SEC Form 4 · accession 0001387131-19-000927
FS KKR Capital Corp · FSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael C. Forman
Officer — Chief Executive Officer · Director
Period of report
Feb 5, 2019
Accepted (ET)
Feb 6, 2019 · 5:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422183
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 5, 2019 | P | 7,828 | $6.3575 | A | 160,543 | I | By Trust |
| Common Stock | Feb 6, 2019 | P | 7,845 | $6.3467 | A | 168,388 | I | By Trust |
| Common StockF3,F4 | holding | — | — | — | 197,998 | I | By MCFDA SCV LLC | |
| Common StockF3,F5 | holding | — | — | — | 924,609 | I | By FSH Seed Capital Vehicle I LLC | |
| Common StockF3 | holding | — | — | — | 14,454 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 3,633 | I | By Trust FBO Minor Children | |
| Common StockF3 | holding | — | — | — | 12,824 | I | In 401(k) account | |
| Common StockF3 | holding | — | — | — | 8,783 | I | In IRA account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.33 to $6.39, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F2The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by The 2011 Forman Investment Trust. The purchases were effected in multiple transactions at prices ranging from $6.295 to $6.39, inclusive. The price reported in Column 4 is the weighted average price. The reporting person undertakes to provide, upon request, full information regarding the number of shares purchased in each transaction. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F3Includes shares received through stock distributions and shares received on account of reinvested distributions.
- F4MCFDA SCV LLC is a wholly-owned special purpose financing vehicle of which The 2011 Forman Investment Trust is a member and the reporting person is the manager. The reporting person disclaims beneficial ownership of any shares held by The 2011 Forman Investment Trust and MCFDA SCV LLC that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F5FSH Seed Capital Vehicle I LLC is a wholly-owned special purpose financing subsidiary of Franklin Square Holdings, L.P. The reporting person disclaims beneficial ownership of any shares held by Franklin Square Holdings, L.P. and FSH Seed Capital Vehicle I LLC that exceed his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.