SEC Form 4 · accession 0001104659-18-059331
Ares Dynamic Credit Allocation Fund, Inc. · ARDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Joseph Shaw
Director
Period of report
Sep 26, 2018
Accepted (ET)
Sep 28, 2018 · 1:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001515324
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Sep 26, 2018 | P | 20,000 | $15.5563 | A | 31,461 | I | By the John Shaw Living Trust |
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 purchased in multiple transactions at prices ranging from $15.5195 to $15.57, inclusive. The Reporting Person undertakes to provide to Ares Dynamic Credit Allocation Fund, Inc., any security holder of Ares Dynamic Credit Allocation Fund, Inc., 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 footnote (1) to this Form 4.
- F2Includes shares acquired under the Dividend Reinvestment Plan of Ares Dynamic Credit Allocation Fund, Inc.
- F3The shares are held by the John Shaw Living Trust, of which the reporting person is a beneficiary.