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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Full Circle Capital Corp. (MM) | NASDAQ:FULL | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 2.67 | 2.53 | 2.67 | 0 | 01:00:00 |
CUSIP NO.
359671104
|
Page 1 of 10 Pages
|
1
|
NAME OF REPORTING PERSON
Sims Capital Management LLC
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
(a)
☐
(b) ☐ |
||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
OO
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Wisconsin
|
|||
NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7
|
SOLE VOTING POWER
0
|
||
8
|
SHARED VOTING POWER
952,747
|
|||
9
|
SOLE DISPOSITIVE POWER
0
|
|||
10
|
SHARED DISPOSITIVE POWER
952,747
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
952,747
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS
)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.2%
|
|||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA
|
1
|
NAME OF REPORTING PERSON
David C. Sims
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
(a)
☐
(b) ☐ |
||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
PF
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|||
NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7
|
SOLE VOTING POWER
0
|
||
8
|
SHARED VOTING POWER
952,747
|
|||
9
|
SOLE DISPOSITIVE POWER
0
|
|||
10
|
SHARED DISPOSITIVE POWER
952,747
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
952,747
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS
)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.2%
|
|||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
1
|
NAME OF REPORTING PERSON
Luke E. Sims
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
(a)
☐
(b) ☐ |
||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
PF
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
☐
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|||
NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7
|
SOLE VOTING POWER
12,700
|
||
8
|
SHARED VOTING POWER
952,747
|
|||
9
|
SOLE DISPOSITIVE POWER
12,700
|
|||
10
|
SHARED DISPOSITIVE POWER
952,747
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
965,447
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS
)
|
☐
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.3%
|
|||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
Item 2. | Identity and Background . |
(a)
|
Sims Capital Management LLC (a Wisconsin limited liability company) (“SCM”). SCM is owned 50% by David C. Sims and 50% by Luke E. Sims. Messrs. David C. Sims and Luke E. Sims, respectively, are the only managers and officers of SCM.
|
(b)
|
225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657
|
(c)
|
SEC-registered investment advisor (IA)
|
(d)
|
Not applicable
|
(e)
|
Not applicable
|
(f)
|
Wisconsin
|
(a)
|
David C. Sims
|
(b)
|
225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657
|
(c)
|
President of Sims Capital Management LLC, an SEC-registered investment advisor. SCM’s business address is 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657.
|
(d)
|
Not applicable
|
(e)
|
Not applicable
|
(f)
|
United States
|
(a)
|
Luke E. Sims
|
(b)
|
225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657
|
(c)
|
Chairman of Sims Capital Management LLC, an SEC-registered investment advisor. SCM’s business address is 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657.
|
(d)
|
Not applicable
|
(e)
|
Not applicable
|
(f)
|
United States
|
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 4. | Purpose of Transaction . |
Item 5. | Interests in Securities of the Issuer . |
(i)
|
Sole power to vote:
|
---
|
||
(ii)
|
Shared power to vote:
|
952,747
|
||
(iii)
|
Sole power to dispose:
|
---
|
||
(iv)
|
Shared power to dispose:
|
952,747
|
(i)
|
Sole power to vote:
|
---
|
||
(ii)
|
Shared power to vote:
|
952,747
|
||
(iii)
|
Sole power to dispose:
|
---
|
||
(iv)
|
Shared power to dispose:
|
952,747
|
(i)
|
Sole power to vote:
|
12,700
|
||
(ii)
|
Shared power to vote:
|
952,747
|
||
(iii)
|
Sole power to dispose:
|
12,700
|
||
(iv)
|
Shared power to dispose:
|
952,747
|
Name
|
Trade Date
|
Number of Shares Sold
|
Price Per Share
|
Sims Capital Management LLC
|
10/14/16
|
10,114
|
$2.72
|
Sims Capital Management LLC
|
10/17/16
|
64,077
|
$2.72
|
Sims Capital Management LLC
|
10/18/16
|
14,361
|
$2.70
|
Sims Capital Management LLC
|
10/19/16
|
165,025
|
$2.71
|
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
Exhibit No.
|
Description
|
99.1
|
Joint Filing Agreement.*
|
99.2
|
Letter, dated July 1, 2016, from Sims Capital Management LLC to Full Circle Capital Corporation Board of Directors.*
|
99.3
|
Letter, dated July 11, 2016, from Sims Capital Management LLC to Full Circle Capital Corporation Board of Directors.*
|
99.4
|
Letter, dated July 18, 2016, from Sims Capital Management LLC to Full Circle Capital Corporation Board of Directors.*
|
99.5
|
Letter, dated August 11, 2016, from Sims Capital Management LLC to Full Circle Capital Corporation Board of Directors.*
|
99.6 | Letter, dated September 6, 2016, from Sims Capital Management LLC to Full Circle Capital Corporation Board of Directors.* |
99.7 | Letter, dated October 5, 2016, from Sims Capital Management LLC to Full Circle Capital Corporation Board of Directors.* |
SIMS CAPITAL MANAGEMENT LLC
By:
/s/ David C. Sims
David C. Sims
President
|
|
/s/ David C. Sims
David C. Sims
|
|
/s/ Luke E. Sims
Luke E. Sims
|
1 Year Full Circle Capital Corp. (MM) Chart |
1 Month Full Circle Capital Corp. (MM) Chart |
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