SEC Form 4 · accession 0001144204-15-021680
Full Circle Capital Corp · FULL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregg J Felton
Officer — CEO and President · Director
Period of report
Apr 7, 2015
Accepted (ET)
Apr 8, 2015 · 9:03 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490013
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 7, 2015 | P | 445,050 | $3.50 | A | 667,101 | D | |
| Common StockF1 | Apr 7, 2015 | P | 1,428,572 | $3.50 | A | 1,453,692 | I | By Full Circle Advisors LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription RightsF2 | $3.50 | Mar 30, 2015 | X | 445,050 | A | Mar 13, 2015 | Mar 30, 2015 | Common Stock | 445,050 | 0 | D |
| Subscription RightsF2,F1 | $3.50 | Mar 30, 2015 | X | 1,428,572 | A | Mar 13, 2015 | Mar 30, 2015 | Common Stock | 1,428,572 | 0 | I |
Explanation of responses
- F1Amount represents 1,453,692 shares owned by Full Circle Advisors LLC, of which Gregg Felton is a managing member thereof.
- F2Subscription Rights received pursuant to a pro rata distribution thereof to the stockholders of record of Full Circle Capital Corporation as of March 6, 2015 in connection with a rights offering.