Richard Barry

o   Zavolozhin Sergey Vladimirovich

o   Victor Pardo

o   Mary Dunne

o   Petr Hofrek

o   Chris Tichenor

o   Israel Larraondo

o   Robert Kramer

o   David Lamb

o   Daniliuk Kirill Vladimirovich

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

Page 31 of 46 Pages

   

 

   

o   Yushenkova Olga Petrovna

o   Vanik Petrosian

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

 

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, Buxton, Parker, nor any of 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.
     
  (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:

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 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, 4,730,489 Shares. For the Individual Members, other than Thomas Gitter, 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:

Page 32 of 46 Pages

 
 
 

 

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, including, without limitation, seeking Board representation, submitting shareholder proposals, calling for a special shareholder meeting, or calling for changes in the board of directors or management of the Issuer.

 

On March 10, 2021, the Reporting Persons sent a letter via email (the “Letter”) to the Issuer. The Letter is filed herewith as Exhibit 99.2 to the Amendment No. 1.

 

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 1,225,535 Shares of the Issuer, or a 1.4% 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 4,730,489 Shares or a 5.6% 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 1,225,535 Shares.

Buxton has the shared power to vote or direct the vote over 1,225,535 Shares.

Parker has the shared power to vote or direct the vote over 1,225,535 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 1,225,535 Shares.

Buxton has the shared power to dispose or to direct the direct the disposition of 1,225,535 Shares.

Parker has the shared power to dispose or to direct the direct the disposition of 1,225,535 Shares.

 

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

   

Page 33 of 46 Pages

   

 

(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 5:00 p.m., New York City time, on March 5, 2021.  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
Buxton 1/8/2021 2,50030 0.233
Buxton 1/8/2021 2,74631 0.23
Buxton 1/12/2021 30,000 0.2212
Buxton 1/12/2021 4,600 0.25
Buxton 1/12/2021 200 0.25
Buxton 1/14/2021 73,547 0.249092567
Buxton 1/14/2021 3,530 0.249092567
Buxton 1/14/2021 72,923 0.249092567
Buxton 1/19/2021 85,000 0.24495935
Buxton 1/19/2021 941 0.24499575
Buxton 1/19/2021 19,446 0.24499575
Buxton 1/19/2021 19,613 0.24499575
Buxton 1/20/2021 4,150 0.2406
Buxton 2/18/2021 1,800 0.423
Buxton 2/22/2021 1,238 0.44
Buxton 2/22/2021 6,606 0.431
Buxton 2/22/2021 100 0.431
Buxton 2/22/2021 2,500 0.44
Buxton 2/22/2021 300 0.4402
Buxton 2/22/2021 17,640 0.45
Buxton 2/23/2021 2,383 0.415
Buxton 2/23/2021 29 0.42
Buxton 2/24/2021 1 0.445
Buxton 2/24/2021 12 0.445
Buxton 2/24/2021 6 0.445
Buxton 2/24/2021 28,790 0.445
Buxton 2/24/2021 14,949 0.445
Buxton 2/24/2021 12 0.445
Buxton 2/24/2021 6 0.449947714
Buxton 2/24/2021 7,996 0.449947714
Buxton 2/24/2021 15,398 0.449947714
Buxton 2/24/2021 500 0.425
Buxton 2/24/2021 1,200 0.427
Buxton 2/24/2021 2,853 0.4299
Buxton 2/24/2021 2,500 0.4348
Buxton 2/24/2021 5,975 0.435
Buxton 2/24/2021 3,500 0.4475
Buxton 2/24/2021 2,500 0.4475

 

__________________

30 Sale of Shares.

31 Sale of Shares.

 

 

Page 34 of 46 Pages

   

 

Reporting Person Date Shares Price of Security
Buxton 2/24/2021 2,500 0.4475
Buxton 2/24/2021 5,024 0.45
Buxton 2/25/2021 16,600 0.41
Buxton 2/25/2021 2,655 0.4111
Buxton 2/25/2021 1,069 0.4081
Buxton 2/25/2021 10,000 0.47
Buxton 2/25/2021 1,000 0.4106
Buxton 2/25/2021 1,000 0.413
Buxton 2/26/2021 2,500 0.41
Buxton 2/26/2021 2,500 0.41
Buxton 2/26/2021 2,500 0.41
Buxton 2/26/2021 164 0.41
Buxton 2/26/2021 4,233 0.4099
Buxton 2/26/2021 405 0.41
Buxton 2/26/2021 1,336 0.41
Buxton 2/26/2021 1,124 0.41
Buxton 3/1/2021 5,172 0.4065
Buxton 3/1/2021 4,804 0.41
Buxton 3/1/2021 156 0.4
Buxton 3/1/2021 900 0.405
Buxton 3/1/2021 2,500 0.41
Buxton 3/1/2021 2,500 0.41
Buxton 3/1/2021 2,500 0.41
Buxton 3/1/2021 2,500 0.4111
Buxton 3/1/2021 2,550 0.43
Thomas Gitter 1/12/2021 13,838 0.22
Thomas Gitter 1/12/2021 3,000 0.2175
Thomas Gitter 1/12/2021 3,162 0.2174
Thomas Gitter 1/14/2021 8,755 0.24
Thomas Gitter 1/14/2021 1,245 0.2399
Thomas Gitter 1/22/2021 24,720 0.239
Thomas Gitter 1/22/2021 13,280 0.238
Kimberly Tully 1/4/2021 3,000 0.26
Kimberly Tully 1/13/2021 2,000 0.26
Kimberly Tully 1/13/2021 3,000 0.23
Kimberly Tully 1/13/2021 1,625 0.23
Kimberly Tully 1/13/2021 1,175 0.22
Kimberly Tully 1/13/2021 3,000 0.22
Kimberly Tully 1/20/2021 1,200 0.24
Kimberly Tully 1/22/2021 1,600 0.24
Kimberly Tully 1/23/2021 4,999 0.24
Kimberly Tully 1/25/2021 4,999 0.24
Kimberly Tully 1/25/2021 4,999 0.24
Kimberly Tully 1/26/2021 4,000 0.23
Kimberly Tully 1/26/2021 1,101 0.24
Kimberly Tully 1/26/2021 3,856 0.23
Kimberly Tully 1/26/2021 4,999 0.23
Kimberly Tully 1/26/2021 4,999 0.23

 

 

 

Page 35 of 46 Pages 

   

 

Reporting Person Date Shares Price of Security
Kimberly Tully 1/26/2021 4,999 0.24
Kimberly Tully 1/26/2021 4,999 0.24
Kimberly Tully 1/27/2021 4,999 0.26
Kimberly Tully 1/27/2021 4,999 0.2399
Kimberly Tully 1/27/2021 4,999 0.239
Kimberly Tully 1/27/2021 4,999 0.238
Kimberly Tully 1/27/2021 2,000 0.34
Kimberly Tully 1/29/2021 650 0.61
Kimberly Tully 2/5/2021 100 0.42
Kimberly Tully 2/9/2021 500 0.44
Kimberly Tully 2/13/2021 1,000 0.43
Kimberly Tully 2/15/2021 1,000 0.47
Kimberly Tully 2/24/2021 1,000 0.45
Kimberly Tully 3/1/2021 3,000 0.42
Janice J. O’Connor 1/29/2021 10,400 0.43
Chris Tichenor 2/09/2021 4,000 0.48
Chris Tichenor 2/09/2021 1,000 0.47
Chris Tichenor 2/24/2021 5,000 0.45
Chris Tichenor 2/24/2021 3,452 0.45
Chris Tichenor 2/25/2021 5,000 0.43
Chris Tichenor 2/25/2021 1,548 0.39

 

 

   
(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

 

 

Schedule A

 

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

 

 

Page 36 of 46 Pages

 

 

 

 

   

 

 

Name Principal Business Address or Residence Principal Occupation or Employment/ Principal Business Citizenship
Vladislav Dikii Moscow, p. Pervomayskoe, Block 328, Bld. 96, bldg. 9

Investor (Self-Employed)

 

Russia
Thomas Gitter 17 Parklawn Place, Madison, WI  53705 Retired USA
Hank Beinstein

8 Dogwood Lane, Larchmont, NY, 10538

 

Partner and Portfolio Manager at Gagnon Securities, LLC

Principal Business: Investment Management

Address: 1370 6th Ave # 24, New York, NY 10019

USA
Janice J. O'Connor 12808 S. Outer Belt Road, Lone Jack, MO  64070 Retired USA
Roman Dontsov Valentinovich 350005 Russia, Krasnodar, Alexandra Pokryshkina street 2 /2 apartment 416 Self-Employed Russia
Alexander Koch Jakob-Kaiser-Str. 14A, D-49088 Osnabrueck, Germany Self-Employed Germany
Alex Peter Wounlund Bredholtvej 8, 2650 Hvidovre, Denmark

Key Account Manager at GlobalConnect

Principal Business: Fiber Network

Address: Havneholmen 6, 2450 Copenhagen, Denmark

Denmark
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

Page 37 of 46 Pages

   

 

Pradeep Vasudeva Kadambi

2764 Tartus Dr., Jacksonville, FL 32246 USA

 

Physician at Self-Employed.

