0001144204-14-009783.txt : 20140214 0001144204-14-009783.hdr.sgml : 20140214 20140214161019 ACCESSION NUMBER: 0001144204-14-009783 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 GROUP MEMBERS: CITADEL ADVISORS HOLDINGS II LP GROUP MEMBERS: CITADEL GP LLC GROUP MEMBERS: KENNETH GRIFFIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GSV Capital Corp. CENTRAL INDEX KEY: 0001509470 IRS NUMBER: 274443543 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87175 FILM NUMBER: 14616492 BUSINESS ADDRESS: STREET 1: 2925 WOODSIDE ROAD CITY: WOODSIDE STATE: CA ZIP: 94062 BUSINESS PHONE: (650) 235-4777 MAIL ADDRESS: STREET 1: 2925 WOODSIDE ROAD CITY: WOODSIDE STATE: CA ZIP: 94062 FORMER COMPANY: FORMER CONFORMED NAME: NeXt Innovation Corp. DATE OF NAME CHANGE: 20110331 FORMER COMPANY: FORMER CONFORMED NAME: NeXt BDC Capital Corp. DATE OF NAME CHANGE: 20110105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITADEL ADVISORS LLC CENTRAL INDEX KEY: 0001423053 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O CITADEL LLC STREET 2: 131 S. DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL LLC STREET 2: 131 S. DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 SC 13G/A 1 v366203_13ga.htm SC 13G/A

 

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
 
SCHEDULE 13G
(Rule 13d-102)
 
Information Statement Pursuant to Rules 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No.   1  )*
 
 
  GSV Capital Corp.  
  (Name of Issuer)
 
  Common stock, par value $0.01 per share  
(Title of Class of Securities)
 
 
 

36191J101

 
(CUSIP Number)
 
 
 

December 31, 2013

 
Date of Event Which Requires Filing of the Statement
               

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

[ ] Rule 13d-1(b)
[X] 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 disclosures provided in a prior cover page.

 

The information required on 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.  36191J101 13G/A Page 2 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Citadel Advisors LLC

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,016,847 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.0%1

 

12.

 

 

TYPE OF REPORTING PERSON

IA; OO; HC

       

 


1The percentages reported in this Schedule 13G/A are based upon 20,336,947 shares of common stock outstanding (composed of (i) 19,320,100 shares of common stock outstanding as of November 12, 2013 (according to the Form 10-Q filed by the issuer with the Securities and Exchange Commission on November 12, 2013) and (ii) 1,016,847 additional shares of common stock, which, based on the number of outstanding shares of common stock reported in the most recent Form 10-Q, is the maximum number of shares that would be issuable upon the conversion of the issuer’s convertible notes held by one of the Reporting Persons, subject to the limitations on conversion contained in the indenture relating to such convertible notes).

 

 

 
 

 

Cusip No.  36191J101 13G/A Page 3 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Citadel Advisors Holdings II LP

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,068,692 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.3%

 

12.

 

 

TYPE OF REPORTING PERSON

PN; HC

       

 

 
 

 

Cusip No.  36191J101 13G/A Page 4 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Citadel GP LLC

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,131,796 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above.

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above.

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.6%

 

12.

 

 

TYPE OF REPORTING PERSON

OO; HC

       

 

 
 

 

Cusip No.  36191J101 13G/A Page 5 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Kenneth Griffin

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

U.S. Citizen

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,131,796 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

5.6%

 

12.

 

 

TYPE OF REPORTING PERSON

IN; HC

       

 

 
 

 

Cusip No.  36191J101 13G/A Page 6 of 10 Pages

 

Item 1(a) Name of Issuer
  GSV Capital Corp.
   
Item 1(b) Address of Issuer’s Principal Executive Offices
  2925 Woodside Road, Woodside, CA  94062
   
Item 2(a) Name of Person Filing
  This Schedule 13G/A is being jointly filed by Citadel Advisors LLC (“Citadel Advisors”), Citadel Advisors Holdings II LP (“CAH2”), Citadel GP LLC (“CGP”) and Mr. Kenneth Griffin (collectively with Citadel Advisors, CAH2 and CGP, the “Reporting Persons”) with respect to shares of common stock (and options to purchase and/or other securities convertible into common stock) of the above-named issuer owned by Citadel Equity Fund Ltd., a Cayman Islands limited company (“CEF”), Citadel Quantitative Strategies Master Fund Ltd., a Cayman Islands limited company (“CQ”), and Citadel Securities LLC, a Delaware limited liability company (“Citadel Securities”).
   
