Last 12 months
Inside the activity.
9 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 1 |
| May 2026 | 4 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 2 | 0 |
| Sep 2026 | 3 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 22, 2026 Filed Sep 23, 2026 00:10 UTC |
Goldthorpe Edward J.Director
|
PurchaseCommon Stock, par value $0.01 per share | 6,251 | $6.76 | $42,256.76 |
DisclosureSEC source: 0001104659-26-109712 · tm2625961-1_4seq1.xml · nonDerivative · entry 2 Goldthorpe Edward J. · CIK 0001549748 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.75 to $6.77 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| September 21, 2026 Filed Sep 23, 2026 00:10 UTC |
Goldthorpe Edward J.Director
|
PurchaseCommon Stock, par value $0.01 per share | 3,749 | $6.72 | $25,193.28 |
DisclosureSEC source: 0001104659-26-109712 · tm2625961-1_4seq1.xml · nonDerivative · entry 1 Goldthorpe Edward J. · CIK 0001549748 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,749 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.71 to $6.73 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| September 09, 2026 Filed Sep 10, 2026 20:12 UTC |
Rovner MichaelCo-Chief Executive Officer
|
PurchaseCommon Stock, par value $0.01 per share | 7,000 | $6.57 | $45,990.00 |
DisclosureSEC source: 0001104659-26-106712 · tm2625194-1_4seq1.xml · nonDerivative · entry 1 Rovner Michael · CIK 0002148379 · Co-Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,000 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.56 to $6.60 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| August 14, 2026 Filed Aug 18, 2026 21:10 UTC |
SPRENG R DAVIDDirector · President and Co-CEO
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $6.89 | $6,889.10 |
DisclosureSEC source: 0001104659-26-098403 · tm2623509-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and Co-CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 194,504 Read SEC document |
| August 13, 2026 Filed Aug 17, 2026 21:09 UTC |
Thomson CarmelaCFO, Treasurer and Secretary
|
PurchaseCommon Stock, par value $0.01 per share | 8,000 | $6.97 | $55,743.20 |
DisclosureSEC source: 0001104659-26-097933 · tm2623430-1_4seq1.xml · nonDerivative · entry 1 Thomson Carmela · CIK 0002140856 · CFO, Treasurer and Secretary 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,840 Read SEC document |
| May 20, 2026 Filed May 22, 2026 20:05 UTC |
SPRENG R DAVIDDirector · President, CEO and CIO
|
GrantCommon Stock, par value $0.01 per share | 3,000 | $6.37 | $19,095.00 |
DisclosureSEC source: 0001104659-26-065703 · tm2615479-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President, CEO and CIO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 193,504 F1 · balance_after: The previous Form 4 for Mr. Spreng filed on April 1, 2025 inadvertently misstated his direct and indirect holdings. This Form 4 corrects such disclosure. Read SEC document |
| May 20, 2026 Filed May 22, 2026 20:05 UTC |
Raterman Thomas B.CFO, COO
|
GrantCommon Stock, par value $0.01 per share | 7,000 | $6.34 | $44,345.00 |
DisclosureSEC source: 0001104659-26-065694 · tm2615479-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · CFO, COO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 98,359 Read SEC document |
| May 20, 2026 Filed May 27, 2026 20:05 UTC Amendment |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 3,000 | $6.37 | $19,095.00 |
DisclosureSEC source: 0001104659-26-066916 · tm2615687-1_4aseq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 193,504 F1 · kind: "On May 22, 2026, the reporting person filed a Form 4 with respect to a transaction dated May 20, 2026, which inadvertently reported the transaction code in Column 3 as "A". This amended Form 4 amends such filing to report the transaction code in Column 3 as "P". Read SEC document |
| May 20, 2026 Filed May 27, 2026 20:05 UTC Amendment |
Raterman Thomas B.CFO, COO
|
PurchaseCommon Stock, par value $0.01 per share | 7,000 | $6.34 | $44,345.00 |
DisclosureSEC source: 0001104659-26-066922 · tm2615687-2_4aseq1.xml · nonDerivative · entry 3 Raterman Thomas B. · CIK 0001664300 · CFO, COO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 98,359 F2 · kind: On May 22, 2026, the reporting person filed a Form 4 with respect to a transaction dated May 20, 2026, which inadvertently reported the transaction code in Column 3 as "A". This amended Form 4 amends such filing to report the transaction code in Column 3 as "P" for such transaction. Read SEC document |
| May 14, 2026 Filed May 18, 2026 22:02 UTC |
Raterman Thomas B.CFO, COO
|
GrantCommon Stock, par value $0.01 per share | 2,900 | $6.67 | $19,343.00 |
