SEC Form 4/A · accession 0001144204-16-106346
WhiteHorse Finance, Inc. · WHF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John Bolduc
Director
Period of report
May 10, 2016
Accepted (ET)
Jun 1, 2016 · 6:22 pm EDT
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 shareF3 | May 10, 2016 | P | 5,100 | $10.20 | A | 5,100 | I | See Footnote |
| Common Stock, par value $0.001 per shareF1,F3 | May 11, 2016 | P | 2,264 | $10.35 | A | 7,364 | I | See Footnote |
| Common Stock, par value $0.001 per shareF2,F3 | May 12, 2016 | P | 9,866 | $10.49 | A | 17,230 | I | See Footnote |
| Common Stock, par value $0.001 per share | holding | — | — | — | 157,146 | 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 purchased in multiple transactions at prices ranging from $10.33 to $10.36, inclusive. Upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.37 to $10.53, inclusive. Upon request by the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, the reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F3Mr. Bolduc is the sole shareholder of the general partner of Bolduc Family LP, which owns the reported securities. Mr. Bolduc disclaims beneficial ownership of shares of common stock held by Bolduc Family LP, except to the extent of his pecuniary interest therein.
Remarks
Mr. Bolduc's Form 4 originally filed on May 12, 2016 has been amended to report Mr. Bolduc's indirect beneficial ownership of shares of common stock owned by Bolduc Family LP. In addition, the transactions reported on Mr. Bolduc's Form 4 filed on May 17, 2016 were executed in the account of Bolduc Family LP.