SEC Form 4 · accession 0001144204-18-044952
WhiteHorse Finance, Inc. · WHF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Stacy Smith
Director
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 5:09 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 shareF1 | Aug 13, 2018 | S | 3,000 | $14.473 | D | 9,000 | D | |
| Common Stock, par value $0.001 per shareF2 | Aug 14, 2018 | S | 9,000 | $14.188 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in this Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.47 to $14.486, inclusive. The reporting person undertakes to provide WhiteHorse Finance, Inc., any security holder of WhiteHorse Finance, Inc. 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.
- F2The price reported in this Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.09 to $14.24, inclusive. The reporting person undertakes to provide WhiteHorse Finance, Inc., any security holder of WhiteHorse Finance, Inc. 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.