0001332905-14-000007.txt : 20140210 0001332905-14-000007.hdr.sgml : 20140210 20140210114820 ACCESSION NUMBER: 0001332905-14-000007 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140210 DATE AS OF CHANGE: 20140210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FULL HOUSE RESORTS INC CENTRAL INDEX KEY: 0000891482 STANDARD INDUSTRIAL CLASSIFICATION: HOTELS & MOTELS [7011] IRS NUMBER: 133391527 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47323 FILM NUMBER: 14586960 BUSINESS ADDRESS: STREET 1: 4670 S. FORT APACHE ROAD STREET 2: SUITE 190 CITY: LAS VEGAS STATE: NV ZIP: 89147 BUSINESS PHONE: 7022217800 MAIL ADDRESS: STREET 1: 4670 S. FORT APACHE ROAD STREET 2: SUITE 190 CITY: LAS VEGAS STATE: NV ZIP: 89147 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RMB Capital Management, LLC CENTRAL INDEX KEY: 0001332905 IRS NUMBER: 593792751 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 115 S. LASALLE ST. STREET 2: 34TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: (312) 993-5800 MAIL ADDRESS: STREET 1: 115 S. LASALLE ST. STREET 2: 34TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 SC 13G/A 1 FullHouse-123113.txt FULL HOUSE RESORTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment) Full House Resorts, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 359678109 (CUSIP Number) December 31, 2013 (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 page 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). CUSIP No. 359678109 1. Names of Reporting Person I.R.S. Identification Nos. of above person RMB Capital Management, LLC 59-3792751 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [ ] (b) 3. SEC Use Only 4. Citizenship or Place of Organization Delaware Limited Liability Company 5. Sole Voting Power: None Number of Shares 6. Shared Voting Power: 1,514,145 Beneficially Owned by 7. Sole Dispositive Power: None Each Reporting Person With 8. Shared Dispositive Power: 1,514,145 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,514,145 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 8.08% 12. Type of Reporting Person IA CUSIP No. 359678109 1. Names of Reporting Person I.R.S. Identification Nos. of above person Iron Road Capital Partners, LLC 20-4493541 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [ ] (b) 3. SEC Use Only 4. Citizenship or Place of Organization Delaware Limited Liability Company 5. Sole Voting Power: None Number of Shares 6. Shared Voting Power: 1,514,145 Beneficially Owned by 7. Sole Dispositive Power: None Each Reporting Person With 8. Shared Dispositive Power: 1,514,145 9. Aggregate Amount Beneficially Owned by Each Reporting Person 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 8.08% 12. Type of Reporting Person OO Item 1. (a) Issuer: Full House Resorts, Inc. Address: 4670 S. Fort Apache Suite 190 Las Vegas, Nevada 89147 Item 2. (a) Name of Person Filing: (i) RMB Capital Management, LLC (ii) Iron Road Capital Partners, LLC (b) Address of Principal Business Offices: 115 S. LaSalle Street 34th Floor Chicago, IL 60603 (c) Citizenship: Please refer to Item 4 on each cover sheet for each Reporting Person (d) Title of Class of Securities Common Stock (e) CUSIP Number: 359678109 Item 3. If this statement is filed pursuant to rule 240.13d- 1(b),or 240.13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or dealer registered under section 15 of the Act (15 U.S.C.78c). (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) |_| Insurance company as defined in section 3(a)19) of the Act (15 U.S.C. 78c). (d) |_| Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) |X| An investment adviser in accordance with 240.13d-1(b)1)(ii)(E). (f) |_| An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F). (g) |_| A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G) (h) |_| A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) |_| A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) |_| Group, in accordance with section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership Please see Items 5 - 9 and 11 on each cover sheet for each Reporting Person 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 Person Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Classification of Members of the Group Not Applicable 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 and held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that 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. Date: February 10, 2014 RMB Capital Management, LLC By: RMB Capital Holdings, LLC Its: Manager By: /s/ Richard M. Burridge, Jr. -------------------------- Name: Richard M. Burridge, Jr. Title: Manager Iron Road Capital Partners, LLC By: RMB Capital Management, LLC Its: Manager By: RMB Capital Holdings, LLC Its: Manager By: /s/ Richard M. Burridge, Jr. -------------------------- Name: Richard M. Burridge, Jr. Title: Manager JOINT FILING AGREEMENT RMB Capital Management, LLC (an investment adviser registered under the Investment Advisers Act of 1940); and Iron Road Capital Partners, LLC, a Delaware Limited Liability Company, hereby agree to file jointly the statement on this Schedule 13G/A to which this Agreement is attached, and any amendments thereto which may be deemed necessary. It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness or accuracy of information concerning the other party unless such party knows or has reason to believe that such information is inaccurate. It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13G/A, and any amendments thereto, filed on behalf of each of the parties hereto. Date: February 10, 2014 RMB Capital Management, LLC By: RMB Capital Holdings, LLC Its: Manager By: /s/ Richard M. Burridge, Jr. -------------------------- Name: Richard M. Burridge, Jr. Title: Manager Iron Road Capital Partners, LLC By: RMB Capital Management, LLC Its: Manager By: RMB Capital Holdings, LLC Its: Manager By: /s/ Richard M. Burridge, Jr. -------------------------- Name: Richard M. Burridge, Jr. Title: Manager