DisclosureSEC source: 0001104659-26-063313 · tm2615005-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · CFO, COO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 91,260 F1 · balance_after: The previous Form 4 for Mr. Raterman filed on April 1, 2025 inadvertently misstated his direct and indirect holdings. This Form 4 corrects such disclosure. Read SEC document |
| May 14, 2026 Filed May 18, 2026 22:02 UTC |
Raterman Thomas B.CFO, COO
|
GrantCommon Stock, par value $0.01 per share | 100 | $6.67 | $667.00 |
DisclosureSEC source: 0001104659-26-063313 · tm2615005-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · CFO, COO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 91,359 F1 · balance_after: The previous Form 4 for Mr. Raterman filed on April 1, 2025 inadvertently misstated his direct and indirect holdings. This Form 4 corrects such disclosure. Read SEC document |
| May 14, 2026 Filed May 27, 2026 20:05 UTC Amendment |
Raterman Thomas B.CFO, COO
|
PurchaseCommon Stock, par value $0.01 per share | 100 | $6.67 | $667.00 |
DisclosureSEC source: 0001104659-26-066922 · tm2615687-2_4aseq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · CFO, COO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 91,359 F1 · kind: On May 18, 2026, the reporting person filed a Form 4 with respect to two transactions dated May 14, 2026, which inadvertently reported the transaction codes in Column 3 as "A". This amended Form 4 amends such filing to report the transaction codes in Column 3 as "P" for such transactions. Read SEC document |
| May 14, 2026 Filed May 27, 2026 20:05 UTC Amendment |
Raterman Thomas B.CFO, COO
|
PurchaseCommon Stock, par value $0.01 per share | 2,900 | $6.67 | $19,343.00 |
DisclosureSEC source: 0001104659-26-066922 · tm2615687-2_4aseq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · CFO, COO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 91,259 F1 · kind: On May 18, 2026, the reporting person filed a Form 4 with respect to two transactions dated May 14, 2026, which inadvertently reported the transaction codes in Column 3 as "A". This amended Form 4 amends such filing to report the transaction codes in Column 3 as "P" for such transactions. Read SEC document |
| April 09, 2026 Filed Apr 13, 2026 22:03 UTC |
Carlson Capital, L.P.10% owner
Carlson Clint Duane10% owner
|
SaleCommon Stock, par value $0.01 per share (the "Common Stock") | 560,105 | $6.59 | $3,691,091.95 |
DisclosureSEC source: 0001193125-26-153172 · ownership.xml · nonDerivative · entry 1 Carlson Capital, L.P. · CIK 0001056973 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,885,000 F1 · price: The transactions referenced herein provide for various per share prices ranging from $6.59 to $6.64. The Reporting Persons undertake to provide to Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon full information regarding the number of shares sold at each separate price. F2 · ownership.direct: The shares of Common Stock to which this relates are held directly by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company (the "Fund"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Fund. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II, Carlson Capital, and any of its affiliated entities and related parties ("Mr. Clint D. Carlson"). Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| November 17, 2025 Filed Nov 20, 2025 00:58 UTC |
OCM Growth Holdings LLC10% owner
Oaktree Capital Holdings, LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 1,250,000 | $9.05 | $11,312,500.00 |
DisclosureSEC source: 0001193125-25-288545 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,029,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. Read SEC document |
| August 08, 2025 Filed Aug 12, 2025 23:20 UTC |
OCM Growth Holdings LLC10% owner
Oaktree Capital Holdings, LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 500,000 | $10.80 | $5,400,000.00 |
DisclosureSEC source: 0000950170-25-107522 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,279,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| July 01, 2025 Filed Jul 3, 2025 20:29 UTC |
OCM Growth Holdings LLC10% owner
Oaktree Capital Holdings, LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 1,000,000 | $10.45 | $10,450,000.00 |
DisclosureSEC source: 0000950170-25-093898 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,779,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| April 01, 2025 Filed Apr 3, 2025 22:34 UTC |
OCM Growth Holdings LLC10% owner
Oaktree Capital Holdings, LLC10% owner
|
SaleCommon Stock, par value $0.01 per share | 1,000,000 | $10.35 | $10,350,000.00 |
DisclosureSEC source: 0000950170-25-050769 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · 10% owner Oaktree Capital Holdings, LLC · CIK 0001790787 · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,779,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Oaktree Capital Holdings, LLC, limited liability company ("OCH"), in its capacity as the indirect manager of OCMGH and (iii) Oaktree Capital Group Holdings GP, LLC ("OCGH GP"), in its capacity as the indirect owner of class B units of OCH. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone and John B. Frank (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:22 UTC |
