SEC Form 3: New insider Oi3, Llc claimed ownership of 2,946,474 shares
$OFS
Finance/Investors Services
Finance
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/30/2023 |
3. Issuer Name and Ticker or Trading Symbol
OFS Capital Corp [ OFS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 2,946,474 | I | -(1) |
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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 Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Explanation of Responses: |
| 1. The reported securities are directly owned by Orchard First Source Asset Management Holdings, LLC ("OFSAM Holdings"), and may be deemed to be indirectly owned by Orchard Investments, LLC ("OI") through its interests in OFSAM Holdings, indirectly owned by OI3, LLC, as an owner of OI, indirectly owned by the OI3 2013 Trust, as owner of OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of the OI3 2019 Trust. Each of OI, the OI3 2019 Trust and Richard S. Ressler previously reported its potential deemed indirect ownership interest on Form 3 filed September 27, 2021. OI3, LLC disclaims, and each of OI, the OI3 2019 Trust and Richard S. Ressler has disclaimed, beneficial ownership of the shares reported herein, except to the extent of such person's respective pecuniary interest therein. |
| Remarks: |
| /s/ Nicholas V. Morosoff, Officer of the Manager of OI3, LLC | 07/05/2023 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||