0001494655-15-000002.txt : 20150213
0001494655-15-000002.hdr.sgml : 20150213
20150212192459
ACCESSION NUMBER: 0001494655-15-000002
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150213
DATE AS OF CHANGE: 20150212
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: FS Bancorp, Inc.
CENTRAL INDEX KEY: 0001530249
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036]
IRS NUMBER: 454585178
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-86916
FILM NUMBER: 15608410
BUSINESS ADDRESS:
STREET 1: 6920 220TH STREET SW
STREET 2: SUITE 300
CITY: MOUNTLAKE TERRACE
STATE: WA
ZIP: 98043
BUSINESS PHONE: 800-683-0973
MAIL ADDRESS:
STREET 1: 6920 220TH STREET SW
STREET 2: SUITE 300
CITY: MOUNTLAKE TERRACE
STATE: WA
ZIP: 98043
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Wedbush Opportunity Capital, LLC
CENTRAL INDEX KEY: 0001494655
IRS NUMBER: 753242582
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 1000 WILSHIRE BOULEVARD
STREET 2: SUITE 1140
CITY: LOS ANGELES
STATE: CA
ZIP: 90017
BUSINESS PHONE: 213-688-8082
MAIL ADDRESS:
STREET 1: 1000 WILSHIRE BOULEVARD
STREET 2: SUITE 1140
CITY: LOS ANGELES
STATE: CA
ZIP: 90017
SC 13G
1
fsbwwop1282015.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE13G*
Under the Securities Exchange Act of 1934
FS Bancorp, Inc.
---------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.01
---------------------------------------------------------------------
(Title of Class of Securities)
30263Y104
-----------------
(CUSIP Number)
December 31, 2014
---------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
/x/ Rule 13d-1(b)
/ / Rule 13d-1(c)
/ / Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a
reporting person's initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided
in a prior cover page.
The information required in the remainder of this cover shall not
be deemed to be "filed" for the purpose of Section 18 of the
Securities Exchange Act of 1934 ("Act") or otherwise subject to
the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
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 1745 (3-98)
CUSIP No. 30263Y104
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Wedbush Opportunity Capital, LLC
---------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) /x/
(b) / /
---------------------------------------------------------------------
3. SEC Use Only
---------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 167,432
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 0
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 167,432
----------------------------------------------
8. Shared Dispositive Power 0
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
167,432
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
5.2%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
IA
CUSIP No. 30263Y104
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Wedbush Opportunity Partners, LP
---------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) /x/
(b) / /
---------------------------------------------------------------------
3. SEC Use Only
---------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 167,432
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 0
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 167,432
----------------------------------------------
8.Shared Dispositive Power 0
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
167,432
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
5.2%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
PN
Cusip No. 30263Y104 13G FS Bancorp, Inc.
---------------------------------------------------------------------
Item 1. Name and Address of Issuer.
(a) This statement relates to the shares of the common stock of
FS Bancorp, Inc. ("Issuer").
(b) Issuer's address: 6920 220th Street SW,
Mountlake Terrace, WA 98043
Item 2. Filers
(a) This statement is filed by Wedbush Opportunity
Capital, LLC ("WOC"), and Wedbush Opportunity Partners, LP
("WOP").
(b) Business address of the above filers are as follows:
WOC - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457
WOP - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457
(c) WOC is a limited liability corporation
organized under the laws of the State of Delaware. WOP is
a limited partnership organized under the laws of the State
of Delaware.
(d) Common stock
(e) 30263Y104
Item 3. Classification of Filers
(d) WOC is an investment company registered under Section 8 of the
Investment Company Act of 1940
Item 4. Ownership
The securities reported on this Schedule 13G are held directly by
Wedbush Opportunity Partners, L.P. (the Fund),for the benefit of
the Fund's investors. Such securities may be deemed to be indirectly
beneficially owned by Wedbush Opportunity Capital,LLC
(the General Partner), as the general partner of the Fund, and
Jeremy Q. Zhu as a Managing Director of the General Partner and lead
member of the General Partner's investment team that manages
the Fund's portfolio. Mr. Zhu, the Fund and the General Partner
are the Filers.
The Filers and their affiliates report beneficial ownership in
conformity with the guidelines articulated by the SEC in
Release No. 34-39538 (January 12, 1998) relating to organizations,
such as that of the Filers and their affiliates, where
related entities exercise voting and investment powers over
securities that they hold independently from each other.
The General Partner's and Mr. Zhu's voting and investment
powers over the securities held by the Fund are exercised
independently from all of the Filer's other affiliates. The
members of the Fund's investment team are also compensated
separately from the investment professionals of such affiliates.
Further, internal policies and procedures of the Filers and
their affiliates establish informational barriers that prevent
the flow between the Filers and such affiliates of information
that relates to the voting and investment powers over the securities
held by the Fund and the voting and investment powers held by such
affiliates. Consequently, the Filers and such affiliates report
the securities over which they hold investment and voting
power separately from each other for purposes of
Section 13 of the Act. Wedbush Opportunity Capital, LLC and
Jeremy Zhu disclaim beneficial ownership of shares owned by
Wedbush Opportunity Partners, L.P., except to the extent of any
pecuniary interest therein.
(a) Together, the Reporting Persons beneficially own
a total of 167,432 shares of Common Stock of the Issuer.
(b) Together, the Reporting Persons beneficially own
approximately 5.2% of the outstanding shares of the Issuer.
(c) Number of Shares as to which the filer has:
(i) Sole power to vote: WOC has
167,432 sole shares; and WOP has 167,432 sole Shares.
(ii) Shared power to vote: WOC has 0 Shares;
and WOP has 0 Shares.
(iii) Sole power to dispose: WOC has 167,432 Shares to dispose;
and WOP has 167,432 Shares to dispose.
(iv) Shared power to dispose; WOC has 0 Shares;
and WOP has 0 Shares.
Item 5. Ownership of Five Percent or Less of a Class.
Not applicable.
Item 6. Ownership of More Than Five Percent on Behalf of Another.
Not applicable.
Item 7. Identification and Classification of Subsidiary which
Acquired the Securities Being Reported on by the Parent
Holding Company.
Not Applicable.
Item 8. Identification and Classification of Members of a Group.
Name Category
Wedbush Opportunity Capital, LLC IA
Wedbush Opportunity Partners, LP PN
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the
ordinary course of business and were not acquired for the purpose
of and do not have the effect of changing or influencing the
control of the Issuer of such securities and were not acquired in
connection with or as a participant in any transaction having
such purpose or effect.
Signature
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this
statement is true, complete and correct.
Wedbush Opportunity Capital, LLC
01/28/15
---------------------------
Date
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU
---------------------------
Signature
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU/ Managing Director
---------------------------
Name/Title
Wedbush Opportunity Partners, LP
01/28/15
---------------------------
Date
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU
---------------------------
Signature
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU/ Managing Director
---------------------------
Name/Title