SPRENG R DAVIDDirector · President and CEO
|
OtherCommon Stock, par value $0.01 per share | 61,985.916 | $10.75 | $666,348.60 |
DisclosureSEC source: 0001104659-25-030713 · tm2511084-2_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 147,525.004 F5 · kind: Distribution of securities owned by Runway Growth Holdings LLC to its employees. F4 · price: Price listed is based on the last reported closing sales price of RWAY common stock on the Nasdaq as of March 28, 2025, due to the nature of the transaction there has been no price established for the transaction. F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is an affiliate of Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:22 UTC |
SPRENG R DAVIDDirector · President and CEO
|
OtherCommon Stock, par value $0.01 per share | 30,636.67 | $10.75 | $329,344.20 |
DisclosureSEC source: 0001104659-25-030713 · tm2511084-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,168.51 F3 · kind: In-kind transfer of the securities held by Runway Growth Holdings LLC to Mr. Spreng. F4 · price: Price listed is based on the last reported closing sales price of RWAY common stock on the Nasdaq as of March 28, 2025, due to the nature of the transaction there has been no price established for the transaction. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:20 UTC |
Raterman Thomas B.See Remarks
|
OtherCommon Stock, par value $0.01 per share | 18,437.603 | $10.75 | $198,204.23 |
DisclosureSEC source: 0001104659-25-030711 · tm2511084-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,878.603 F3 · kind: In-kind transfer of the securities held by Runway Growth Holdings LLC to Mr. Raterman. F4 · price: Price listed is based on the last reported closing sales price of RWAY common stock on the Nasdaq as of March 28, 2025, due to the nature of the transaction there has been no price established for the transaction. F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:20 UTC |
Raterman Thomas B.See Remarks
|
OtherCommon Stock, par value $0.01 per share | 61,985.916 | $10.75 | $666,348.60 |
DisclosureSEC source: 0001104659-25-030711 · tm2511084-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 147,525.004 F5 · kind: Distribution of securities owned by Runway Growth Holdings LLC to its employees. F4 · price: Price listed is based on the last reported closing sales price of RWAY common stock on the Nasdaq as of March 28, 2025, due to the nature of the transaction there has been no price established for the transaction. F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is an affiliate of Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| December 19, 2024 Filed Dec 20, 2024 01:13 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 1,000 | $10.34 | $10,340.00 |
DisclosureSEC source: 0001104659-24-130325 · tm2431624-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,531.84 Read SEC document |
| November 20, 2024 Filed Nov 22, 2024 21:30 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 8,803 | $10.18 | $89,614.54 |
DisclosureSEC source: 0001104659-24-122116 · tm2429227-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 209,510.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 20, 2024 Filed Nov 22, 2024 21:31 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 8,803 | $10.18 | $89,614.54 |
DisclosureSEC source: 0001104659-24-122121 · tm2429227d2_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 209,510.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 19, 2024 Filed Nov 20, 2024 21:30 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 13,187 | $10.10 | $133,188.70 |
DisclosureSEC source: 0001104659-24-121038 · tm2428964-2_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 200,707.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 19, 2024 Filed Nov 20, 2024 21:30 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 13,187 | $10.10 | $133,188.70 |
DisclosureSEC source: 0001104659-24-121035 · tm2428964-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 200,707.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 18, 2024 Filed Nov 20, 2024 21:30 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 7,556 | $10.12 | $76,466.72 |
DisclosureSEC source: 0001104659-24-121038 · tm2428964-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 187,520.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 18, 2024 Filed Nov 20, 2024 21:30 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 7,556 | $10.12 | $76,466.72 |
