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IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE
In re: SynCardia Systems, Inc.1
Debtor.
Chapter 11 Case No. 16-11599 (MFW)
NOTICE OF FILING OF LIST OF EQUITY SECURITY HOLDERS
PLEASE TAKE NOTICE that pursuant to Rule 1007(a)(3) of the Federal Rules
of Bankruptcy Procedure, the above-captioned debtor has filed the attached list of equity security
holders of SynCardia Systems, Inc.
Respectfully submitted,
Dated: July 15, 2016 YOUNG CONAWAY STARGATT &
TAYLOR, LLP /s/ Norah Roth-Moore Robert S. Brady (No. 2847)
Sean T. Greecher (No. 4484) Justin H. Rucki (No. 5304) Norah Roth-Moore (No. 6125) Rodney Square 1000 North King Street Wilmington, Delaware 19801 (302) 571-6600
and
Michael S. Fox, Esquire Jonathan T. Koevary, Esquire OLSHAN FROME WOLOSKY LLP 1325 Avenue of the Americas New York, New York 10019 (212) 451-2300 Proposed Counsel to the Debtor
1 The Debtor in this case (with the last four digits of its taxpayer ID no. in parenthesis): SynCardia Systems, Inc. (1044). The Debtor’s corporate address is: 1992 E. Silverlake Road, Tucson, Arizona 85713.
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 1 of 26
Equity Holder Address Class of Interest
Shares Held
Aaron & Joan‐Lois Kossoy, JTWRS 3573 E. Sunrise Drive, Suite 133 Tucson, AZ 85718
Common 11,847
Alan E. Zehngut 5601 N. Camino Real Tucson, AZ 85718
Common 4,919
Alan Zehngut, M.D. 5601 N. Camino Real Tucson, AZ 85718
Common 3,761
Albert S. & Joyce M. Callie 7512 E. Sabino Vista Drive Tucson, AZ 85750
Common 48,303
Albert S. & Joyce M. Callie, JTWRS 7512 E. Sabino Vista Drive Tucson, AZ 85750
Common 11,180
Alston Living Trust 850 S. Freeman Road Tucson, AZ 85748
Common 2,919
Alvin Martin 1511 Blue Meadow Road Potomac, MD 20854
Common
Preferred F
1,083
359
Amy Enterprises, LLC 8601 E. Tanque Verde Road Tucson, AZ 85749
Common 43,538
Amy Ford 1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 45,550
Andrea A. Muscarello and Virginia M. Muscarello as Co‐Trustees of the Muscarello Family Trust u/a dated November 10, 2004
3720 E. Sumo Septimo Tucson, AZ 85718
Common
Preferred F
7,159
14,388
Andrew & Sherri Courtney, JTWRS 5066 N. Marlin Canyon Place Tucson, AZ 85750
Common 29,296
Andrew W. and Sherri L. Courtney, JTWRS
5066 N. Marlin Canyon Place Tucson, AZ 85750
Common 3,792
Angelo & Ann Vangos 24 Lakeside Drive Shrewsbury, MA 01545
Common
Preferred F
73,240
23,525
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 2 of 26
Ann Marie Clock 7878 Tree Frog Trail Tucson, AZ 85735
Common 775
Arete Investors, LLC 7519 N. 9th Place Phoenix, AZ 85020
Common
Preferred F
21,156
17,985
Arizona Equities Investor Group Limited Partnership, LLP
1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 70,149
Ashland Group Profit Sharing Trust Segregated Account for Duff C. Hearon as His Sole and Separate Property
The Hearon Company Ashland Group, L.L.C. 1050 E. River Road, Suite 300 Tucson, AZ 85718
Common
Preferred F
97,084
36,000
Athyrium Opportunities Fund (A) LP 530 Fifth Avenue, 25th Floor New York, NY 10036
Preferred F 1,460,768
Athyrium Opportunities Fund (B) LP 530 Fifth Avenue, 25th Floor New York, NY 10036
Preferred F 807,754
Barbara and Scott Brady‐Smith Trust Dated August 21,2007
3196 Lucas Drive Lafayette, CA 94549
Common 14,807
Barbara Lehrer 3 Harbor Courtwest Roslyn, NY 11576
Common 1,082
Barry Kusman 6480 N. Placita de Tiaro Tucson, AZ 85750
Common 32,265
Benoni Investments LLLP 6626 E. Circulo Otono Tucson, AZ 85750
Common 36,900
Benoni Investments LLP 6626 E. Circulo Otono Tucson, AZ 85750
Common 15,332
Bentley Asset Management, L.P. 6002 Club Oaks Drive Dallas, TX 75248
Preferred F 71,950
Bentley Family Holdings, LLC 6002 Club Oaks Drive Dallas, TX 75248
Common 16,396
Betty Fatzie 335 Tschiffely Sq. Rd. North Potomac, MD 20878
Preferred F 7,200
BJSP Investment, LP 1360 S. Coast Highway 101 Encinitas, CA 92024
