SEC Form 4 · accession 0001209191-15-003474
Affinity Gaming
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Joseph Zenni Jr.
Director · 10% Owner
Period of report
Jan 6, 2015
Accepted (ET)
Jan 9, 2015 · 5:22 pm EST
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 SharesF1,F2,F3 | Jan 6, 2015 | A | 1,191,327 | $9.75 | A | 8,024,436 | 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 2,573,759.17 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.
- F3The Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his or its pecuniary interest therein.
Remarks
Due to an administrative error, Mr. Zenni was inadvertently omitted from the Form 4 filed by Z Capital Partners. L.L.C., Zenni Holdings, LLC, Z Capital Special Situations Adviser, LP, Z Capital Special Situations Fund GP, L.P., and Z Capital Special Situations Fund UGP, L.L.C. on January 8, 2014.