1 case no. 16-11599 (mfw) notice of filing of list of

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 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


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


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


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


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


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


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


Common 7,830


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


Common 28,799

Equity Trust Company Custodian FBO Susan B. Belt, Roth IRA


Preferred F 18,700

Equity Trust Company Custodian FBO:John E. Holder, IRA


Preferred F 49,592

Equity Trust Company Custodian FBO:Susan B. Belt, IRA


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


Preferred F 20,000

First Clearing, LLC as Custodian FBO Maureen A. Paluszek


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


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


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


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


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


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


Common 28,893

Jonathan and April Fenton Revocable Trust dated July 23rd, 2007


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


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


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


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


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


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


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


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


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


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


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


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


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


Common 30,257

UBS Financial FBO John K. Alstrom, IRA


Common 9,106

UBS Financial Services Inc. FBO: John K. Alstrom IRA


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


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


1 case no. 16-11599 (mfw) notice of filing of list of

Documents