Common 53,927
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 3 of 26
Bochnowski Family Trust 28 Camino por los Arboles Atherton, CA 94027
Preferred F 431,655
Bradel Credit Shelter Trust 11588 Via Rancho San Diego Rancho San Diego, CA 92019
Common
Preferred F
27,095
7,194
Brian Larson 3334 E. Milber Street Tucson, AZ 85714
Common 12,299
Bridget Carnell‐Ash 1360 S. Coast Highway 101 Encinitas, CA 92024
Common 63,985
Broadmont Associates, L.P. PO Box 31000 Tucson, AZ 85751
Preferred F 143,885
Bruce V. Rauner R8 Capital Partners, LLC 191 N. Wacker Drive, Suite 1500 Chicago, IL 60606
Common 305,593
Burton J. Kinerk FBO Burton J. Kinerk PS Plan
P.O. Box 41653 Tucson, AZ 85717
Common 18,912
CardioWest Technologies, Inc. 1501 N. Campbell Ave., Room 2445 Tucson, AZ 85724
Common 15,000
Carlos G. Touche Trust FBO Steven David Touche DTD 11‐12‐1993
6256 E. Paseo Tierra Alta Tucson, AZ 85715
Common
Preferred F
30,676
24,174
Carmen Morris 874 W. Port Royal Place Oro Valley, AZ 85737
Common 2,200
Carol L. Hudson Exempt Trust 3334 E. Milber Street Tucson, AZ 85714
Common 24,584
Carole E. Marcot 12655 E. Horsehead Rd. Tucson, AZ 85749
Common 16,800
Catalina Investors, LLC 2272 E. Drachman Street Tucson, AZ 85719
Common 26,866
Catherine A. Higgins 37 Riverside Drive, Apt. 10B New York, NY 10023
Common
Preferred F
91,283
67,000
Ceres Venture Fund, L.P. 1750 Harding Road Northfield, IL 60093
Common
Preferred F
248,707
79,712
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 4 of 26
Charles Albert Touche Trustee Carlos G. Touche Trust FBO Charles Albert Touche dated November 12, 1993
5219 N. Casa Blanca Drive, #33 Paradise Valley, AZ 85253
Common 16,600
Charles I. Kampinski 85 Ridgecreek Trail Chagrin Falls, OH 44022
Common 30,667
Charles Player 17520 Whites Store Road Boyds, MD 20841
Common
Preferred F
6,956
10,000
Charles R. Player, Jr. 17520 Whites Store Road Boyds, MD 20841
Common 722
Charles R. Player, Jr. & Diane M. Player, JTWROS
17520 Whites Store Road Boyds, MD 20841
Common
Preferred F
7,426
25,827
Charles Touche: Self Directed IRA
5219 N. Casa Blanca Dr., #33 Paradise Valley, AZ 85253
Common 66,412
Charron A. Daigle The WMG Company One State Street, Suite 1740 Hartford, CT 06103
Common
Preferred F
10,553
14,388
Christian Fauria 9 Weston Avenue Foxboro, MA 02035
Common 21,900
Christopher & Maureen Paluszek 511 E. 20th Street, Apt. 12E New York, NY 10010
Common
Preferred F
18,862
17,985
Christopher & Maureen Paluszek, JTWRS
511 E. 20th Street, Apt. 12E New York, NY 10010
Common 1,103
Christopher J. & Maureen A. Paluszek, JTWRS
511 E. 20th Street, Apt. 12E New York, NY 10010
Common 11,838
Cochise Vista LLC PO Box 60 Patagonia, AZ 85624
Common
Preferred F
79,008
43,166
Cole M. Ford PO Box 888 St. David, AZ 85630
Common 31,335
Core IRA Holdings, LLC 2272 E. Drachman Street Tucson, AZ 85719
Common 14,340
Corevest Capital, LLLP 2272 E. Drachman Street Tucson, AZ 85719
Common
Preferred F
491,684
53,960
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 5 of 26
Credit Shelter Trust established under the C&G Family Trust dtd. 12/26/91 and Restated 1/7/2010
8601 E. Tanque Verde Road Tucson, AZ 85749
Common 20,519
Cross Continental Capital LLC 4289 N. Via Bellas Catalinas Tucson, AZ 85718
Preferred F 10,791
Curtis Brown 1427 W. Montebella Drive Tucson, AZ 85704
Common
Preferred F
500
300
David Boucher 1111 W. 12th Street, #114 Austin, TX 78703
Common
Preferred F
81,745
145,000
David Goldstein 1560 E. Placita Lupita Tucson, AZ 85718
Preferred F 72,000
David R. Byrd, trustee, UTA (2/3/4) 3760 Duke Road Oakland, MI 48363
Preferred F 287,856
Dean & Marilynne Greenberg Exempt Trust
4511 N. Campbell Ave., Suite 255 Tucson, AZ 85718
Common 25,760
Deborah Ratner Salzberg RMS Investment Group, LLC 50 Public Square, Suite 1600 Cleveland, OH 44113
Common 49,648
Delta Electronics Capital Company
Angelica Tu 3F, 99, Ruihu Street Neihu, Taipei ‐11491 Taiwan, R.O.C.
