0000904454-19-000327.txt : 20190315 0000904454-19-000327.hdr.sgml : 20190315 20190315161303 ACCESSION NUMBER: 0000904454-19-000327 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190315 DATE AS OF CHANGE: 20190315 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Medley Capital Corp CENTRAL INDEX KEY: 0001490349 IRS NUMBER: 274576073 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86732 FILM NUMBER: 19685194 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 6TH FLOOR EAST CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-759-0777 MAIL ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 6TH FLOOR EAST CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: Medley Capital BDC LLC DATE OF NAME CHANGE: 20100426 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial LLC CENTRAL INDEX KEY: 0001403438 IRS NUMBER: 952834236 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 704-733-3300 MAIL ADDRESS: STREET 1: 1055 LPL WAY CITY: FORT MILL STATE: SC ZIP: 29715 FORMER COMPANY: FORMER CONFORMED NAME: LPL Financial CORP DATE OF NAME CHANGE: 20080102 FORMER COMPANY: FORMER CONFORMED NAME: Linsco/Private Ledger Corp. DATE OF NAME CHANGE: 20070615 SC 13G/A 1 s13ga_031519-medleycap.htm SCHEDULE 13G/A FOR MEDLEY CAPITAL CORPORATION BY LPL FINANCIAL LLC
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2

(Amendment No. 1)*
 
Medley Capital Corporation 
(Name of Issuer)
 
Common Stock, $0.001 par value
(Title of Class of Securities)
 
58503F106
(CUSIP Number)
 
December 31, 2018
(Date of Event Which Requires Filing of this Statement)
 

Check the appropriate box to designate the rule pursuant to which this schedule is filed:
[X]  Rule 13d-1(b)
[   ]  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.

1
CUSIP NO. 58503F106

1.
NAME OF REPORTING PERSON
 
LPL Financial LLC
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)  [   ]        (b)  [   ]
 
 
3.
SEC USE ONLY
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
California
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5.
SOLE VOTING POWER
 
0
 
6.
SHARED VOTING POWER
 
0
7.
SOLE DISPOSITIVE POWER
 
0
 
8.
SHARED DISPOSITIVE POWER
 
6,068,612.005 *
 
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
6,068,612.005 *
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  [   ]
 
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
11.1% *
 
12.
TYPE OF REPORTING PERSON
 
BD
IA

* As of December 31, 2018 and based on 54,474,000 shares of Common Stock outstanding.

2
CUSIP NO. 58503F106
Amendment No. 1 to Schedule 13G

Reference is hereby made to the statement on Schedule 13G filed with the Securities and Exchange Commission by the Reporting Person with respect to the Common Stock of the Issuer on January 10, 2019 (the “Schedule 13G”).  Terms defined in the Schedule 13G are used herein as so defined.  This amendment is being filed solely to correct the Issuer’s CUSIP Number as reported in the Schedule 13G as filed on January 10, 2019.
The following Items of the Schedule 13G are hereby amended and restated as follows:

Item 2(e).
CUSIP Number
 
58503F106

3
CUSIP NO. 58503F106
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete, and correct.
Dated:  March 15, 2019

 
LPL FINANCIAL LLC
  
       
 
By:
/s/ Steven Mills
  
   
Name:  Steven Mills
  
   
Title:  VP, Risk Management
  
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