Initial Statement of Beneficial Ownership (3)
17 Marzo 2020 - 9:55PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Nierenberg David |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/16/2020
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3. Issuer Name and Ticker or Trading Symbol
Houston Wire & Cable CO [HWCC]
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(Last)
(First)
(Middle)
19605 NE 8TH STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
CAMAS, WA 98607
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
COMMON STOCK (1)(2) | 1061454 | I | BY THE D3 FAMILY BULLDOG FUND, L.P. (3) |
COMMON STOCK (1)(2) | 549838 | I | BY THE D3 FAMILY FUND, L.P. (3) |
COMMON STOCK (1)(2) | 32266 | I | BY HAREDALE LTD. (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This Form 3 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer. |
(2) | Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 3 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. |
(3) | Nierenberg Investment Management Company ("NIMCO") is the sole general partner of The D3 Family Fund, LP and The D3 Family Bulldog Fund, LP, and the sole investment manager of Haredale Ltd. (collectively, the "Funds"). Mr. Nierenberg is the president of NIMCO. By virtue of these relationships, each of the Reporting Persons may be deemed to beneficially own the securities owned directly by the Funds. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nierenberg David 19605 NE 8TH STREET CAMAS, WA 98607 | X | X |
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Nierenberg Investment Management Company, Inc. 19605 NE 8TH ST CAMAS, WA 98607 |
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Signatures
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/S/CHRISTOPHER M. MICKLAS, ATTORNEY-IN-FACT | | 3/17/2020 |
**Signature of Reporting Person | Date |
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