Mangrove Partners Im, Llc

Allegations: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD. INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION AT 16:16 ON THE TRADING DAY FOLLOWING THE PASSAGE OF THE REPORTING THRESHOLD AND UPDATED SUCH NOTIFICATION TWO DAYS FOLLOWING. Status: Final Sanction Detail: $2480 Summary: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FI THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 (9:30 AM EST) ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD (I.E., MAY 24, 2017). INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER, WHICH IS ADVISED BY NEW YORK-BASED MANGROVE PARTNERS, REPORTED ITS NET SHORT POSITION AT 16:16 (10:16 AM EST) ON MAY 24, 2017. MANGROVE PARTNERS UPDATED SUCH NOTIFICATION TWO DAYS FOLLOWING (MAY 26, 2017) PER THE REQUEST OF THE SWEDISH FI TO NOT ROUND THE PERCENTAGE OF SHARES SHORT. AS A RESULT OF THE CAYMAN MASTER'S FAILURE TO REPORT ITS SHORT POSITION IN A TIMELY MANNER, THE SWEDISH FI ASSESSED A SEK $20,000 (APPROXIMATELY $2,480.00 USD) PENALTY FEE FOR REPORTING ONE DAY LATE. AS A RESULT OF THE FOREGOING, MANGROVE PARTNERS HAS IMPLEMENTED ADDITIONAL CONTROLS TO ENSURE TIMELY REPORTING TO THE SWEDISH FI GOING FORWARD.

Allegations: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD. INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION AT 17:46 ON THE TRADING DAY FOLLOWING THE PASSAGE OF THE REPORTING THRESHOLD. Status: Final Sanction Detail: $620 Summary: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FI THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 (9:30 AM EST) ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD (I.E., MAY 22, 2017). INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER, WHICH IS ADVISED BY NEW YORK-BASED MANGROVE PARTNERS, REPORTED ITS NET SHORT POSITION AT 17:46 (11:46 AM EST) ON MAY 22, 2017. AS A RESULT OF THE CAYMAN MASTER'S FAILURE TO REPORT ITS SHORT POSITION IN A TIMELY MANNER, THE SWEDISH FI ASSESSED A SEK $5,000 (APPROXIMATELY $620.00 USD) PENALTY FEE, WHICH HAD BEEN REDUCED FROM THE GUIDELINES NORMALLY USED TO ASSESS SUCH PENALTIES, GIVEN THAT THE SWEDISH FI FOUND THE INFRINGEMENT TO BE MINOR. AS A RESULT OF THE FOREGOING, MANGROVE PARTNERS HAS IMPLEMENTED ADDITIONAL CONTROLS TO ENSURE TIMELY REPORTING TO THE SWEDISH FI GOING FORWARD.

Allegations: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD. INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION AT 19:41 ON THE TRADING DAY FOLLOWING THE PASSAGE OF THE REPORTING THRESHOLD. Status: Final Sanction Detail: $1240 Summary: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FI THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 (9:30 AM EST) ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD (I.E., JULY 17, 2017). INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER, WHICH IS ADVISED BY NEW YORK-BASED MANGROVE PARTNERS, REPORTED ITS NET SHORT POSITION AT 19:41 (1:41 PM EST) ON JULY 17, 2017. AS A RESULT OF THE CAYMAN MASTER'S FAILURE TO REPORT ITS SHORT POSITION IN A TIMELY MANNER, THE SWEDISH FI ASSESSED A SEK $10,000 (APPROXIMATELY $1,240.00 USD) PENALTY FEE, WHICH HAD BEEN REDUCED FROM THE GUIDELINES NORMALLY USED TO ASSESS SUCH PENALTIES, GIVEN THAT THE SWEDISH FI FOUND THE INFRINGEMENT TO BE MINOR. AS A RESULT OF THE FOREGOING, MANGROVE PARTNERS HAS IMPLEMENTED ADDITIONAL CONTROLS TO ENSURE TIMELY REPORTING TO THE SWEDISH FI GOING FORWARD.

