SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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(b)
Atlanticus Holdings Corporation
( NAME OF ISSUER )
COMMON STOCK*
*The position reflected herein is attributable to a borrow from the issuer, as reflected on the issuer's current 10Q.
04914Y102
(CUSIP Number)
DECEMBER 31,2013**
**Prior filing may have been required.
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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X Rule 13d-1 (b) |
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Rule 13d-1 (c) |
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Rule 13d-1 (d) |
CUSIP No. 04914Y102 |
13G |
Page 1 of 3 pages |
1. |
Names of reporting persons |
JPMorgan Chase & Co. |
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I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) |
13-2624428 |
2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
(a) |
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(b) |
3. |
SEC USE ONLY |
4. |
CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware |
NUMBER OF |
5. |
SOLE VOTING POWER |
1,672,355 |
SHARES |
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BENEFICIALLY |
6. |
SHARED VOTING POWER |
0 |
OWNED BY |
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EACH |
7. |
SOLE DISPOSITIVE POWER |
1,672,355 |
REPORTING |
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PERSON WITH |
8. |
SHARED DISPOSITIVE POWER |
0 |
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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1,672,355 |
10. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES |
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CERTAIN SHARES |
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11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
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10.9% |
12. |
TYPE OF REPORTING PERSON* |
HC |
Item 1(a). |
Name of Issuer: |
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Atlanticus Holdings Corporation |
Item 1(b). |
Address of Issuer's Principal Executive Offices: |
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Five Concourse Parkway, Suite 400 Atlanta, Georgia 30328
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Item 2(a). |
Name of Person Filing: |
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JPMorgan Chase & Co. |
Item 2(b). |
Address of Principal Business Office or, if None, Residence: |
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270 PARK AVE |
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NEW YORK, NY 10017 |
Item 2(c). |
Citizenship |
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Delaware |
Item 2(d). |
Title of Class of Securities: |
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COMMON STOCK* |
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*The position reflected herein is attributable to a borrow from the issuer, as reflected on the issuer's current 10Q. |
Item 2(e). |
CUSIP Number: |
04914Y102 |
Item 3 |
If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) |
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Or (c), Check Whether the Person Filing is a : |
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(a) |
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Broker or dealer registered under Section 15 of the Exchange Act; |
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(b) |
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Bank as defined in Section 3(a)(6) of the Exchange Act; |
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(c) |
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Insurance company as defined in Section 3(a)(19) of the |
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Exchange Act; |
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(d) |
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Investment company registered under Section 8 of the Investment |
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Company Act; |
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(e) |
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An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
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(f) |
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An employee benefit plan or endowment fund in accordance with |
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Rule 13d-1(b)(1)(ii)(F); |
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(g) |
X |
A parent holding company or control person in accordance with |
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Rule 13d-1(b)(1)(ii)(G); |
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(h) |
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A savings association as defined in Section 3(b) of the Federal |
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Deposit Insurance Act; |
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(i) |
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A church plan that is excluded from the definition of an |
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Investment company under Section 3(c)(14) of the Investment |
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Company act; |
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(j) |
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Group, in accordance with Rule 13d-1(b)(1)(ii)(J). |
If this statement is filed pursuant to Rule 13d-1(b), check this box. |
X |
Page 2 of 3 pages
Item 4. |
Ownership |
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Provide the following information regarding the aggregate number and |
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Percentage of the class of securities of issuer identified in Item 1. |
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(a) |
Amount beneficially owned: 1,672,355 |
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Including 0 shares where there is a Right to Acquire. |
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(b) |
Percent of class: 10.9% |
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(c) |
Number of shares as to which such person has: |
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(i) |
Sole power to vote or to direct the vote: |
1,672,355 |
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(ii) |
Shared power to vote or to direct the vote: |
0 |
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(iii) |
Sole power to dispose or to direct the disposition of: |
1,672,355 |
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(iv) |
Shared power to dispose or to direct the disposition of: |
0 |
Item 5. |
Ownership of Five Percent or Less of a Class. NOT APPLICABLE |
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. ( ) |
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person. |
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JPMorgan Chase & Co. is the beneficial owner of N/A shares of the |
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issuer's common stock on behalf of other persons known to have one or more of |
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the following: |
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the right to receive dividends for such securities; |
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the power to direct the receipt of dividends from such securities; |
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the right to receive the proceeds from the sale of such securities; |
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the right to direct the receipt of proceeds from the sale of such securities; |
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No such person is known to have an interest in more than 5% of the class of |
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securities reported herein unless such person is identified below. |
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the |
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Security being reported on by the Parent Holding Company. |
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This notice is filed on behalf of JPMorgan Chase & Co. and its wholly owned |
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Subsidiary (ies), |
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J.P. Morgan Markets Limited |
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Item 8. |
Identification and Classification of Members of the Group. |
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Not Applicable |
Item 9. |
Notice of Dissolution of Group. |
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Not Applicable |
Item 10. |
Certifications |
By signing below I certify that, to the best of my knowledge and belief, |
the securities referred to above were acquired and are held in the ordinary |
course of business and 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. |
Page 3 of 3 pages
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: FEBRUARY 7, 2014 |
JPMorgan Chase & Co. |
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By: /s/ Andrew J. Anderson |
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Andrew J. Anderson |
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Compliance |
The original statement shall be signed by each person on whose behalf the statement |
is filed or his authorized representative. If the statement is signed on behalf of |
a person by his authorized representative (other than an executive officer or general |
partner of the filing person), evidence of the representative's authority to sign on |
behalf of such person shall be filed with the statement, provided, however, that a |
power of attorney for this purpose which is already on file with the commission may |
be incorporated by reference. The name and any title of each person who signs the |
the statement shall be typed or printed beneath his signature. |