Preferred F 2,338,130
Dena Richter 10880 E. Linden Street Tucson, AZ 85749
Common 56,990
DeRoy C. Thomas 11 Avenue De La Mer Palm Coast, FL 32137
Common
Preferred F
157,044
64,748
Desert Sidecar I, LLC 631 N. 5th Ave. Tucson, AZ 85705
Common 16,437
Desert Sidecar III, LLC 631 N. 5th Ave Tucson, AZ 85705
Common 9,629
Desert Sidecar V, LLC 631 N. 5th Ave. Tucson, AZ 85705
Preferred F 48,201
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 6 of 26
Donald G. Isaacs 5225 N. Blue Bonnet Rd. Tucson, AZ 85745
Common
Preferred
11,391
25,000
Donald H. Lieberman 12851 E. Camino Ancho Tucson, AZ 85749
Common 13,391
Donald H. Lieberman, Trustee of the Donald H. Lieberman Exempt Trust UAD 5/9/2001
12851 E. Camino Ancho Tucson, AZ 85749
Common 13,391
Donald L. Baker Revocable Trust 6298 E. Grant Road #100 Tucson, AZ 85712
Common 4,815
Donald L. Baker TTEE U/A dtd 8/25/2006 Donald L. Baker Revocable Trust
6298 E. Grant Road #100 Tucson, AZ 85712
Common 14,315
Donald Oakland 4071 S. Fairway Groves Place Tucson, AZ 85730
Common
Preferred F
200
578
Dr. Elliott B. Levy 8912 Seneca Lane Bethesda, MD 20817‐3555
Common 21,922
Dr. George Sack 15 Aintree Road Baltimore, MD 21286
Common
Preferred F
41,771
36,000
Dr. Marvin J. Slepian 5001 N. Summit Ridge Road Tucson, AZ 85750
Common 662,819
Duff J. Hearon 4815 E. Clarendon Ave. Phoenix, AZ 85018
Common 10,349
Edith M. Smith 185 Madison Street Oceanside, CA 92057‐4410
Common 1,083
Entrust Arizona FBO: Andy Szach, SEP IRA
6902 N. Camino de las Candelas Tucson, AZ 85718
Common 13,571
Entrust Arizona FBO: Jerri Szach, SEP IRA
6902 N. Camino de las Candelas Tucson, AZ 85718
Common 16,585
Entrust Arizona FBO: Tyler Que Ford IRA
1580 N. Kolb Road, Suite 210 Tucson, AZ 85715
Common 7,830
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 7 of 26
Equity Trust & Co. Custodian FBO: John E. Holder, IRA
PO Box 60 Patagonia, AZ 85624
Common 19,096
Equity Trust & Co. Custodian FBO: Susan B. Belt, IRA
PO Box 60 Patagonia, AZ 85624
Common 28,799
Equity Trust Company Custodian FBO Susan B. Belt, Roth IRA
PO Box 60 Patagonia, AZ 85624
Preferred F 18,700
Equity Trust Company Custodian FBO:John E. Holder, IRA
PO Box 60 Patagonia, AZ 85624
Preferred F 49,592
Equity Trust Company Custodian FBO:Susan B. Belt, IRA
PO Box 60 Patagonia, AZ 85624
Preferred F 9,856
Equity Trust Company, dba Sterling Trust, Custodian, FBO: Philip G. Jameson
10797 N. Della Vita Place Tucson, AZ 85737
Common 14,446
Ernest Arispe 5651 N. Indian Trail Tucson, AZ 85750
Common 600
Eugene Martin 595 North Elting Corners Road Highland, NY 12528
Common 10,83
Financial Services Group 7202 E. Rosewood, Suite 200 Tucson, AZ 85710
Common 66,492
Financial Services Group, Inc. 7202 E. Rosewood, Suite 200 Tucson, AZ 85710
Common
Preferred F
5,803
22,878
First Clearing, LLC as Custodian FBO Christopher J. Paluszek
511 E. 20th Street, Apt. 12E New York, NY 10010
Preferred F 20,000
First Clearing, LLC as Custodian FBO Maureen A. Paluszek
511 E. 20th Street, Apt. 12E New York, NY 10010
Preferred F 20,000
Floyd S. Pearl & Debra S. Lazar, Joint Tenants
4289 N. Via Bellas Catalinas Tucson, AZ 85718
Preferred F 7,200
Frederic H. Moll 3746 Clay Street San Francisco, CA 94118
Common 15,047
Frederic H. Moll M.D. 3746 Clay Street San Francisco, CA 94118
Common 21,226
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 8 of 26
Gabriel Conen 217 Masonic Ave. San Francisco, CA 94118
Common
Preferred F
3,371
1,151
Gary L. Gibson 3178 E. Via Palomita Tucson, AZ 85718
Common 2,111
George B. Higgins, Jr. 12 Stony Brook Road South Darien, CT 06820
Common 48,570
George B. Higgins, Jr. 12 Stony Brook Road South Darien, CT 06820
Preferred F 25,899
George J. Feulner Feulner Dorris & Giordano PLC 2 E. Congress Street, Suite 1000 Tucson, AZ 85701
Common
Preferred F
77,397
62,000
Gerald J. Swanson 4020 N. Ridgecrest Drive Tucson, AZ 85750
Common
Preferred F
20,247
19,000
Godfrey and Suzanne Sullivan Revocable Trust
13370 Pierce Road Saratoga, CA 95070
Common 29,836
Goldberg Family Trust 5130 N. Rock Canyon Road Tucson, AZ 85750
Preferred F 20,000
Gordon Allison 20 Sunrise Road Cody, WY 82414
Common 12,299
Gordon Gleason 3420 W. Pepperwood Loop Tucson, AZ 85742
Common
Preferred F
2,500
4,000
Gordon N. Allison 20 Sunrise Road Cody, WY‐82414
Common 15,169
Graham Family Investments, LLC 60 E. Monroe Street, Unit 5901 Chicago, IL 60603
Preferred F 72,000
Hardin 2007 Revocable Trust 6711 E. Camelback Road, Unit 72 Scottsdale, AZ 85251
Common
Preferred F
21,156