Principal Business: Medicine

 

Address: 655 W. 8th Street, Jacksonville, FL 32209

USA
Kimberly Tully 4 South Deer Place, Hainesport, NJ  08036 Self-Employed Consultant USA
Andrew Gruber

215 Pleasant Street, Arlington MA 02476

 

Engineer at Qualcomm

Principal Business: Wireless Technology

Address: 5775 Morehouse Drive, San Diego CA 92121

USA
Alexander Lugovoy Russia, Rostov of Don, Big Sadovaya Street 120 kv 35 Self-Employed 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
Zavolozhin Sergey Vladimirovich Russia, Novosibirsk region, R, P Koltsovo 28

Doctor at Self-Employed

Principal Business: Medicine

Address: Russia, Novosibirsk, Pasechnaya street 1, k 2

Russia
Victor Pardo 11 Threepence Drive, Melville, NY  11747

Audio Engineer at Self-Employed

Address: 1100 Haff Avenue, North Bellmore, NY 11710

USA
Mary Dunne 54 Hicks Street, Brooklyn, NY  11201 Retired USA

Page 38 of 46 Pages

   

 

Petr Hofrek 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
Chris Tichenor 400 Redding Road, Lexington, KY  40517 Retired USA
Israel Larraondo 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
Robert Kramer 136 Wesley Drive, Swedesboro, NJ  08085 Retired USA
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
Daniliuk Kirill Vladimirovich 125315, G MOSKVA, PR-KT LENINGRADSKII, DOM 74/6, KV 76 Retired Russia
Joan I. Barry Revocable Trust (Dtd. 12/13/13) 3313 S. Victoria Drive, Blue Springs, MO  64015 Retired USA
Yushenkova Olga Petrovna Russia, Ryazan,Moscovskoe shosse d.33/4 kv.435 Investor (Self-Employed) Russia
Vanik Petrosian Ul Vodopoinaia, d 19, kv 178, 357748, g Kislovodsk, Stavropolskii krai Retired Russia

Page 39 of 46 Pages

   

 

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

 

 

 

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
Vladislav Dikii 970,000 1.1% 970,000 0 970,000 0
Thomas Gitter 626,750 0.7% 0 626,750 0 626,750
Hank Beinstein 241,689 0.3% 0 241,689 0 241,689
Janice J. O'Connor 69,000 0.1% 69,000 0 69,000 0
Roman Dontsov Valentinovich 135,212 0.2% 135,212 0 135,212 0
Alexander Koch 120,000 0.1% 120,000 0 120,000 0
Alex Peter Wounland 47,018 0.1% 47,018 0 47,018 0
James Jonathan Josey 111,400 0.1% 111,400 0 111,400 0
Pradeep Vasudeva Kadambi 101,900 0.1% 101,900 0 101,900 0
Kimberly Tully 90,000 0.1% 90,000 0 90,000 0
Andrew Gruber 80,000 0.1% 80,000 0 80,000 0

Page 40 of 46 Pages

   

 

Alexander Lugovoy 79,090 0.1% 79,090 0 79,090 0
Richard Barry 72,285 0.1% 72,285 0 72,285 0
Zavolozhin Sergey Vladimirovich 67,413 0.1% 67,413 0 67,413 0
Victor Pardo 52,080 0.1% 52,080 0 52,080 0
Mary Dunne 39,347 0.0% 39,347 0 39,347 0
Petr Hofrek 38,000 0.0% 38,000 0 38,000 0
Chris Tichenor 24,000 0.0% 24,000 0 24,000 0
Israel Larraondo 20,139 0.0% 20,139 0 20,139 0
Robert Kramer 20,000 0.0% 20,000 0 20,000 0
David Lamb 17,632 0.0% 17,632 0 17,632 0
Daniliuk Kirill Vladimirovich 193,000 0.2% 193,000 0 193,000 0
Joan I. Barry Revocable Trust (Dtd. 12/13/13) 93,000 0.1% 93,000 0 93,000 0
Yushenkova Olga Petrovna 77,699 0.1% 77,699 0 77,699 0
Vanik Petrosian 74,300 0.1% 74,300 0 74,300 0
John V. Barry Revocable Trust (Dtd. 12/13/13) 44,000 0.1% 44,000 0 44,000 0

 

 

 

 

 

 

Page 41 of 46 Pages

 
 
 

 

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   March 10, 2021
Name: Alexander E. Parker    
Title: Director    
     
     
     
THE BUXTON HELMSLEY GROUP, INC.    
     