DisclosureSEC source: 0001104659-24-121035 · tm2428964-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 187,520.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| August 14, 2024 Filed Aug 16, 2024 23:55 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 5,000 | $10.17 | $50,850.00 |
DisclosureSEC source: 0001104659-24-090614 · tm2421947-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,531.84 Read SEC document |
| August 13, 2024 Filed Aug 14, 2024 20:30 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 5,000 | $10.08 | $50,400.00 |
DisclosureSEC source: 0001104659-24-089677 · tm2421700-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,441 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 23:32 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 400,000 | $11.90 | $4,760,000.00 |
DisclosureSEC source: 0000950170-24-072620 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,779,668 F1 · ownership.direct: This Form 4 is being filed by (i) OCM Growth Holdings LLC, a Delaware limited liability company ("OCMGH") and the direct holder of the reported securities, (ii) Brookfield Oaktree Holdings, LLC, a Delaware LLC ("BOH"), in its capacity as the indirect manager of OCMGH; (iii) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of BOH; (iv) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of BOH and (v) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F3 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F4 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| May 14, 2024 Filed May 16, 2024 20:15 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 4,312,500 | $11.50 | $49,593,750.00 |
DisclosureSEC source: 0000950170-24-061093 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,179,668 F1 · price: On May 14, 2024, the Reporting Persons participated in a block trade in which they sold 4,312,500 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") for aggregate proceeds of $49,593,750 (the "Block Sale"). The Common Stock reported as sold includes 562,500 shares of Common Stock sold pursuant to the underwriters' exercise of an overallotment right. F2 · ownership.direct: Following the Block Sale, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 11,179,668 shares of Common Stock of the Issuer. F3 · ownership.direct: This Form 4 is being filed by (i) OCMGH; (ii) Brookfield Oaktree Holdings, LLC, a Delaware LLC ("BOH"), in its capacity as the indirect manager of OCMGH; (iii) Oaktree Capital Group Holdings GP, LLC, a Delaware LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of BOH; (iv) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of BOH and (v) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 22:33 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 5,000 | $11.88 | $59,400.00 |
DisclosureSEC source: 0001104659-24-038544 · tm249569-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,531.84 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 21:00 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.Director · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 1,000,000 | $11.33 | $11,330,000.00 |
DisclosureSEC source: 0000950170-24-034252 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Brookfield Oaktree Holdings, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,492,168 F1 · price: On March 18, 2024, the Reporting Persons participated in a block trade in which they sold 1,000,000 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") for aggregate proceeds of $11,330,000 (the "Block Sale"). F2 · ownership.direct: Following the Block Sale, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 15,492,168 shares of Common Stock of the Issuer and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware") directly owns 0 shares of Common Stock of the Issuer, and therefore this filing constitutes an exit filing for Fund Xb Delaware. F3 · ownership.direct: This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; (iii) Brookfield Oaktree Holdings, LLC (f/k/a Oaktree Capital Group, LLC), a Delaware LLC ("BOH"), in its capacity as the indirect manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of BOH; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of BOH and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| March 14, 2024 Filed Mar 18, 2024 20:24 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 20,460 | $11.61 | $237,540.60 |
DisclosureSEC source: 0001104659-24-035571 · tm248982-1_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 179,964.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| March 14, 2024 Filed Mar 18, 2024 20:27 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 20,460 | $11.61 | $237,540.60 |