Allegations: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD. INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER REPORTED ITS NET SHORT POSITIONS AT 18:32 AND 21:09 ON THE TRADING DAYS FOLLOWING THE PASSAGE OF THE REPORTING THRESHOLDS. Status: Final Sanction Detail: $1624 Summary: ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FI THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF A SWEDISH-LISTED COMPANY. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 (9:30 AM EST) ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD (I.E., APRIL 13, 2017 AND JUNE 5, 2017, RESPECTIVELY). INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER, WHICH IS ADVISED BY NEW YORK-BASED MANGROVE PARTNERS, REPORTED ITS NET SHORT POSITIONS AT 18:32 (12:32 PM EST) ON APRIL 13, 2017 AND 21:09 (3:09 PM EST) ON JUNE 5, 2017 RESPECTIVELY. AS A RESULT OF THE CAYMAN MASTER'S FAILURE TO REPORT ITS SHORT POSITION IN A TIMELY MANNER, THE SWEDISH FI ASSESSED A SEK $13,100 (APPROXIMATELY $1,624.00 USD) PENALTY FEE, WHICH HAD BEEN REDUCED FROM THE GUIDELINES NORMALLY USED TO ASSESS SUCH PENALTIES, GIVEN THAT THE CAYMAN MASTER ITSELF REPORTED SUCH INFRINGEMENT TO THE SWEDISH FI AND AS SUCH THE SWEDISH FI FOUND THE INFRINGEMENT TO BE MINOR. AS A RESULT OF THE FOREGOING, MANGROVE PARTNERS HAS IMPLEMENTED ADDITIONAL CONTROLS TO ENSURE TIMELY REPORTING TO THE SWEDISH FI GOING FORWARD.

Allegations: ACCORDING TO REQUIREMENTS IMPOSED BY THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY ("FSA NORWAY") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF THREE NORWEGIAN-LISTED COMPANIES. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD. INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT, THE CAYMAN MASTER REPORTED ITS NET SHORT POSITIONS AT 22:36 AND 16:19 ON THE TRADING DAYS FOLLOWING THE PASSAGE OF THE REPORTING THRESHOLDS AND INCLUDED A TYPOGRAPHICAL ERROR IN THE NOTIFICATION ON A THIRD POSITION WHICH MADE IT APPEAR TO BE MADE SUBSEQUENT TO THE DEADLINE. Status: Final Sanction Detail: AS A "NO VIOLATION CHARGE," MANGROVE PARTNERS WAS NOT SUBJECT TO ANY SANCTIONS. Summary: ACCORDING TO REQUIREMENTS IMPOSED BY THE FSA NORWAY THE CAYMAN MASTER REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPITAL OF THREE NORWEGIAN-LISTED COMPANIES. PURSUANT TO APPLICABLE REQUIREMENTS, NOTIFICATION OF SUCH NET SHORT POSITIONS MUST BE RECEIVED NO LATER THAN 15:30 (9:30 AM EST) ON THE TRADING DAY FOLLOWING PASSAGE OF THE REPORTING THRESHOLD (I.E., APRIL 23, 2020, APRIL 28, 2020 AND MAY 16, 2020, RESPECTIVELY). INADVERTENTLY, AND DUE TO AN ADMINISTRATIVE OVERSIGHT OR TYPOGRAPHICAL ERROR, THE CAYMAN MASTER, WHICH IS ADVISED BY NEW YORK-BASED MANGROVE PARTNERS, REPORTED ITS NET SHORT POSITIONS AT 16:19 (10:19 AM EST) ON APRIL 23, 2020, AT 22:36 (4:36 PM EST) ON APRIL 28, 2020, AND AT 13:39 (8:39 AM EST) ON MAY 16, 2020, RESPECTIVELY. AS A RESULT OF THE CAYMAN MASTER'S FAILURE TO REPORT ITS SHORT POSITION IN A TIMELY MANNER, THE FSA NORWAY HAS ISSUED A WARNING TO MANGROVE PARTNERS AS PART OF A NO VIOLATION CHARGE.