SEC Form 4 · accession 0001209191-17-041427
Main Street Capital CORP · MAIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L. Magdol
Officer — Vice Chairman, CIO and SMD
Period of report
Jun 20, 2017
Accepted (ET)
Jun 22, 2017 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001396440
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 20, 2017 | F | 6,349 | $38.37 | D | 307,921 | D | |
| Common Stock | Jun 14, 2017 | J | 33 | $38.97 | A | 307,955 | D | |
| Common Stock | Jun 14, 2017 | J | 215 | $38.6693 | A | 308,170 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Main Street Capital Corporation 2008 Equity Incentive Plan and/or 2015 Equity and Incentive Plan. This withholding transaction was approved by the Compensation Committee of Main Street's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from Section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.
- F2The reporting person acquired these shares under a dividend reinvestment plan, pursuant to a dividend reinvestment transaction exempt from Section 16 under Rule 16a-11.