Statement of Changes in Beneficial Ownership (4)
14 November 2020 - 8:22AM
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
*
Cerny Jeffrey A |
2. Issuer Name and Ticker or Trading Symbol
OFS Capital Corp
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OFS
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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)
Director and CFO |
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(Last)
(First)
(Middle)
C/O OFS CAPITAL CORPORATION, 10 S. WACKER DRIVE, SUITE 2500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/11/2020 |
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(Street)
CHICAGO, IL 60606
(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 | 11/11/2020 | | P | | 20000 | A | $5.07 (1) | 20000 | D | |
| Common Stock | 11/12/2020 | | P | | 10000 | A | $5.08 (2) | 30000 | D | |
| Common Stock | | | | | | | | 2946474 | I | - (3) |
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) | The price in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $4.88 to $5.17, inclusive. The reporting person undertakes to provide to OFS Capital Corporation, any security holder of OFS Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. |
| (2) | The price in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $5.06 to $5.11, inclusive. The reporting person undertakes to provide to OFS Capital Corporation, any security holder of OFS Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2) to this Form 4. |
| (3) | These securities are held by Orchard First Source Asset Management ("OFSAM"). Mr. Cerny has an ownership interest in OFSAM. As a result, Mr. Cerny may be deemed to beneficially own the securities held by OFSAM. Mr. Cerny disclaims beneficial ownership of the reported securities 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 |
Cerny Jeffrey A
C/O OFS CAPITAL CORPORATION
10 S. WACKER DRIVE, SUITE 2500
CHICAGO, IL 60606 | X |
| Director and CFO |
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Signatures
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| Jeffrey A. Cerny | | 11/13/2020 |
| **Signature of Reporting Person | Date |
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