13G Filing: Nantahala Capital Management and Dover Downs Gaming & Entertainment Inc (DDE)

Page 6 of 7 – SEC Filing

CUSIP NO.  260095104 Page
6 of 7 Pages

 

Item 4(c). Number of shares as to which such person has:
 

Nantahala Capital Management, LLC

(i) Sole power to vote or direct the vote 0
(ii) Shared power to vote or to direct the vote 1,886,458
(iii) Sole power to dispose or to direct the disposition of 0
(iv) Shared power to dispose or to direct the disposition of 1,886,458
Each of Messrs. Harkey and Mack:
(i) Sole power to vote or direct the vote  0
(ii) Shared power to vote or to direct the vote   1,886,458
(iii) Sole power to dispose or to direct the disposition of 0
(iv) Shared power to dispose or to direct the disposition of 1,886,458
Item 5. Ownership of Five Percent or Less of a Class:
This Item 5 is not applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person:
This Item 6 is not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:
Each of Messrs. Harkey and Mack is filing this Schedule 13G as a control person in respect of shares beneficially owned by Nantahala, an investment adviser as described in §240.13d-1(b)(1)(ii)(E).  See Item 4(a).
Item 8. Identification and Classification of Members of the Group:
This Item 8 is not applicable.
Item 9. Notice of Dissolution of Group:
This Item 9 is not applicable.

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