SEC Form 4 · accession 0001144204-19-000652
Runway Growth Finance Corp. · RWAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R David Spreng
Officer — President and CEO · Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:02 pm EST
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 shareF3 | Jan 2, 2019 | P | 1,014 | $15.00 | A | 1,014 | I | By Runway Growth Holdings LLC |
| Common Stock, par value $0.01 per shareF1,F2 | Jan 2, 2019 | P | 2,135 | $15.19 | A | 2,878 | I | By Runway Growth Capital LLC |
| Common Stock, par value $0.01 per shareF3 | Jan 2, 2019 | P | 395 | $15.19 | A | 1,409 | I | By Runway Growth Holdings LLC |
| Common Stock, par value $0.01 per shareF1 | Jan 2, 2019 | P | 4,191 | $15.19 | A | 5,943 | D | |
| Common Stock, par value $0.01 per shareF1 | holding | — | — | — | 16,560 | I | By 401(k) Plan |
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. Spreng by virtue of his ownership interest therein and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities.
- F3These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Securities held by Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities.