SEC Form 4 · accession 0001144204-18-049886
Runway Growth Finance Corp. · RWAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas B. Raterman
Officer — CFO, Treasurer and Secretary
Period of report
Sep 14, 2018
Accepted (ET)
Sep 18, 2018 · 5:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001653384
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1 | Sep 14, 2018 | P | 363 | $15.02 | A | 1,981 | D | |
| Common Stock, par value $0.01 per shareF1,F2 | Sep 14, 2018 | P | 726 | $15.02 | A | 726 | I | By Runway Growth Capital, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The number of shares includes shares acquired pursuant to the Runway Growth Credit Fund Inc. automatic dividend reinvestment plan (?DRIP?), exempt under Rule 16a-11.
- F2These securities are held by Runway Growth Capital, LLC, and may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest therein and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities.