SEC Form 4 · accession 0001144204-16-113772
Neostellar Capital Corp. · NSLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T. Moe
Officer — CEO · Director
Period of report
Jun 24, 2016
Accepted (ET)
Jul 20, 2016 · 5:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001509470
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jun 24, 2016 | S | 11,103 | $4.955 | D | 0 | I | By GSV X Fund, LP |
| Common Stock | holding | — | — | — | 32,959 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $4.92 to $4.97 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2These shares were held by GSV X Fund, LP ("GSV X"). The reporting person has a limited partnership interest in GSV X and is the Chief Executive Officer, Chief Investment Officer and majority owner of GSV Asset Management, LLC ("GSV Asset Management"), which is the general partner of GSV X. The reporting person disclaims beneficial ownership of the securities held by GSV X, except to the extent of his pecuniary interest, if any, in such securities by virtue of his interest in GSV Asset Management and his limited partnership interest in GSV X.
- F3Figure includes consideration of 2,514 shares of common stock received as a dividend during fiscal year 2016.