Statement of Changes in Beneficial Ownership (4)
04 Novembre 2016 - 12:03PM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
STUART JOHN EDWARD
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2. Issuer Name
and
Ticker or Trading Symbol
Full Circle Capital Corp
[
FULL
]
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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)
Chairman
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(Last)
(First)
(Middle)
102 GREENWICH AVENUE, 2ND FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/3/2016
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(Street)
GREENWICH, CT 06830
(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
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11/2/2016
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J
(1)
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1453692
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D
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$2.69
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0
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I
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By Full Circle Advisors, LLC
(1)
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Common Stock
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11/3/2016
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D
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41830
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D
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(2)
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0
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D
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Common Stock
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11/3/2016
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D
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4000
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D
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(2)
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0
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I
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By Michele G. Stuart
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Common Stock
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11/3/2016
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D
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19351
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D
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(2)
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0
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I
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By John E. Stuart GST Trust
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Common Stock
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11/3/2016
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D
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9258
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D
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(2)
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0
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I
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By Mary E. Stuart 2001 Grantor Trust
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Common Stock
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11/3/2016
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D
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237
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D
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(2)
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0
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I
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By Full Circle Investments, LLC
(3)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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These shares, which were owned by Full Circle Advisors, LLC and may have been deemed to be beneficially owned by the reporting person by virtue of his position as managing member thereof, were transferred by Full Circle Advisors, LLC in partial repayment of a loan obligation of Full Circle Advisors, LLC.
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(
2)
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Pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement") by and among the issuer and Great Elm Capital Corp. ("GECC"), on June 23, 2016, each share of the issuer's common stock, issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) and not otherwise excluded pursuant to the terms of the Merger Agreement, was converted into the right to receive 0.2219 shares of GECC common stock.
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(
3)
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Amount represents 237 shares owned by Full Circle Investments LLC, of which Mr. Stuart is a managing member thereof.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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STUART JOHN EDWARD
102 GREENWICH AVENUE, 2ND FLOOR
GREENWICH, CT 06830
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X
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Chairman
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Signatures
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/s/ John E. Stuart
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11/3/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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