SEC Form 4 · accession 0001209191-17-062875
Main Street Capital CORP · MAIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent D Foster
Officer — Chairman and CEO · Director
Period of report
Nov 15, 2017
Accepted (ET)
Nov 29, 2017 · 5:10 pm EST
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 | Nov 15, 2017 | G | 30,000 | $0.00 | D | 1,507,786 | D | |
| Common StockF2 | Nov 15, 2017 | G | 30,000 | $0.00 | A | 30,000 | I | By MS V |
| Common Stock | Nov 15, 2017 | J | 7 | $40.70 | A | 1,507,793 | D | |
| Common Stock | Nov 15, 2017 | J | 1,736 | $40.70 | A | 1,509,529 | D | |
| Common StockF2 | Nov 15, 2017 | J | 73 | $40.70 | A | 15,716 | I | By Foster Irrevocable Trust |
| Common StockF2 | holding | — | — | — | 30,000 | I | By MS I | |
| Common StockF2 | holding | — | — | — | 30,000 | I | By MS II | |
| Common StockF2 | holding | — | — | — | 30,000 | I | By MS III | |
| Common StockF4 | holding | — | — | — | 50,000 | I | By MS IV |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares gifted to MS Trust V.
- F2Family trust.
- F3The reporting person acquired these shares under a dividend reinvestment plan, pursuant to a dividend reinvestment transaction exempt from Section 16 under Rule 16a-11.
- F4Represents shares held in MS Trust IV, a charitable trust where Mr. Foster is a trustee and holds the remainder interest therein.