SEC Form 4 · accession 0001144204-17-050398
Neostellar Capital Corp. · NSLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Klein
Officer — CEO · Director
Period of report
Sep 27, 2017
Accepted (ET)
Sep 28, 2017 · 4:24 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 StockF2 | Sep 27, 2017 | P | 10,000 | $5.0212 | A | 97,340 | D | |
| Common Stock | holding | — | — | — | 1,667 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 22, 2017.
- F2The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.98 to $5.05 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 purchased at each separate price within the range set forth in this footnote.