21,223
Harry A. George 6145 N. Mina Vista Tucson, AZ 85718
Common
Preferred F
16,3682
14,100
Heather A. Hearon 302 Lau Manamana #74 Wailuki, HI 96793
Common 10,349
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 9 of 26
Highpoint Investments, LLC 6864 Engle Road Cleveland, OH 44130
Common
Preferred F
33,061
11,366
Highway 12 Venture Fund II, L.P. 1217 Broadway, Suite 105 PMB 223 Boise, ID 83706
Common 453,449
Highway 12 Venture Fund II‐B, L.P. 1217 Broadway, Suite 105 PMB 223 Boise, ID 83706
Common 427,576
HMA Capital Partners, LLC 120 N. Washington Square, Suite 705 Lansing, MI 48933
Common
Preferred F
89,672
28,345
Holualoa Arizona, Inc. C/O Lynn Taube 75‐5706 Hanama Place, Suite 104 Kailua‐Kona, HI 96740
Common
Preferred F
550,616
120,000
Howard Eisenberg 3086 E. Manzanita Ridge Place Tucson, AZ 85718
Common
Preferred F
2,086
7,195
Howard Eisenberg, M.D. 3086 E. Manzanita Ridge Place Tucson, AZ 85718
Common 12,209
Humble Holdings, LLC 5950 N. Moccasin Trail Tucson, AZ 85750
Common 24,599
Huw R. Jones and Cynthia Heydon‐Jones
7607 Crestview Drive Niwot, CO 80504
Common
Preferred F
75,389
22,805
I Solutions 1, LLC 5225 N. Blue Bonnet Road Tucson, AZ 85745
Common
Preferred F
16,994
10,000
Iron Gate Investments XIV LLC Iron Gate Capital 3000 Pearl Street, Suite 201 Boulder, CO 80301
Common
Preferred F
628,749
2,410,072
Irving Development Company The Irving Group 4980 N. Harbor Drive, #204 San Diego, CA 92106
Common
Preferred F
24,182
8,490
J. David Mackstaller 2272 E. Drachman Street Tucson, AZ 85719
Common 621
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 10 of 26
J. David Mackstaller as Trustee of the JDM Irrevocable Trust UA dated December 24, 2002
2272 E. Drachman Street Tucson, AZ 85719
Common 1,141,000
Jack Copeland 1755 Fairmount Street Carmel, IN 46032
Common 7,931
Jack Copeland, M.D. 1755 Fairmount Street Carmel, IN 46032
Common
Preferred F
144,176
15,000
Jack G. Copeland 1755 Fairmont Street Carmel, IN 46032
Common 30,735
Jack L. Martin, MD 415 Wyntrelea Drive Bryn Mawr, PA 19010
Common 7,503
James & Elizabeth Conroy 4364 N. Windridge Loop Tucson, AZ 85749
Common 6,227
James and Kristen Balserak, JTWRS 6434 E. Santa Aurelia Tucson, AZ 85715
Common 28,893
James C. Withers 6594 E. Celsian Pl Tucson, AZ 85750
Common 2,279
James Horn 4629 W. Red Wolf Drive Tucson, AZ 85742
Common
Preferred F
2,500
5,500
James Kimenker 31 Gravel Street Mystic, CT 06355
Common 32,212
James M. & Elizabeth O. Conroy, JTWROS
4364 N. Windridge Loop Tucson, AZ 85749
Common 3,055
James M. Conen 96 Broadway #103 Boston, MA 02116
Common
Preferred F
32,918
11,079
James Warner 6680 N. Saint Andrews Drive Tucson, AZ 85718
Common
Preferred F
30,600
14,389
Janell Jellison 6056 N. Indian Trail Tucson, AZ 85750
Common 15,077
Janice A. Copeland 4744 E. Mission Hill Drive Tucson, AZ 85718
Common 125,000
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 11 of 26
Jason W. Hughes P.O. Box 1495 Rancho Santa Fe, CA 92067
Common 85,960
Jay and Elsa Goldberg Family Revocable Trust Agreement
6125 N. Golden Eagle Tucson, AZ 85750
Common 14,807
JBRE Heart Sonnenschein Nath & Rosenthal LLP1221 Avenue of the Americas New York, NY 10020
Common 24,599
Jean Cohen 965 5th Ave. Apt#2A New York, NY 10075
Common
Preferred F
63,639
20,719
Jeffrey B. Timan 5501 N. Hacienda del Sol Road Tucson, AZ 85718
Common
Preferred F
10,176
17,986
Jeffrey J. Brankin 750 Carr Street Lakewood, CO 80214
Common 600
Jeffrey Katz 436 S. Avenida de Palmas Tucson, AZ 85716
Common 23,738
Jeffrey Light Rubin 244 Union Avenue Harrison, NY 10528
Common
Preferred F
9,655
3,309
Jennifer Baldwin 5091 N. Avenida de Castilla Tucson, AZ 85718
Common 11,658
Jennifer Michael 4501 E. 9th Street Tucson, AZ 85711
Common
Preferred F
3,400
2,159
Jerry Paul Widman 30914 Kilgour Drive Westlake, OH 44145
Preferred F 28,777
JoAnne M. Hungate 5132 N. Soledad Primera Tucson, AZ 85718
Preferred F 7,000
Joel B. Alvord 2007 Investment Trust No. 2
Shawmut Capital Partners 75 Federal Street, 18th Floor Boston, MA 02110
Common 299,886
John C. Evans P.O. Box 843 Marion, MA 02738
Common
Preferred F
21,008
15,000
John E. Holder PO Box 60 Patagonia, AZ 85624
Preferred F 21,583
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 12 of 26
John F. & Magdalena M. Siry 5416 E. Presidio Road Tucson, AZ 85712
Common 5,967
John F. & Magdalena M. Siry, JTWROS 5416 E. Presidio Road Tucson, AZ 85712
Common 1,834
John F. & Magdalena M. Siry, JTWRS 5416 E. Presidio Road Tucson, AZ 85712
Common 1,255