 

Citadel Advisors is the portfolio manager for CEF. Citadel Advisors II LLC, a Delaware limited liability company (“CA2”), is the portfolio manager for CQ.  CAH2 is the managing member of Citadel Advisors and CA2. CALC III LP, a Delaware limited partnership (“CALC3”), is the non-member manager of Citadel Securities. CGP is the general partner of CALC3 and CAH2. Mr. Griffin is the President and Chief Executive Officer of, and owns a controlling interest in, CGP.

   
  The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).
   
Item 2(b) Address of Principal Business Office
  The address of the principal business office of each of the Reporting Persons is c/o Citadel LLC, 131 S. Dearborn Street, 32nd Floor, Chicago, Illinois 60603.
   
Item 2(c) Citizenship
  Each of Citadel Advisors and CGP is organized as a limited liability company under the laws of the State of Delaware.  CAH2 is organized as a limited partnership under the laws of the State of Delaware.  Mr. Griffin is a U.S. citizen.
   
Item 2(d) Title of Class of Securities
  Common stock, $0.01 par value
   
Item 2(e) CUSIP Number
  36191J101
   
Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

 

(a) [__] Broker or dealer registered under Section 15 of the Exchange Act;

 

 
 

 

Cusip No.  36191J101 13G/A Page 7 of 10 Pages

 

(b) [__] Bank as defined in Section 3(a)(6) of the Exchange Act;

 

(c) [__] Insurance company as defined in Section 3(a)(19) of the Exchange Act;

 

(d) [__] Investment company registered under Section 8 of the Investment Company Act;

 

(e) [__] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

 

(f) [__] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

 

(g) [__] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

 

(h) [__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 

(i) [__] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

 

(j) [__] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 

If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: ____________.

 

Item 4 Ownership

A. Citadel Advisors LLC

 

(a)Citadel Advisors may be deemed to beneficially own 1,016,847 shares of Common Stock.2

 

(b)The number of shares Citadel Advisors may be deemed to beneficially own constitutes 5.0% of the Common Stock outstanding.

 

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

 

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,016,847

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,016,847

 


2See footnote 1 above regarding limitation on convertibility of certain convertible notes.

 

 

 

 
 

 

Cusip No.  36191J101 13G/A Page 8 of 10 Pages

 

B. Citadel Advisors Holdings II LP

 

(a)CAH2 may be deemed to beneficially own 1,068,692 shares of Common Stock.

 

(b)The number of shares CAH2 may be deemed to beneficially own constitutes approximately 5.3% of the Common Stock outstanding.

 

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

 

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,068,692

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,068,692

 

C. Citadel GP LLC and Kenneth Griffin

 

(a)CGP and Griffin may be deemed to beneficially own 1,131,796 shares of Common Stock.

 

(b)The number of shares CGP and Griffin may be deemed to beneficially own constitutes approximately 5.6% of the Common Stock outstanding.

 

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

 

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,131,796

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,131,796

 

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 5 percent of the class of securities, check the following [_].
   
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
  See Item 2 above
   
Item 8 Identification and Classification of Members of the Group
  Not Applicable

 

 
 

 

Cusip No.  36191J101 13G/A Page 9 of 10 Pages

 

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 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.

 

 

 
 

 

Cusip No.  36191J101 13G/A Page 10 of 10 Pages

 

After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

Dated this 14th day of February, 2014.

 

CITADEL ADVISORS LLC

 

By: /s/ Mark Polemeni

        Mark Polemeni, Authorized Signatory

 

Citadel Advisors Holdings II LP

 

By: /s/ Mark Polemeni

        Mark Polemeni, Authorized Signatory

 

CITADEL GP LLC

By: /s/ Mark Polemeni

        Mark Polemeni, Authorized Signatory

KENNETH GRIFFIN

 

By: /s/ Mark Polemeni

        Mark Polemeni, attorney-in-fact*

 


*Mark Polemeni is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed with the Securities and Exchange Commission on January 18, 2013, and hereby incorporated by reference herein. The power of attorney was filed as an attachment to a filing by Citadel Advisors LLC on Schedule 13G for TiVo Inc.