UNITED STATES | OMB APPROVAL | |||||||||||||||||||||||
SECURITIES AND EXCHANGE COMMISSION | OMB Number: | 3235-0101 | ||||||||||||||||||||||
Washington, D.C. 20549 | Expires: | 0D\ ,2017 | ||||||||||||||||||||||
Estimated average burden | ||||||||||||||||||||||||
hours per response | 1.00 | |||||||||||||||||||||||
FORM 144 | ||||||||||||||||||||||||
NOTICE OF PROPOSED SALE OF SECURITIES | SEC USE ONLY | |||||||||||||||||||||||
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | DOCUMENT SEQUENCE NO. | |||||||||||||||||||||||
CUSIP NUMBER | ||||||||||||||||||||||||
ATTENTION: | Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale | |||||||||||||||||||||||
or executing a sale directly with a market maker. | WORK LOCATION | |||||||||||||||||||||||
1(a) Name of Issuer | (b) IRS Ident. No. | (c) SEC File No. | ||||||||||||||||||||||
RED LION HOTELS CORP. | 91-1032187 | 001-13957 | (e) Telephone No. | |||||||||||||||||||||
1(d) Address of Issuer | Street | City | State | Zip Code | Area Code | Number | ||||||||||||||||||
1550 Market St. # 350 | Denver | CO | 80202 | 509 | 459-6100 | |||||||||||||||||||
2(a) Name of Person for Whose Account the Securities are to be Sold | (b) Relationship to Issuer | (c) Address (street) | City | State | Zip Code | |||||||||||||||||||
COLUMBIA PACIFIC OPPPORTUNITY FUND, LP | Director | 1910 Fairview Ave. E., Ste 200, | Seattle, | WA | 98102 | |||||||||||||||||||
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number. |
3 (a) | (b) | SEC USE | (c) | (d) | (e) | (f) | (g) | |||||||||||||||||
Name and Address of | ONLY | |||||||||||||||||||||||
Each Broker Through | ||||||||||||||||||||||||
Title of the | Whom the Securities | Number of | Number of Shares | Approximate | Name of Each | |||||||||||||||||||
Class of | are to be Offered or Each | Shares or Other | Aggregate | or Other Units | Date of Sale | Securities | ||||||||||||||||||
Securities | Market Maker Who is | Broker-Dealer | Units to be Sold | Market Value | Outstanding | (See instr. 3(f)) | Exchange | |||||||||||||||||
To Be Sold | Acquiring the Securities | File Number | (See instr. 3(c)) | (See instr. 3(d)) | (See instr. 3(e)) | (MO. DAY YR.) | (See instr. 3(g)) | |||||||||||||||||
Common Stock |
JonesTrading
Institutional Services LLC 0197 Prospector Rd, Ste 2104B Aspen, CO 81611 |
31,612 |
$411,126.70 |
24,274,599 |
On or after 09/07/2018 |
NYSE | ||||||||||||||||||
INSTRUCTIONS: | ||||||||||||||||||||||||
1. (a) | Name of issuer | 3. (a) | Title of the class of securities to be sold | |||||||||||||||||||||
(b) | Issuers I.R.S. Identification Number | (b) | Name and address of each broker through whom the securities are intended to be sold | |||||||||||||||||||||
(c) | Issuers S.E.C. file number, if any | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | |||||||||||||||||||||
(d) | Issuers address, including zip code | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the | |||||||||||||||||||||
(e) | Issuers telephone number, including area code | filing of this notice | ||||||||||||||||||||||
(e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof | |||||||||||||||||||||||
2. (a) | Name of person for whose account the securities are to be sold | outstanding, as shown by the most recent report or statement published by the issuer | ||||||||||||||||||||||
(b) | Such persons relationship to the issuer (e.g., officer, director, | (f) | Approximate date on which the securities are to be sold | |||||||||||||||||||||
10 percent stockholder, or member of immediate family of | (g) | Name of each securities exchange, if any, on which the securities are intended to be sold | ||||||||||||||||||||||
any of the foregoing) | ||||||||||||||||||||||||
(c) | Such persons address, including zip code | |||||||||||||||||||||||
Potential persons who are to respond to the collection of information contained in this form are not required | ||||||||||||||||||||||||
