Old School SC Fundamental Value Fund Betting On Nicholas Financial Inc (NICK)

Page 10 of 11 – SEC Filing

CUSIP No. 65373J209

13G/A

Page 10 of 11 Pages

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

	(a)	o	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
	(b)	o	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
	(c)	o	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
	(d)	o	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
	(e)	o	An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
	(f)	o	An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
	(g)	o	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
	(h)	o	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
	(i)	o	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)	o	Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

Item 4.

Ownership.

(a)-(c)
The response of each of the Reporting Persons to Items 5 through 12 of each of their respective Cover Sheets which relate to the
beneficial and percentage ownership of the Common Stock of the Issuer is incorporated herein by reference to the appropriate Cover
Sheets above. The percentage ownership of the Reporting Persons is based on the 7,909,122 outstanding shares of Common Stock of
the Issuer (as of August 1, 2018) as disclosed on the Issuer’s Form 10-Q dated August 14, 2018. The General Partner is filing
on behalf of the Fund, which owns 370,644 shares of Common Stock of the Issuer. Collery, Koffler, Bird and Hurwitz are each members
of the General Partner. The Plan owns 89,522 shares of Common Stock of the Issuer. Collery is the sole trustee of the Plan.
 

 

Item 5.

Ownership of Five Percent or Less of a Class.

If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following: o.

 

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 or Control Person.

 

Not applicable.  

 

Item 8.

Identification and Classification of Members of the Group.

 

See Exhibit No. 2 hereto.  

 

Item 9.

Notice of Dissolution of Group.

 

Not
applicable.

 

Item 10.

Certification.

   

The
following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

 

(a)

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.

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