SEC Form 4 · accession 0001627515-17-000060
GOLUB CAPITAL INVESTMENT Corp
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence E Golub
Officer — Chairman · Director
Period of report
Sep 19, 2017
Accepted (ET)
Sep 21, 2017 · 6:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001627515
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 | Sep 19, 2017 | P | 44,902 | $15.00 | A | 1,327,601 | I | By GEMS Fund 4, L.P. |
| Common Stock, par value $0.001 per shareF2 | holding | — | — | — | 1,004,906 | I | By GCOP LLC | |
| Common Stock, par value $0.001 per shareF3 | holding | — | — | — | 3,272,646 | I | BY GEMS Fund, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Due to his control of GEMS Fund 4, L.P., which directly owns 1,327,601.465 shares of Common Stock, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although voting rights have been passed through to the limited partners. Mr. Golub disclaims beneficial ownership of such shares of Common Stock held by GEMS Fund 4, L.P. except to the extent of his pecuniary interest therein.
- F2Due to his control of and ownership interest in GCOP LLC, which directly owns 1,004,905.973 shares of Common Stock, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity.
- F3Due to his control of GEMS Fund, L.P., which directly owns 3,272,645.764 shares of Common Stock, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although voting rights have been passed through to the limited partners. Mr. Golub disclaims beneficial ownership of such shares of Common Stock held by GEMS Fund, L.P. except to the extent of his pecuniary interest therein.