SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Pine River Capital Management L.P.

(Last) (First) (Middle)
601 CARLSON PARKWAY
7TH FLOOR

(Street)
MINNETONKA MN 55305

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/01/2017
3. Issuer Name and Ticker or Trading Symbol
GSV Capital Corp. [ GSVC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
5.25% Convertible Senior Notes due 2018 (3) 09/15/2018 Common Stock 2,496,870 (3) I See Footnotes 1 and 2(1)(2)
1. Name and Address of Reporting Person*
Pine River Capital Management L.P.

(Last) (First) (Middle)
601 CARLSON PARKWAY
7TH FLOOR

(Street)
MINNETONKA MN 55305

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TAYLOR BRIAN

(Last) (First) (Middle)
C/O PINE RIVER CAPITAL MANAGEMENT
601 CARLSON PARKWAY, 7TH FLOOR

(Street)
MINNETONKA MN 55305

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Pine River MASTER FUND LTD.

(Last) (First) (Middle)
C/O PINE RIVER CAPITAL MANAGEMENT L.P.
601 CARLSON PARKWAY, 7TH FLOOR

(Street)
MINNETONKA MN 55305

(City) (State) (Zip)
Explanation of Responses:
1. These securities are held directly by Pine River Master Fund Ltd. (the "Master Fund"), for which Pine River Capital Management L.P. (the "Partnership") is the Investment Manager. Mr. Taylor is the sole member of Pine River Capital Management LLC, the general partner of the Partnership.
2. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, other than to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
3. The 5.25% Convertible Senior Notes due 2018 are convertible into shares of the issuer's common stock at any time, at a current conversion rate of 83.3596 shares of common stock per $1,000 principal amount of notes, equivalent to a conversion price of approximately $11.9962 per share of common stock, subject to adjustment in certain events.
Pine River Capital Management L.P., By: Brian Taylor, Managing Member 02/03/2017
Pine River Master Fund Ltd., By: Brian Taylor, Director 02/03/2017
Brian Taylor 02/02/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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