John J. Swain 431 N. Indian House Road Tucson, AZ 85711
Common
Preferred F
22,873
18,000
John L. Hall II
C/O Hall Properties Carpenter & Company 20 University Road Cambridge, MA 02138
Common 28,545
John M. Holliman, III 4301 E. Keim Drive Paradise Valley, AZ 85253
Common
Preferred
8,609
7,194
Jonathan and April Fenton Revocable Trust dated July 23rd, 1997
6340 N. Campbell Ave., Suite 240 Tucson, AZ 85718
Common 28,893
Jonathan and April Fenton Revocable Trust dated July 23rd, 2007
6340 N. Campbell Ave., Suite 240 Tucson, AZ 85718
Common 35,840
Jose Gonzalez & Lisa Landy PO Box 65146 Tucson, AZ 85728
Common 62,248
K&M Company, LLC C/O Lynn Taube 75‐5706 Hanama Place, Suite 104 Kailua‐Kona, HI 96740
Common
Preferred F
33,103
20,000
K3 Ventures II, LLC C/O Lynn Taube 75‐5706 Hanama Place, Suite 104 Kailua‐Kona, HI 96740
Preferred F 105,000
Kathleen R. Gibson 3178 Via Palomita Tucson, AZ 85718
Common 387
KC Limited Company, LLC C/O Lynn Taube 75‐5706 Hanama Place,Suite 104 Kailua‐Kona, HI 96740
Common
Preferred F
58,917
25,000
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 13 of 26
Keating Securities, LLC
C/O Larry Ricksen Reich and Walner LLP 1980 Mountain Blvd., Suite 202 Oakland, CA 94611
Common
Preferred F
109,743
33,525
Kenneth Jacowsky and Lois Jacowsky Wells Fargo Advisors 4051 E. Sunrise Drive, Suite 200 Tucson, AZ 85718
Common
Preferred F
18,485
6,331
Kevin A. North 38 Nauyaug Point Road Mystic, CT 06355
Common
Preferred F
71,042
35,971
Kinerk & Associate PC PS Plan P.O. Box 41653 Tucson, AZ 85717
Common
Preferred F
18,790
11,510
Lancashire Investor LLLP Sarver Heart Center 1501 N. Campbell Ave., Room 4143LTucson, AZ 85718
Common 24,659
Lanoy and Virginia Alston Revocable Family Trust
850 S. Freeman Road Tucson, AZ 85748
Common 13,715
Lauralee J. Dryden 1241 N. Wilmot Road Tucson, AZ 85712
Common 5,225
Laurie Dryden 1241 N. Wilmot Road Tucson, AZ 85712
Common 24,599
Leeland Lovaas, as Trustee of the Helen Lovass Separate Property Trust, dated December 14, 1983
5925 Lake Vista Dr. Bonsall, CA 92003
Common 39,931
Leo & Kathy Corbet 36 W. San Juan Phoenix, AZ 85013
Common 2,876
Leo & Kathy Corbet, JTWRS 36 W. San Juan Phoenix, AZ 85013
Common 33,255
Les R. Tager 7053 Woodbridge Circle Boca Raton, FL 33434
Common
Preferred F
51,437
36,000
Lion Rock Investment, LLC 260 Dedham Street Dover, MA 02030‐2230
Preferred F 71943
Lisa Lovallo 4915 E. Paseo del Bac Tucson, AZ 85718
Preferred F 17985
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 14 of 26
Luke Lehmann 1870 Park Newport, Apt. 212 Newport Beach, CA 92660
Common
Preferred F
600
400
Malisewski Family Living Trust
12601 E. Speedway Blvd. Tucson, AZ 85748
Common 13,366
Manuel Modiano and Patricia Plezia 120 S. Houghton Road Suite 138, PMB 338 Tucson, AZ 85748
Common 89,512
Manya Rubin Slater 21 Fairway Close Forest Hills, NY 11375
Preferred F 1,798
Manya Slater 21 Fairway Close Forest Hills, NY 11375
Common 9,371
Mark and Marion Kartchner Revocable Trust
3040 N. Bear Canyon Road Tucson, AZ 85749
Common 10,716
Mark and Marion Kartchner Revocable Trust dated 5/12/1987
3040 N. Bear Canyon Road Tucson, AZ 85749
Common 60,515
Mark C. Goldberg & Antonia L. Esquibel, JTWRS
13190 E. Placita las Avenas Tucson, AZ 85749
Common 41,461
Mark Cohen 205 E. 63rd Street, #11EF New York, NY 10065
Common
Preferred F
63,352
21,583
Mark Goldberg & Antonia Esquibel 13190 E. Placita las Avenas Tucson, AZ 85749
Common 181,634
Mark Goldberg & Antonia Esquibel, JTWRS
13190 E. Placita las Avenas Tucson, AZ 85749
Common
Preferred F
31,269
28,777
Mark Goldberg & Antonia L. Esquibel 13190 E. Placita las Avenas Tucson, AZ 85749
Common 45,999
Martha Hennig Trust The WMG Company One State Street, Suite 1740 Hartford, CT 06103
Common
Preferred F
33,261
11,079
Marvin J. Slepian, M.D. 5001 N. Summit Ridge Road Tucson, AZ 85750
Common
Preferred F
250,000
150,000
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 15 of 26
Marvin Slepian, M.D. 5001 N. Summit Ridge Road Tucson, AZ 85750
Common 15,332
Matthew Winchester 2426 E. Calle Pelicano Tucson, AZ 85706
Common 4,176
Megan M. Hearon 909 J Avenue Coronado, CA 92118
Common 10,349
Melody G. Pehote 28633 Flanders Ave. Warren, MI 48088
Common 3,067
Metric Capital, LLC 2530 W. 34th Avenue Denver, CO 80211
Common
Preferred F
75,362
17,985
Michael Garippa 5371 N. Spring Canyon Pl Tucson, AZ 85749
Common 91,401
Michael Gaul 4975 E. Lake Road Sheffield Lake, OH 44054
Common 11,220
Michael J. Mirro 2005 Prestwick Lane Fort Wayne, IN 46814
