SEC Form 4 · accession 0001144204-18-009295
Golub Capital BDC 3, Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Golub
Officer — President and CEO · Director · 10% Owner
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 3:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001715268
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 | Feb 13, 2018 | P | 36,667 | $15.00 | A | 201,667 | I | By GEMS Fund 4, L.P. |
| Common Stock, par value $0.001 per shareF2 | holding | — | — | — | 700 | I | By GCOP LLC |
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 upon settlement of the current acquisition directly owns 201,666.666 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 700 shares of Common Stock, Mr. Golub is viewed as having investment power over all of the shares owned by such entity.