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13D Filing: Rivernorth Capital Management, Llc and Fifth Street Senior Floating Rate Corp. (FSFR)

Published on March 3, 2016 at 11:42 am by Meena Krishnamsetty in Hedge Funds
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Page 7 of 9 SEC Filing

 
As of the close of business on December 31, 2015, the Reporting Persons collectively beneficially owned an aggregate of 1,766,820 Shares, constituting approximately 6.0% of the Shares outstanding.
Each Reporting Person, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed the beneficial owner of the Shares directly owned by the other Reporting Persons.  Each Reporting Person disclaims beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.
Item 6.
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
Item 6 is hereby amended to add the following:
On February 18, 2016, each Reporting Person and other named parties entered into the Purchase Agreement defined and described in Item 4 above and attached as Exhibit 99.1 hereto.
Item 7.
Material to be Filed as Exhibits.
 
99.1
Purchase and Settlement Agreement, as amended, dated as of February 18, 2016, by and among Fifth Street Finance Corp., Fifth Street Holdings L.P., Leonard M. Tannenbaum, Fifth Street Asset Management Inc., RiverNorth Capital Management, LLC, RiverNorth Capital Partners, L.P., RiverNorth Institutional Partners, L.P., RiverNorth Core Opportunity Fund, RiverNorth/DoubleLine Strategic Income Fund, Randy I. Rochman, Fred G. Steingraber and Murray R. Wise.

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