- Statement of Changes in Beneficial Ownership (4)
05 4월 2011 - 6:07AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Golub Lawrence E
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2. Issuer Name
and
Ticker or Trading Symbol
Golub Capital BDC, Inc.
[
GBDC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman
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(Last)
(First)
(Middle)
C/O GOLUB CAPITAL BDC, INC., 150 SOUTH WACKER DRIVE, SUITE 800
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2011
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(Street)
CHICAGO, IL 60606
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.001 per share
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3/31/2011
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P
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50794
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A
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$15.75
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67303
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I
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By Golub Capital Management LLC
(1)
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Common Stock, par value $0.001 per share
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3/31/2011
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P
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38095
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A
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$15.75
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38095
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I
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By Golub Capital Incorporated
(2)
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Common Stock, par value $0.001 per share
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3/31/2011
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P
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31746
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A
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$15.75
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31746
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I
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By GC Service Company, LLC
(3)
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Common Stock, par value $0.001 per share
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3/31/2011
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P
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6349
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A
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$15.75
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6349
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I
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By GCI Operations LLC
(4)
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Common Stock, par value $0.001 per share
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143332
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I
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By 555 Madison Investors II, LLC
(5)
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Common Stock, par value $0.001 per share
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1981791
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I
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By Golub Capital Company IV, LLC
(6)
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Common Stock, par value $0.001 per share
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3486217
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I
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By Golub Capital Company V LLC
(7)
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Common Stock, par value $0.001 per share
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1764807
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I
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By Golub Capital Company VI LLC
(8)
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Common Stock, par value $0.001 per share
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1752048
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I
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By GEMS Fund, L.P.
(9)
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Common Stock, par value $0.001 per share
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1380
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I
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By GC Advisors LLC
(10)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Due to his control of and ownership interest in Golub Capital Management LLC, Mr. Golub may be viewed as having investment
power over all of the shares owned by such entity. These shares will be held for the benefit of employees of Golub Capital
Management LLC. Mr. Golub disclaims beneficial ownership of shares of Common Stock held by Golub Capital Management LLC
except to the extent of his pecuniary interest therein.
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(
2)
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Due to his control of and ownership interest in Golub Capital Incorporated, Mr. Golub may be viewed as having investment
power over all of the shares owned by such entity. These shares will be held for the benefit of employees of Golub Capital
Incorporated. Mr. Golub disclaims beneficial ownership of shares of Common Stock held by Golub Capital Incorporated except
to the extent of his pecuniary interest therein.
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(
3)
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Due to his control of and ownership interest in GC Service Company, LLC, Mr. Golub may be viewed as having investment power
over all of the shares owned by such entity. These shares will be held for the benefit of employees of GC Service Company,
LLC. Mr. Golub disclaims beneficial ownership of shares of Common Stock held by GC Service Company, LLC except to the
extent of his pecuniary interest therein.
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(
4)
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Due to his control of and ownership interest in GCI Operations LLC, Mr. Golub may be viewed as having investment power over
all of the shares owned by such entity. These shares will be held for the benefit of employees of GCI Operations LLC. Mr.
Golub disclaims beneficial ownership of shares of Common Stock held by GCI Operations LLC except to the extent of his
pecuniary interest therein.
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(
5)
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The shares reported herein are directly beneficially owned by 555 Madison Investors II, LLC and held for the benefit of Mr.
Golub.
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(
6)
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Mr. Golub is a control person of Golub Capital Management LLC, the investment advisor of Golub Capital Company IV, LLC. Due
to his control of and ownership interest in Golub Capital Company IV, LLC, which directly owns 1,981,791 shares of Common
Stock of the Issuer, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although
voting rights to the Common Stock have been passed through to the members of Golub Capital Company IV, LLC. Mr. Golub
disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
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(
7)
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Mr. Golub is a control person of Golub Capital Management LLC, the investment advisor of Golub Capital Company V LLC. Due to
his control of and ownership interest in Golub Capital Company V LLC, which directly owns 3,486,217 shares of Common Stock
of the Issuer, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although
voting rights to the Common Stock have been passed through to the members of Golub Capital Company V LLC. Mr. Golub
disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
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(
8)
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Mr. Golub is a control person of Golub Capital Management LLC, the investment advisor of Golub Capital Company VI LLC. Due to
his control of and ownership interest in Golub Capital Company VI LLC, which directly owns 1,764,807 shares of Common Stock
of the Issuer, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although
voting rights to the Common Stock have been passed through to the members of Golub Capital Company VI LLC. Mr. Golub
disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
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(
9)
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Mr. Golub is a control person of GC Advisors LLC, the investment advisor of GEMS Fund, L.P. Due to his control of and
ownership interest in GEMS Fund, L.P., which directly owns 1,752,048 shares of Common Stock of the Issuer, Mr. Golub may be
viewed as having investment power over all of the shares owned by such entity although voting rights to the Common Stock
have been passed through to the limited partners of GEMS Fund, L.P. Mr. Golub disclaims beneficial ownership of such shares
of Common Stock except to the extent of his pecuniary interest therein.
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(
10)
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Due to his control of and ownership interest in GC Advisors LLC, Mr. Golub may be viewed as having investment power over all
of the shares owned by such entity. These shares will be held for the benefit of employees of GC Advisors LLC and vest
subject to certain adjustments as specified by the terms of the compensation arrangements, Mr. Golub disclaims beneficial
ownership of such shares of Common Stock held by GC Advisors LLC except to the extent of his pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Golub Lawrence E
C/O GOLUB CAPITAL BDC, INC.
150 SOUTH WACKER DRIVE, SUITE 800
CHICAGO, IL 60606
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X
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X
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Chairman
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Signatures
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/s/ Lawrence E. Golub
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4/4/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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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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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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Golub Capital BDC (NASDAQ:GBDC)
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Golub Capital BDC (NASDAQ:GBDC)
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