SEC Form 4 · accession 0001144204-15-068403
WhiteHorse Finance, Inc. · WHF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Demus Carvell III
Officer — Chief Executive Officer · Director
Period of report
Nov 24, 2015
Accepted (ET)
Nov 27, 2015 · 9:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001552198
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per share | Nov 24, 2015 | P | 479 | $13.55 | A | 11,523 | D | |
| Common Stock, par value $0.001 per share | Nov 25, 2015 | P | 1,968 | $13.55 | A | 13,491 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription RightsF1 | $13.55 | Nov 20, 2015 | O | 11,044 | A | Oct 23, 2015 | Nov 20, 2015 | Common Stock, par value $0.001 per share | 2,447 | 0 | D |
Explanation of responses
- F1Subscription rights received pursuant to a pro rata distribution thereof to stockholders of record of WhiteHorse Finance, Inc. as of October 23, 2015 in connection with a rights offering. The subscription rights entitled stockholders of record to purchase one new share of common stock for every 4.511505 rights held. Stockholders of record who fully exercised their rights were entitled to subscribe for additional shares of common stock that remained unsubscribed as a result of any unexercised rights.