0001144204-14-010172.txt : 20140218 0001144204-14-010172.hdr.sgml : 20140217 20140218091619 ACCESSION NUMBER: 0001144204-14-010172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140214 FILED AS OF DATE: 20140218 DATE AS OF CHANGE: 20140218 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Golub Capital BDC, Inc. CENTRAL INDEX KEY: 0001476765 IRS NUMBER: 272326940 STATE OF INCORPORATION: DE FISCAL YEAR END: 0910 BUSINESS ADDRESS: STREET 1: 150 SOUTH WACKER DRIVE STREET 2: SUITE 800 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-205-5050 MAIL ADDRESS: STREET 1: 150 SOUTH WACKER DRIVE STREET 2: SUITE 800 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: Golub Capital BDC LLC DATE OF NAME CHANGE: 20091113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Golub David CENTRAL INDEX KEY: 0001298389 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00794 FILM NUMBER: 14620565 MAIL ADDRESS: STREET 1: 1125 PARK AVE. 7A CITY: NEW YORK STATE: NY ZIP: 10128 4 1 v369000_form4.xml OWNERSHIP DOCUMENT X0306 4 2014-02-14 0 0001476765 Golub Capital BDC, Inc. GBDC 0001298389 Golub David 1125 PARK AVE. 15A NEW YORK NY 10128 1 1 0 0 Chief Executive Officer Common Stock, par value $0.001 per share 2014-02-14 4 S 0 1135853 18.40 D 0 I By Golub Capital Company VI LLC Common Stock, par value $0.001 per share 94945 D Common Stock, par value $0.001 per share 433971 I By GCI Development LLC Common Stock, par value $0.001 per share 6118 I By Golub Capital LLC Common Stock, par value $0.001 per share 3493 I GEMS Associates LLC Common Stock, par value $0.001 per share 59223 I CDGQ LLC Mr. Golub is a control person of Golub Capital LLC, the investment adviser of Golub Capital Company VI LLC ("GCCVI"). Due to his control of and ownership interest in GCCVI, which previously owned 1,135,853 shares of Common Stock of the Issuer, Mr. Golub was viewed as having investment power over all of the shares owned by such entity although voting rights to the Common Stock had been passed through to the members of GCCVI. On February 14, 2014, GCCVI sold all of its shares at $18.40 per share in three block trades. 1,016,000 shares were sold to funds managed by an institutional investor, 64,000 shares were sold to an investment vehicle for which an affiliated entity serves as a sub adviser, and 55,853 were sold to Golub Capital Employee Grant Program Rabbi Trust for the purpose of awarding incentive compensation to employees of Golub Capital. GCCVI sold all of its shares in order to diversify its investments and will reinvest the proceeds in middle market debt and equity investments. Mr. Golub has a pecuniary interest in 3,716 of the shares of Common Stock of Golub Capital BDC, Inc. being sold in these transactions. To the extent of such pecuniary interest, Mr. Golub's sale of Common Stock of Golub Capital BDC, Inc. reported herein by entities over which Mr. Golub may be viewed as having investment power is matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 3,716 shares of Common Stock, with the purchase of 5,000 shares of Common Stock in December 2013. Upon settlement of these sale transactions, Mr. Golub has agreed to pay to Golub Capital BDC, Inc. an aggregate of $111.48, representing the full amount of the profit realized by him in connection with the short-swing transactions. Due to his control of and ownership interest in GCI Development LLC, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity. These shares are held for the benefit of employees of Golub Capital and vest subject to certain adjustments as specified by the terms of the compensation arrangements. Mr. Golub disclaims beneficial ownership of such shares of Common Stock held by GCI Development LLC except to the extent of his pecuniary interest therein. As of the date thereof, Mr. Golub has no pecuniary interest in the shares of Common Stock held by GCI Development LLC. Due to his control of and ownership interest in Golub Capital LLC, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity. These shares will be held for the benefit of employees of Golub Capital LLC and vest subject to certain adjustments as specified by the terms of the compensation arrangements, Mr. Golub disclaims beneficial ownership of such shares of Common Stock held by Golub Capital LLC except to the extent of his pecuniary interest therein. Mr. Golub is a control person of GEMS Associates LLC. Due to his control of and ownership interest in GEMS Associates LLC, Mr. Golub may be viewed as having investment power over all of the shares owned by such entity. Mr. Golub disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein. The shares reported herein are directly beneficially owned by CDGQ LLC and are held for the benefit of his family trust. /s/ David B. Golub 2014-02-18