Preferred F 50,000
Michael Kanko 8336 E. Cactus Wren Scottsdale, AZ 85250
Preferred F 107,913
Michael Mark 284 Summer Ave. Reading, MA 01867
Common
Preferred F
37,060
71,943
Millennium Trust Co. LLC Custodian FBO Charles R. Dunn Roth IRA
5510 N. Camino Real Tucson, AZ 85718
Common
Preferred F
13,366
5,000
Millennium Trust Company, LLC Custodian FBO David R. Byrd Roth IRA
3760 Duke Road Oakland, MI 48363
Preferred F 16,000
Millennium Trust Company, LLC Custodian FBO Thomas Cox IRA
470 Michgamme Lane Lake Forest, IL 60045
Preferred F 25,179
Millennium Trust Company, LLC Custodian FBO W. K. Fuller Rollover IRA
501 N. Oakwood Ave., Apt. 1B Lake Forest, IL 60045
Common
Preferred F
8,995
48,561
Miramar Ventures, LLC P.O. Box 31597 Tucson, AZ 85751
Common 39,255
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 16 of 26
Mirro Family Partnership 2005 Prestwick Lane Fort Wayne, IN 46814
Preferred F 50,000
Mitchell B. Martin 8675 SW 26th Lane Gainsville, FL 32608
Common 1,083
MiVi Investments, LLC C/O Lynn Taube 75‐5706 Hanama Place, Suite 104 Kailua‐Kona, HI 96740
Common
Preferred F
45,984
20,000
MLPF&S Custodian FBO Saleh Daher IRA
100 Federal Street, 17th Floor MA5‐100‐17‐17 Boston, MA 02110
Preferred F 35,971
Monson Family Trust dated 10/28/1997 restated 7/7/2004
4572 E. Camp Lowell Tucson, AZ 85712
Common 25,718
Mrs. Ruth Diane Roberts, Roberts Family Retirement Account
81 McIntosh Street Gordon, New South Wales, 2072 Australia
Common 20,065
Neil R. Simon 4981 N. Circulo Sobrio Tucson, AZ 85718
Preferred F 30,000
Nicholson Investors L.P. 1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 30,338
Nicholson Investors Limited Partnership, LLLP
1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 128,928
Old Pueblo Anesthesia PC Restated 5601 N. Camino Real Tucson, AZ 85718
Common 1,229
Old Pueblo Anesthesia, PC 5601 N. Camino Real Tucson, AZ 85718
Common 3,761
Omnes Pro Uno, LLC 1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 114,100
Oracle Marketing & Consulting, Inc. Retirement Plan, Dtd. 1986
3905 N. Placita Vida Tucson, AZ 85718
Common
Preferred F
28,982
10,000
P&P Ventures LLC 43157 Schoenherr Sterling Heights, MI 48313
Common
Preferred F
20,176
28,597
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 17 of 26
Paladin Life Sciences, LLC 3561 E. Pierceton Road Warsaw, IN 46580
Common
Preferred F
45,842
15,468
Palice Investments, LLC 3333 E. Speedway Tucson, AZ 85716
Common
Preferred F
267,403
179,856
Paul Ash 1360 S. Coast Highway 101 Encinitas, CA 92024
Common 21,571
Paula Kampinski 3437 Courtland Road Beachwood, OH 44122
Common 30,667
Phil & Sheva Chess, JTWRS 11251 E. Broadway Tucson, AZ 85748
Common 15,332
Philip A. Vasta 9 Luz Del Dia Santa Fe, NM 87506‐0161
Common
Preferred F
41,838
28,200
Precept Capital Master Fund 200 Crescent Court, Suite 1450 Dallas, TX 75201
Preferred F 323,741
Que Mangus 2401 11th Street Cody, WY 82414
Common 62,918
R.B. O'Rielly Irrevocable GST Trust PO Box 31000 Tucson, AZ 85751
Preferred F 71,943
Rajesh U. Kothari Living Trust Dated 5/24/04
1559 Shankin Drive Wolverine Lake, MI 48390
Preferred F 35,985
Ralf Hennig 21 Seminary Road Bedford, NY 10506
Common 90,644
Ralf W. Hennig 21 Seminary Road Bedford, NY 10506
Common
Preferred F
53,069
50,000
Randy L. Greenberg as trustee of the Randy L. Greenberg Revocable Living Trust dated November 4, 2008
3109 Douglas Ave., #405 Dallas, TX 75219
Common 3,068
Randy Soderstror & Stephen Quinlan, JTWRS
7442 N. Whisper Canyon Place Tucson, AZ 85718
Common 43,285
RBC Capital Markets Corporation, Custodian, FBO Randy L. Greenberg, IRA
3109 Douglas Ave. #405 Dallas, TX 75219
Common 19,583
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 18 of 26
RBC Dain Rauscher FBO Randy Greenberg, IRA
3109 Douglas Ave. #405 Dallas, TX 75219
Common 8,831
RBOR Investments LLC PO Box 31000 Tucson, AZ 85751
Preferred F 71,943
Rhonda Fauria 51 Jeffrey Drive North Attleboro, MA 02760
Common 21,900
Richard B. and Barbara C. O'Rielly Revocable Trust Dated July 11, 2008
6215 E. Miramar Drive Tucson, AZ 85715
Common
Preferred F
69,892
107,915
Richard Fink 3645 E. Via Alcalde Tucson, AZ 85718
Common 3,037
Richard G. Lieberman 1 Foxtail Circle Santa Fe, NM 87506
Common 13,386
Richard G. Lieberman, Trustee of the Richard G. Lieberman Exempt Trust UAD 5/9/2001
1 Foxtail Circle Santa Fe, NM 87506
Common 13,388
Richard H. Renston Trust dated May 24, 2004
6172 N. Ventana View Place Tucson, AZ 85750
Common
Preferred F
25,792
18,000
