Statement of Changes in Beneficial Ownership (4)
September 23 2020 - 5:08PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Golub David |
2. Issuer Name and Ticker or Trading Symbol
GOLUB CAPITAL BDC, Inc.
[
GBDC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O GOLUB CAPITAL BDC, INC., 200 PARK AVENUE, 25TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/21/2020 |
(Street)
NEW YORK, NY 10166
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.001 per share | 9/21/2020 | | P | | 5000 | A | $13.2203 | 1769890.062 | I | By GGP Holdings L.P. (1) |
Common Stock, par value $0.001 per share | 9/22/2020 | | P | | 5000 | A | $13.1939 | 1774890.062 | I | By GGP Holdings L.P. (1) |
Common Stock, par value $0.001 per share | | | | | | | | 2956200.061 | I | By GEMS Fund 4, L.P. (2) |
Common Stock, par value $0.001 per share | | | | | | | | 1278389.124 | I | By GCOP LLC (3) |
Common Stock, par value $0.001 per share | | | | | | | | 4544626.763 | I | By GEMS Fund, L.P. (4) |
Common Stock, par value $0.001 per share | | | | | | | | 125388.954 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Due to his control of and ownership interest in GGP Holdings, L.P., Mr. Golub is viewed as having investment power over all the shares owned by such entity. |
(2) | Due to his control of GEMS Fund 4, L.P., Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although voting rights were passed through to the limited partners. Mr. Golub disclaims beneficial ownership of such shares of GBDC common stock held by GEMS Fund 4, L.P., except to the extent of his pecuniary interest therein. |
(3) | Due to his control of and ownership interest in GCOP LLC, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity. |
(4) | Due to his control of GEMS Fund, L.P., Mr. Golub may be viewed as having investment power over all of the shares owned by such entity although voting rights were passed through to the limited partners. Mr. Golub disclaims beneficial ownership of such shares of GBDC common stock held by GEMS Fund, L.P., except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Golub David C/O GOLUB CAPITAL BDC, INC. 200 PARK AVENUE, 25TH FLOOR NEW YORK, NY 10166 | X |
| Chief Executive Officer |
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Signatures
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/s/ David B. Golub | | 9/23/2020 |
**Signature of Reporting Person | Date |
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