SEC Form 4 · accession 0000899243-15-001107
Affinity Gaming
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Apr 29, 2014 | P | 10,000 | $10.00 | A | 2,013,959 | I | See footnote |
Table II — derivative securities
Explanation of responses
- F1These securities are held directly by certain investment funds for which Spectrum Group Management LLC ("Spectrum") acts as investment advisor, and with respect to which Spectrum shares voting and investment control. Jeffrey A. Schaffer (together with Spectrum, "the reporting persons") is the Managing Member of Spectrum. The reporting persons expressly disclaim beneficial ownership of these securities except to the extent of any pecuniary interest therein and this filing should not be deemed an admission of beneficial ownership of such shares for Section 16 purposes or any other purpose.
Remarks
Spectrum Group Management LLC ("Spectrum") and Jeffrey A. Schaffer (together with Spectrum, "the reporting persons") may be deemed to be members of a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the "Act"), with certain other holders (the "Other Holders"), together holding more than 10% of the Issuer's outstanding shares of common stock, as more fully described in the Schedule 13D filed by Spectrum with the Securities and Exchange Commission on June 6, 2013, and as subsequently amended. The reporting persons expressly disclaim the existence of a group, as well as beneficial ownership of the shares of common stock held by the Other Holders, and this filing should not be deemed an admission of beneficial ownership on these points for Section 16 purposes or any other purpose.