Richard Smith, MSEE 1121 W. Coblewood Way Oro Valley, AZ 85737
Common 250,000
Rick Jahnz 7230 E. Sablewood Drive Prescott Valley, AZ 86315
Common 4,000
Rincon Etal Investments, Inc. PO Box 31000 Tucson, AZ 85751
Preferred F 14,3885
Robert & Patricia Ventura, JTWRS 6381 E. Miramist Place Tucson, AZ 85750
Common 39,911
Robert Curtis Gunn 631 N. 5th Ave Tucson, AZ 85705
Common
Preferred F
2,279
5,400
Robert E. Masterson 42335 Washington Street, Suite F‐14Palm Desert, CA 92211
Common
Preferred F
93,063
109,353
Robert Hanshaw 7979 S. Camino Loma Alta Place Tucson, AZ 85747
Common 24,599
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 19 of 26
Robert J. Hirsh 255 N. Ashbury Lane Tucson, AZ 85701
Common
Preferred F
30,997
11,483
Robert Masterson 42335 Washington Street, Suite F‐14Palm Desert, CA 92211
Common 223,627
Robin L. & Mitchell T. Pozez Exempt Trust
7925 N. Oracle Road #390 Tucson, AZ 85704
Common
Preferred F
24,599
9,137
Rodger Ford 1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 970,473
Rogers Holdings, LLP 3334 E. Milber Street Tucson, AZ 85714
Common 30,667
Rogers Real Estate Holdings LLP 3334 E. Milber Street Tucson, AZ 85714
Common 66,480
Ronald J. Daigle
C/O Charron Daigle The WMG Company One State Street, Suite 1740 Hartford, CT 06103
Common 32,341
Russell A. Chipman 4961 E. Oakmont Drive Tucson, AZ 85718
Preferred F 18,000
Russell W. Hall 5265 N. Spring View Drive Tucson, AZ 85749
Common
Preferred F
36,931
5,756
S & G Leasing, LLC 6770 W. Via Tres Casas Tucson, AZ 85743
Common 51,468
Sandyle Hand 724 N. Hayden Drive Tucson, AZ 85710
Common 3,068
Sari Friedman 190 Foxhunt Crescent Syosset, NY 11791
Common 1,083
Scott Edelman 5350 Calle Bujia Tucson, AZ 85718
Common 20,058
Scott Sebree and Loretta Peto 2315 E. 2nd Street Tucson, AZ 85719
Preferred F 28,776
Seneca Health Partners LP I 1415 W. 22nd Street, Suite 280 Oak Brook, IL 60523
Common 287,772
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 20 of 26
Seneca‐SynCardia Co‐Investment Fund, LLC
1415 W. 22nd Street, Suite 280 Oak Brook, IL 60523
Common 29,570
Shadow Vista Investment, LLC 7757 E. Shadow Vista Ct. Tucson, AZ 85750
Common 16,257
Sheafe Living Trust UA dated 2/24/1984
4572 E. Camp Lowell Tucson, AZ 85712
Common 143,924
Shelley Jo Pozez 4610 N. Placita Roca Blanca Tucson, AZ 85718
Common
Preferred F
14,315
8,634
Sindex SSI Lending, LLC
c/o Versa Capital Management, LLC Cira Centre 2929 Arch St Philadelphia, PA 19104
Common
Preferred F
40,000
2,323,649
Southwell Capital, LP 1901 N. Akard Street Dallas, TX 75201
Preferred F 215,000
SP Family, LLC Defined Benefit Pension Plan
936 W. Citrus Way Chandler, AZ 85248
Common 26,864
Startender, LLC 1600 N. Kolb Road, Suite 118 Tucson, AZ 85715
Common 718,405
Stephen E. Quinlan 7442 N. Whisper Canyon Place Tucson, AZ 85718
Common 78,301
Stephen J. Paluszek 242 E. 19th Street, Apt. PHW New York, NY 10003
Common
Preferred F
493,802
306,198
Sterling Trust Co. fbo Charles R. Player, Jr.
17520 Whites Store Road Boyds, MD 20841
Common 29,557
Steven Cox and Jennifer King, trustees of the Cox‐King Family Living Trust
2829 Via Anacapa Palos Verdes Estates, CA 90274
Common
Preferred F
36,971
82,734
Steven P. Sim 5650 Paseo del Fuente Tucson, AZ 85750
Common
Preferred F
63,098
23,023
Steven P. Sim & Marilyn B. Einstein, JTWRS
5650 Paseo del Fuente Tucson, AZ 85750
Common
Preferred F
18,799
5,760
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 21 of 26
SVP X, LLC 12790 El Camino Real, Suite 150 San Diego, CA 92130
Common 1,153,819
SynEq Ventures II, LLC 3195 W. Ray Rd, Suite 9 Chandler, AZ 85226
Common
Preferred F
297,138
561,150
Tanganyika LLC 6929 N. Hayden Road, Suite C4‐613 Scottsdale, AZ 85250
Preferred F 36,000
Tangies LLC 21120 Brantley Road Shaker Heights, OH 44122
Common
Preferred F
16,733
5,827
Tankersley Medical Investment C/O Richard Duffield, Manager 3430 E. Sunrise Drive, Suite 200 Tucson, AZ 85718
Common 245,996
Tankersley Medical Investment, LLC C/O Richard Duffield, Manager 3430 E. Sunrise Drive, Suite 200 Tucson, AZ 85718
Common 85,880
Tankersley Medical Investments, LLC C/O Richard Duffield, Manager 3430 E. Sunrise Drive, Suite 200 Tucson, AZ 85718
Common 34,055
TCI SSI, LLC 2121 W. Chandler Blvd. #103 Chandler, AZ 85224
Common 302,468
TD Ameritrade Clearing Inc. Custodian FBO Rodger Gilbert Ford IRA
1600 N. Kolb Road Tucson, AZ 85715
Common 24,659
TD Ameritrade Clearing, Inc. Custodian FBO: Gary L. Gibson, IRA
3178 E. Via Palomita Tucson, AZ 85718
Common 16,805
