Statement of Changes in Beneficial Ownership (4)
October 23 2019 - 4:38PM
Edgar (US Regulatory)
FORM 4
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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
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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
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Investcorp BDC Holdings Ltd |
2. Issuer Name and Ticker or Trading Symbol
Investcorp Credit Management BDC, Inc.
[
ICMB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
CENTURY YARD, CRICKET SQUARE PO BOX 1111, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/22/2019
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(Street)
GRAND CAYMAN. KY1-1102, E9 BWI
(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)
___ Form filed by One Reporting Person
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X
_ 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, $0.001 par value per share
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10/22/2019
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P
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1700
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A
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$6.5232 (1)
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21039
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D (2)
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Common Stock, $0.001 par value per share
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10/23/2019
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P
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900
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A
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$6.6889 (3)
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21939
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D (2)
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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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The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $6.415 to $6.55. The reporting person undertakes to provide to the Investcorp Credit Management BDC, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in this Form 4.
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(2)
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These shares of Common Stock are owned directly by Investcorp BDC Holdings Limited ("IBDC"). The same shares of Common Stock are reported herein as being beneficially owned by Investcorp S.A. ("Investcorp"), SIPCO Holdings Limited ("SIPCO") and Investcorp Credit Management US LLC ("ICM"). Investcorp and ICM each disclaim beneficial ownership of the shares held by IBDC, except to the extent, if any, that they have a pecuniary interest in such shares and such pecuniary interest is ultimately realized. SIPCO may be deemed to control Investcorp through its ownership of a majority of the stock of a company that indirectly owns a majority of Investcorp. SIPCO Limited disclaims beneficial ownership of the shares reported on this Form 3.
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(3)
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The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $6.60 to $6.70.
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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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Investcorp BDC Holdings Ltd CENTURY YARD, CRICKET SQUARE PO BOX 1111 GRAND CAYMAN. KY1-1102, E9 BWI
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X
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Investcorp Credit Management US LLC 280 PARK AVENUE 36TH FLOOR NEW YORK, NY 10017
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X
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SIPCO HOLDINGS LTD CENTURY YARD, CRICKET SQUARE PO BOX 1111 GRAND CAYMAN KY1-1102, E9 BWI
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X
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Investcorp S.A. CENTURY YARD, CRICKET SQUARE PO BOX 1111 GRAND CAYMAN KY1-1102, E9 BWI
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X
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Signatures
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Investcorp BDC Holdings Limited, by Patrick Maloney, attorney-in-fact /s/ Patrick Maloney
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10/23/2019
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**Signature of Reporting Person
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Date
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Investcorp Credit Management US LLC, by Patrick Maloney, General Counsel /s/ Patrick Maloney
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10/23/2019
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**Signature of Reporting Person
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Date
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SIPCO Holdings Limited, by Patrick Maloney, attorney-in-fact /s/ Patrick Maloney
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10/23/2019
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**Signature of Reporting Person
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Date
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Investcorp S.A., by Patrick Maloney, attorney-in-fact /s/ Patrick Maloney
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10/23/2019
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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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