0001494655-16-000006.txt : 20160212
0001494655-16-000006.hdr.sgml : 20160212
20160212122930
ACCESSION NUMBER: 0001494655-16-000006
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160212
DATE AS OF CHANGE: 20160212
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-86916
FILM NUMBER: 161416905
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/A
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/A
1
fsbwwop02022016.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE13GA*
Under the Securities Exchange Act of 1934
(Amendment No_1)*
FS Bancorp, Inc.
---------------------------------------------------------------------
(Name of Issuer)
Common Stock
---------------------------------------------------------------------
(Title of Class of Securities)
30263Y104
-----------------
(CUSIP Number)
December 31, 2015
---------------------------------------------------------------------
(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 171,379
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 24,343
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 171,379
----------------------------------------------
8. Shared Dispositive Power 24,343
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
195,722
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
6.0%
---------------------------------------------------------------------
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 171,379
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 0
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 171,379
----------------------------------------------
8.Shared Dispositive Power 0
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
171,379
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
5.3%
---------------------------------------------------------------------
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) and accounts under
management by Wedbush Opportunity Capital, LLC,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.
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 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 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 195,722 shares of Common Stock of the Issuer.
(b) Together, the Reporting Persons beneficially own
approximately 6.0% of the outstanding shares of the Issuer.
(c) Number of Shares as to which the filer has:
(i) Sole power to vote: WOC has
171,379 sole shares; and WOP has 171,379 sole Shares.
(ii) Shared power to vote: WOC has 24,343 Shares;
and WOP has 0 Shares.
(iii) Sole power to dispose: WOC has 171,379 Shares to dispose;
and WOP has 171,379 Shares to dispose.
(iv) Shared power to dispose; WOC has 24,343 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
02/02/16
---------------------------
Date
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU
---------------------------
Signature
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU/ Managing Director
---------------------------
Name/Title
Wedbush Opportunity Partners, LP
02/02/16
---------------------------
Date
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU
---------------------------
Signature
JEREMY Q. ZHU
------------------
JEREMY Q. ZHU/ Managing Director
---------------------------
Name/Title