DisclosureSEC source: 0001104659-24-035574 · tm248982-2_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 179,964.92 F2 · balance_after: The number of shares includes shares acquired pursuant to the Runway Growth Finance Corp. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| December 18, 2023 Filed Dec 20, 2023 02:30 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.Director · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 12,365 | $12.76 | $157,734.12 |
DisclosureSEC source: 0000950170-23-071709 · ownership.xml · nonDerivative · entry 2 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,492,168 F1 · price: The reported price represents the volume-weighted average price ("VWAP") of shares sold. Full information regarding the number of shares of Common Stock sold at each separate price in the ranges reflected in footnotes 2 and 8 will be provided to the SEC, the Issuer or its shareholders upon request. F8 · price: The reported price represents the VWAP of shares sold. Sale prices for the reported transaction reported ranged between $12.72 and $12.83, inclusive. F3 · ownership.direct: Following the reported transactions, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 16,473,290 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware") directly owns 18,878 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 2) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| December 15, 2023 Filed Dec 20, 2023 02:30 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.Director · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 237,635 | $12.69 | $3,016,110.95 |
DisclosureSEC source: 0000950170-23-071709 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,504,533 F1 · price: The reported price represents the volume-weighted average price ("VWAP") of shares sold. Full information regarding the number of shares of Common Stock sold at each separate price in the ranges reflected in footnotes 2 and 8 will be provided to the SEC, the Issuer or its shareholders upon request. F2 · price: The reported price represents the VWAP of shares sold. Sale prices for the reported transaction reported ranged between $12.68 and $12.85, inclusive. F3 · ownership.direct: Following the reported transactions, OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH") directly owns 16,473,290 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer") and Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware") directly owns 18,878 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F4 · ownership.direct: (continued from footnote 2) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F5 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F7 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| December 12, 2023 Filed Dec 15, 2023 02:49 UTC |
OCM Growth Holdings LLCDirector · 10% owner
Brookfield Oaktree Holdings, LLCDirector · 10% owner
Oaktree Capital Group Holdings GP, LLCDirector · 10% owner
Oaktree Opportunities Fund Xb Holdings (Delaware), L.P.Director · 10% owner
BROOKFIELD Corp /ON/Director · 10% owner
BAM Partners TrustDirector · 10% owner
|
SaleCommon Stock, par value $0.01 per share | 562,500 | $12.06 | $6,782,400.00 |
DisclosureSEC source: 0000950170-23-070554 · ownership.xml · nonDerivative · entry 1 OCM Growth Holdings LLC · CIK 0001693272 · Director · 10% owner Oaktree Capital Group, LLC · CIK 0001403528 · Director · 10% owner Oaktree Capital Group Holdings GP, LLC · CIK 0001403525 · Director · 10% owner Oaktree Opportunities Fund Xb Holdings (Delaware), L.P. · CIK 0001780629 · Director · 10% owner BROOKFIELD Corp /ON/ · CIK 0001001085 · Director · 10% owner BAM Partners Trust · CIK 0001861643 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,742,168 F1 · balance_after: On December 12, 2023, OCMGH (as defined in Note 3 below), and Fund Xb Delaware (as defined in Note 3 below), sold 561,856 and 644 shares of the Issuer, respectively, in connection with the underwriters exercise of the overallotment option pursuant to an underwriting agreement by and among OCMGH, Fund Xb Delaware, the Issuer, and the underwriters party thereto. F2 · ownership.direct: OCM Growth Holdings, LLC, a Delaware limited liability company ("OCMGH"), directly owns 16,723,004 shares of common stock (the "Common Stock") of Runway Growth Finance Corp. ("Issuer"). Oaktree Opportunities Fund Xb Holdings (Delaware), L.P., a Delaware limited partnership ("Fund Xb Delaware"), directly owns 19,164 shares of Common Stock of the Issuer. This Form 4 is being filed by (i) OCMGH; (ii) Fund Xb Delaware; F3 · ownership.direct: (continued from footnote 2) (iii) Oaktree Capital Group, LLC, a Delaware LLC ("OCG"), in its capacity as the manager of OCMGH and Fund Xb Delaware; (iv) Oaktree Capital Group Holdings GP, LLC ("OCGHGP"), in its capacity as the indirect owner of class B units of OCG; (v) Brookfield Corporation, a Canadian corporation ("BN"), in its capacity as the indirect owner of the class A units of OCG and (vi) BAM