to respond unless the form displays a currently valid OMB control number. | SEC 1147 (08-07) | |||||||||||||||||||||||
TABLE I SECURITIES TO BE SOLD | ||||||||||||||||||||||||
Furnish the following information with respect to the acquisition of the securities to be sold | ||||||||||||||||||||||||
and with respect to the payment of all or any part of the purchase price or other consideration therefor: | ||||||||||||||||||||||||
Name of Person From | ||||||||||||||||||||||||
Title of | Date You | Name of Acquisition | Whom Acquired (If gift, | Amount of | Date of | Nature | ||||||||||||||||||
the Class | Acquired | Transaction | also give date donor acquired) | Securities Acquired | Payment | of Payment | ||||||||||||||||||
Common Stock | 07/2009 |
All open market transactions | Various brokers | 3,000 |
Various Settlement Dates | Cash | ||||||||||||||||||
INSTRUCTIONS: | If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the | |||||||||||||||||||||||
consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when | ||||||||||||||||||||||||
the note or other obligation was discharged in full or the last installment paid. |
TABLE II SECURITIES SOLD DURING THE PAST 3 MONTHS | ||||||||||||||||||||||||
Furnish the following information as to all securities of the issuer sold during the past 3 months | ||||||||||||||||||||||||
by the person for whose account the securities are to be sold. | ||||||||||||||||||||||||
Name and Address of the Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds | ||||||||||||||||||||
Columbia Pacific Opportunity Fund, L.P. |
Common Stock | 6/4/2018 | 141,000 | 1,530,893.40 | ||||||||||||||||||||
1910 Fairview Avenue East, Suite 200 | 6/11/2018 | 125,000 | 1,480,437.50 | |||||||||||||||||||||
Seattle, Washington 98102-3620 | 6/18/2018 | 68,320 | 839,256.54 | |||||||||||||||||||||
6/19/2018 | 39,580 | 468,429.30 | ||||||||||||||||||||||
6/20/2018 | 70,100 | 836,643.50 | ||||||||||||||||||||||
8/27/2018 | 18,200 | 253,047.34 | ||||||||||||||||||||||
8/28/2018 | 30,000 | 411,843.00 | ||||||||||||||||||||||
8/29/2018 | 43,225 |
599,025.02 | ||||||||||||||||||||||
Remarks: | ||||||||||||||||||||||||
INSTRUCTIONS: | ATTENTION: | |||||||||||||||||||||||
See the definition of person in paragraph (a) of Rule 144. Information is to be given not | The person for whose account the securities to which this notice relates are to be sold | |||||||||||||||||||||||
only as to the person for whose account the securities are to be sold but also as to all | hereby represents by signing this notice that he does not know any material adverse | |||||||||||||||||||||||
other persons included in that definition. In addition, information shall be given as to | information in regard to the current and prospective operations of the Issuer of the securities | |||||||||||||||||||||||
sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated | to be sold which has not been publicly disclosed. If such person has adopted a written | |||||||||||||||||||||||
with sales for the account of the person filing this notice. | trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, | |||||||||||||||||||||||
by signing the form and indicating the date that the plan was adopted or the instruction | ||||||||||||||||||||||||
given, that person makes such representation as of the plan adoption or instruction date. | ||||||||||||||||||||||||
September 7, 2018 |
/s/ Alexander Washburn | |||||||||||||||||||||||
DATE OF NOTICE | (SIGNATURE) | |||||||||||||||||||||||
The notice shall be signed by the person for whose account the securities | ||||||||||||||||||||||||
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, | are to be sold. At least one copy of the notice shall be manually signed. | |||||||||||||||||||||||
IF RELYING ON RULE 10B5-1. | Any copies not manually signed shall bear typed or printed signatures. | |||||||||||||||||||||||
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) | ||||||||||||||||||||||||
SEC 1147 (02-08) |