     
By: /s/ Alexander E. Parker   March 10, 2021
Name: Alexander E. Parker    
Title: Senior Managing Director    
     
     
     
ALEXANDER E. PARKER    
     
     
By: /s/ Alexander E. Parker   March 10, 2021
Name: Alexander E. Parker    
       
     
     
VLADISLAV DIKII    
     
     
By: */s/ Vladislav Dikii   March 10, 2021
Name: Vladislav Dikii    
     
     
     
THOMAS GITTER    
     
     
By: */s/ Thomas Gitter   March 10, 2021
Name: Thomas Gitter    
     
     
     

 

 

 

Page 42 of 46 Pages

   

 

HANK BEINSTEIN    
     
     
By: */s/ Hank Beinstein   March 10, 2021
Name: Hank Beinstein    
     
     
     
JANICE J. O’CONNOR    
     
     
By: */s/ Janice J. O’Connor   March 10, 2021
Name: Janice J. O’Connor    
     
     
     
ROMAN DONSTOV VALENTINOVICH    
     
     
By: */s/ Roman Donstov Valentinovich   March 10, 2021
Name: Roman Donstov Valentinovich    
     
     
     
ALEXANDER KOCH    
     
     
By: */s/ Alexander Koch   March 10, 2021
Name: Alexander Koch    
     
     
     
ALEX PETER WOUNLUND    
     
     
By: */s/ Alex Peter Wounlund   March 10, 2021
Name: Alex Peter Wounlund    
     
     
     
JAMES JONATHAN JOSEY    
     
     
By: */s/ James Jonathan Josey   March 10, 2021
Name: James Jonathan Josey    
     
     
     
PRADEEP VASUDEVA KADAMBI    
     
     
By: */s/ Pradeep Vasudeva Kadambi   March 10, 2021
Name: Pradeep Vasudeva Kadambi    
     
     
     

  

Page 43 of 46 Pages 

   

 

KIMBERY TULLY    
     
     
By: */s/ Kimberly Tully   March 10, 2021
Name: Kimberly Tully    
     
     
     
ANDREW GRUBER    
     
     
By: */s/ Andrew Gruber   March 10, 2021
Name: Andrew Gruber    
     
     
     
ALEXANDER LUGOVOY    
     
     
By: */s/ Alexander Lugovoy   March 10, 2021
Name: Alexander Lugovoy    
     
     
     
RICHARD BARRY    
     
     
By: */s/ Richard Barry   March 10, 2021
Name: Richard Barry    
     
     
     
ZAVOLOZHIN SERGEY VLADIMIROVICH    
     
     
By: */s/ Zavolozhin Sergey Vladimirovich   March 10, 2021
Name: Zavolozhin Sergey Vladimirovich    
     
     
     
VICTOR PARDO    
     
     
By: */s/ Victor Pardo   March 10, 2021
Name: Victor Pardo    
     
     
     
MARY DUNNE    
     
     
By: */s/ Mary Dunne   March 10, 2021
Name: Mary Dunne    
     
     
     

  

Page 44 of 46 Pages 

   

 

PETR HOFREK    
     
     
By: */s/ Petr Hofrek   March 10, 2021
Name: Petr Hofrek    
     
     
     
CHRIS TICHENOR    
     
     
By: */s/ Chris Tichenor   March 10, 2021
Name: Chris Tichenor    
     
     
     
ISRAEL LARRAONDO    
     
     
By: */s/ Israel Larraondo   March 10, 2021
Name: Israel Larraondo    
     
     
     
ROBERT KRAMER    
     
     
By: */s/ Robert Kramer   March 10, 2021
Name: Robert Kramer    
     
     
     
DAVID LAMB    
     
     
By: */s/ David Lamb   March 10, 2021
Name: David Lamb    
     
     
     
DANILIUK KIRILL VLADIMIROVICH    
     
     
By: */s/ Daniliuk Kirill Vladimirovich   March 10, 2021
Name: Daniliuk Kirill Vladimirovich    
     
     
     
JOAN I. BARRY REVOCABLE TRUST (DTD. 12/13/13)    
     
     
By: */s/ Janice J. O’Connor   March 10, 2021
Name: Janice J. O’Connor    
Title: Co-Trustee    
     
     
     

 

Page 45 of 46 Pages 

   

 

YUSHENKOVA OLGA PETROVNA    
     
     
By: */s/ Yushenkova Olga Petrovna   March 10, 2021
Name: Yushenkova Olga Petrovna    
     
     
     
VANIK PETROSIAN    
     
     
By: */s/ Vanik Petrosian   March 10, 2021
Name: Vanik Petrosian    
     
     
     
JOHN V. BARRY REVOCABLE TRUST (DTD. 12/13/13)    
     
     
By: */s/ Janice J. O’Connor   March 10, 2021
Name: Janice J. O’Connor    
Title: Co-Trustee    
     
     
     
*By: /s/ Alexander E. Parker   March 10, 2021
Name: Alexander E. Parker    
Title: Attorney-in-Fact    

 

Page 46 of 46 Pages

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