Partners Trust, a trust formed under the laws of Ontario, in its capacity as the sole owner of Class B Limited Voting Shares of BN. F4 · ownership.direct: Each Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4. F5 · ownership.direct: OCGH GP is managed by an executive committee consisting of Howard S. Marks, Bruce A. Karsh, Sheldon M. Stone, John B. Frank, and Jay S. Wintrob (the "OCGH GP Members"). In such capacity, the OCGH GP Members may be deemed to have indirect beneficial ownership of the Common Stock. Each OCGH GP Member expressly disclaims beneficial ownership of the Common Stock, except to the extent of his respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such person is the beneficial owner of any equity securities covered by this Form 4. F6 · ownership.direct: The Reporting Persons may be deemed directors by deputization by virtue of their right to designate representatives to be nominated by the Issuer to serve on the Issuer's board of directors. Read SEC document |
| November 27, 2023 Filed Nov 28, 2023 21:42 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 8,022 | $12.80 | $102,681.60 |
DisclosureSEC source: 0001104659-23-121666 · tm2331675-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 152,804.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 27, 2023 Filed Nov 28, 2023 21:39 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 8,022 | $12.80 | $102,681.60 |
DisclosureSEC source: 0001104659-23-121665 · tm2331675-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 152,804.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 22, 2023 Filed Nov 24, 2023 21:15 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 9,662 | $12.64 | $122,127.68 |
DisclosureSEC source: 0001104659-23-121018 · tm2331474-2_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 144,782.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 22, 2023 Filed Nov 24, 2023 21:15 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 9,662 | $12.64 | $122,127.68 |
DisclosureSEC source: 0001104659-23-121017 · tm2331474-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 144,782.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 21, 2023 Filed Nov 24, 2023 21:15 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 7,689 | $12.53 | $96,343.17 |
DisclosureSEC source: 0001104659-23-121018 · tm2331474-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 135,120.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 21, 2023 Filed Nov 24, 2023 21:15 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 7,689 | $12.53 | $96,343.17 |
DisclosureSEC source: 0001104659-23-121017 · tm2331474-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 135,120.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 20, 2023 Filed Nov 21, 2023 22:11 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 7,500 | $12.39 | $92,925.00 |
DisclosureSEC source: 0001104659-23-120418 · tm2331300-2_4seq1.xml · nonDerivative · entry 2 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 127,431.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 20, 2023 Filed Nov 21, 2023 22:09 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 7,500 | $12.39 | $92,925.00 |
DisclosureSEC source: 0001104659-23-120417 · tm2331300-1_4seq1.xml · nonDerivative · entry 2 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 127,431.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 22:11 UTC |
SPRENG R DAVIDDirector · President and CEO
|
PurchaseCommon Stock, par value $0.01 per share | 6,600 | $12.29 | $81,114.00 |
DisclosureSEC source: 0001104659-23-120418 · tm2331300-2_4seq1.xml · nonDerivative · entry 1 SPRENG R DAVID · CIK 0001038255 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 119,931.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Spreng by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Executive Officer thereof. Mr. Spreng disclaims any beneficial ownership of these securities. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 22:09 UTC |
Raterman Thomas B.See Remarks
|
PurchaseCommon Stock, par value $0.01 per share | 6,600 | $12.29 | $81,114.00 |
DisclosureSEC source: 0001104659-23-120417 · tm2331300-1_4seq1.xml · nonDerivative · entry 1 Raterman Thomas B. · CIK 0001664300 · See Remarks 10b5-1 filing: No plan indicated Ownership: Indirect · By Runway Growth Holdings LLC Disclosed balance after: 119,931.92 F1 · ownership.nature: These securities are held by Runway Growth Holdings LLC, which is owned by Runway Growth Capital LLC. Runway Growth Holdings LLC may be deemed to be beneficially owned by Mr. Raterman by virtue of his ownership interest in Runway Growth Capital LLC and his position of Chief Financial Officer thereof. Mr. Raterman disclaims any beneficial ownership of these securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.