SEC Form 3 · accession 0000904454-16-000842
SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
George W Siguler
Director · 10% Owner
Donald Spencer
Officer — X · 10% Owner
Andrew Guff
10% Owner
Siguler Guff SBCOF GP, LLC
10% Owner
Siguler Guff Capital, LP
10% Owner
Period of report
Oct 13, 2015
Accepted (ET)
Jan 13, 2016 · 3:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001614173
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 100,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of Common Stock that are directly beneficially owned by Siguler Guff Small Business Credit Opportunities Fund, LP may be deemed to be indirectly beneficially owned by Siguler Guff SBCOF GP, LLC, as its general partner, Siguler Guff Capital, LP, as the managing member of Siguler Guff SBCOF GP, LLC, and Donald Spencer, Andrew Guff and George W. Siguler, as the control persons of Siguler Guff Capital, LP. Messrs. Spencer, Guff and Siguler may be deemed to have voting and investment control over the shares of Common Stock held by Siguler Guff Small Business Credit Opportunities Fund, LP, however each of them disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.