Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CM Credit Opportunities BDC I Inc.NA · Entity 168445 | President and Secretary | March 09, 2018 | March 09, 2018 |
| Investcorp Credit Management BDC, Inc.ICMB · Entity 7899 | President and Secretary | November 04, 2020 | November 05, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CM Credit Opportunities BDC I Inc.
Report date March 09, 2018 · Filed March 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2018-03-09 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Investcorp Credit Management BDC, Inc.
Report date November 04, 2020 · Filed November 05, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough trust | 0 |
Reported balance
After 2020-11-04 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-11-04 · Other · Disposed 5,000 · Balance 0 F1: The Reporting Person is a Trustee of the Patricia McInerney Jansen Children's Trust (the "Trust"), of which his daughter is a beneficiary. On November 4, 2020, the Reporting Person caused the Trust to distribute 5,000 shares of the Issuer's common stock to a beneficiary of the Trust. The Reporting Person disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein. F2: The Reporting Person may be deemed to beneficially own the shares of common stock of Issuer because the securities are held by the Trust, of which the Reporting Person is a Trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a Trustee of the Patricia McInerney Jansen Children's Trust (the "Trust"), of which his daughter is a beneficiary. On November 4, 2020, the Reporting Person caused the Trust to distribute 5,000 shares of the Issuer's common stock to a beneficiary of the Trust. The Reporting Person disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein.
F2: The Reporting Person may be deemed to beneficially own the shares of common stock of Issuer because the securities are held by the Trust, of which the Reporting Person is a Trustee.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 04, 2020 Filed Nov 5, 2020 22:06 UTC | Investcorp Credit Management BDC, Inc. ICMB · Entity 7899 | OtherCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-030481 · doc4.xml · nonDerivative · entry 1 Jansen Christopher E · CIK 0001592804 · President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Through trust Disclosed balance after: 0 F1 · kind: The Reporting Person is a Trustee of the Patricia McInerney Jansen Children's Trust (the "Trust"), of which his daughter is a beneficiary. On November 4, 2020, the Reporting Person caused the Trust to distribute 5,000 shares of the Issuer's common stock to a beneficiary of the Trust. The Reporting Person disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein. F2 · balance_after: The Reporting Person may be deemed to beneficially own the shares of common stock of Issuer because the securities are held by the Trust, of which the Reporting Person is a Trustee. Read SEC document |
| September 24, 2020 Filed Sep 28, 2020 23:46 UTC | Investcorp Credit Management BDC, Inc. ICMB · Entity 7899 | OtherCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-026421 · doc4.xml · nonDerivative · entry 1 Jansen Christopher E · CIK 0001592804 · President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Through trust Disclosed balance after: 5,000 F1 · kind: The Reporting Person is a Trustee of the Patricia McInerney Jansen Children's Trust (the "Trust"), of which his son is a beneficiary. On September 24, 2020, the Reporting Person caused the Trust to distribute 5,000 shares of the Issuer's common stock to a beneficiary of the Trust. The Reporting Person disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein. F2 · balance_after: The Reporting Person may be deemed to beneficially own the shares of common stock of Issuer because the securities are held by the Trust, of which the Reporting Person is a Trustee. Read SEC document |
| November 18, 2014 Filed Mar 12, 2018 21:37 UTC Amendment | Investcorp Credit Management BDC, Inc. CMFN · Entity 7899 | PurchaseCommon Stock | 2,000 | $12.58 | $25,150.00 |
DisclosureSEC source: 0000899243-18-007160 · doc4a.xml · nonDerivative · entry 1 Jansen Christopher E · CIK 0001592804 · Director · President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,669.099 F1 · price: The price shown in Column 4 is the weighted average purchase price of the shares of common stock of CM Finance Inc (the "Issuer"), par value $0.001 per share, on the transaction date. The price range for the purchases is $12.50 to $12.65 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price. F2 · balance_after: Includes 0.053 shares acquired under the CM Finance Inc dividend reinvestment plan. F3 · balance_after: This Form 4 amendment is being filed to correct a typographical error in the number of shares of the Issuer's common stock previously reported as being beneficially owned by Mr. Jansen following his November 18, 2014 purchase of 2,000 shares. 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.