SEC Form 4 · accession 0001104659-15-037292
Affinity Gaming
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Z Capital Partners, L.L.C.
10% Owner
Zenni Holdings LLC
10% Owner
James Joseph Zenni Jr.
10% Owner
Period of report
May 11, 2015
Accepted (ET)
May 12, 2015 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001499268
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | May 11, 2015 | A | 20,512 | $0.00 | A | 8,044,948 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 5,450,677.23 shares that may be deemed to be indirectly beneficially owned by Z Capital Special Situations Adviser, L.P. ("Special Adviser"), as the investment adviser of certain private funds; Z Capital Partners, L.L.C. ("Z Capital"), as the general partner of Special Adviser; Zenni Holdings, LLC ("Zenni Holdings"), as the managing member of Z Capital; and James J. Zenni ("Mr. Zenni"), as the President of Z Capital and the sole owner of Zenni Holdings.
- F2Includes 2,594,271.17 shares that may be deemed to be indirectly beneficially owned by Z Capital Special Situations Fund GP, L.P. ("Special GP"), as the manager of certain private funds; Z Capital Special Situations Fund UGP, L.L.C. ("Special UGP"), as the general partner of Special GP; Z Capital, as the managing member of Special UGP; Zenni Holdings, as the managing member of Z Capital; and Mr. Zenni, as the President of Z Capital and the sole owner of Zenni Holdings. Includes 20,512 shares awarded to Special GP on May 11, 2015. These shares are time vested restricted stock, which vest in equal increments on May 11, 2015 and January 1, 2016.
- F3Each Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his or its pecuniary interest therein.