TD Ameritrade Clearing, Inc. Custodian FBO: John J. Swain Roth IRA
431 N. Indian House Road Tucson, AZ 85711
Common 23,644
TD Ameritrade Clearing, Inc. Custodian FBO: Kathy Gibson, IRA
3178 E. Via Palomita Tucson, AZ 85718
Common 12,225
The Buckeye Five LLP 7350 Oakcrest Drive Hubbard, OH 44425
Common 6,390
The Hayden Trust 325 W. Gurley Street, Suite 103 Prescott, AZ 86301
Common 9,602
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 22 of 26
The Janet M. Brady Revocable Trust u/d/t August 5, 1999, as amended and restated
54 Merrill Circle North Moraga, CA 94556
Common 14,807
The Johnson Family Trust Dated July 29, 2005
3265 N. Calle Tortosa Tucson, AZ 85750
Common
Preferred F
22,402
10,359
The Muscarello Family Trust 3720 E. Sumo Septimo Tucson, AZ 85718
Common 21,386
The Precept Fund II, LP 200 Crescent Court, Suite 1450 Dallas, TX 75201
Preferred F 323,741
Third Restatement of the Kenneth E. Warner Trust, Dated August 8, 2014
825 Munson Avenue Traverse City, MI 49686
Common 24,584
Thomas and Sabina Sullivan 6390 E. Tanque Verde Road Tucson, AZ 85715
Common
Preferred F
3,989
6,043
Thomas and Sandra Hicks Trust 6001 E. San Leandro Tucson, AZ 85715
Common
Preferred F
31,344
21,500
Thomas and Veronica Rogers Exempt Trust
3334 E. Milber Street Tucson, AZ 85714
Common 24,584
Thomas K. Connellan 882 Belvedere Blvd. Charlottesville, VA 22901
Common 166,837
Thomas K. Connellan Trust 882 Belvedere Blvd. Charlottesville, VA 22901
Common 18,349
Thomas L. Cox Declaration of Trust U/A/D 2/3/1993
8 Fairfax Lane Lincolnshire, IL 60069
Common 284
Thomas Limited Partnership 11 Avenue De La Mer Palm Coast, FL 32137
Common 31,472
Thomas T. Strasburg IRA 5120 E. Placita Cumpas Tucson, AZ 85718
Preferred F 10,000
Thomas W. Keating Family 1988 Trust
C/O Larry Ricksen Reich and Walner LLP 1980 Mountain Blvd., Suite 202 Oakland, CA 94611
Common
Preferred
35,114
10,719
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 23 of 26
Thomas W. Sullivan Sr. Revocable Living Trust
6390 E. Tanque Verde Road Tucson, AZ 85715
Common 16,781
Thomas W. Sullivan Sr. Revocable Living Trust u/a dated 7/9/2002
6390 E. Tanque Verde Rd. Tucson, AZ 85715
Common
Preferred F
382,501
179,856
Thomas W. Sullivan, Jr. 6390 E. Tanque Verde Rd. Tucson, AZ 85715
Common 62,895
Timan Land Corporation 5501 N. Hacienda del Sol Rd. Tucson, AZ 85718
Common 18,159
TSG Investments, LLC 5090 N. Marlin Canyon Place Tucson, AZ 85750
Common 56,128
Tyler Q. & Mary Jo Ford Family Trust 1580 N. Kolb Road, Suite 210 Tucson, AZ 85715
Common 30,257
UBS Financial Custodian FBO John K. Alstrom
1031 Granville Drive Newport Beach, CA 92660
Common 16,052
UBS Financial Custodian FBO John K. Alstrom IRA
1031 Granville Drive Newport Beach, CA 92660
Common 30,257
UBS Financial FBO John K. Alstrom, IRA
1031 Granville Drive Newport Beach, CA 92660
Common 9,106
UBS Financial Services Inc. FBO: John K. Alstrom IRA
1031 Granville Drive Newport Beach, CA 92660
Common 12,373
UBS Financial Services, Inc. Custodian FBO Robert M. Dryden, IRA
1241 N. Wilmot Road Tucson, AZ 85712
Common 110,641
UBS IRA FBO Byron Neal Fox 5285 E. Williams Circle, Suite 5500 Tucson, AZ 85711
Common 11,346
UBS‐FINSVCS C/F Robert M. Dryden 1241 N. Wilmot Road Tucson, AZ 85712
Common 29,485
VAF, LLLP 1600 N. Kolb Road, #118 Tucson, AZ 85715
Common 57,050
Valerie Conen 59 Cook Street Newton, MA 02458
Common
Preferred F
3,371
1,151
Violeta Dela Cruz‐Paluszek 242 E. 19th Street, Apt. PHW New York, NY 10003
Preferred F 36,000
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 24 of 26
W. Michael Sandahl Defined Benefit Plan
6310 N. Ventana View Place Tucson, AZ 85750
Common
Preferred F
15,634
7,194
Wells Fargo Bank Rollover C/F Robert M. Dryden
1241 N. Wilmot Road Tucson, AZ 85712
Common 188,225
Wendy Chiao Revocable Trust U/A/D December 26,1996 Wendy Chiao, Trustee
13437 Redmonds Hill Ct. Chelsea, MI 48118
Common
Preferred F
21,882
25,179
William C. Weinsheimer Trust dated 5/15/91 William C. Weinsheimer, Trustee
429 Walnut Street Winnetka, IL 60093
Common
Preferred F
12,445
18,000
William H. Lomicka 7406 N. Secret Canyon Dr. Tucson, AZ 85718
Common
Preferred F
11,397
5,395
William M. Griffin The WMG Company One State Street, Suite 1740 Hartford, CT 06103
Common
Preferred F
271,040
92,086
William MacNamara 3105 Trail Walk Prescott, AZ 86301
Common
Preferred F
14,068
4,749
Zachary Conen 134 Drakes Drum Drive Bryn Mawr, PA 19010
Common
Preferred F
3,371
1,151
Case 16-11599-MFW Doc 72 Filed 07/15/16 Page 25 of 26