FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BlackRock Capital Investment Corp [ BKCC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/19/2024 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/18/2024 | D(1) | 150,061 | D | (2) | 0 | D | |||
Common Stock | 03/18/2024 | D(1) | 43,868 | D | (2) | 0 | I | By Jerrold B. Harris Trust, U/A 4/30/2001(3) | ||
Common Stock | 03/18/2024 | D(1) | 4,358 | D | (2) | 0 | I | By Jerrold B. Harris IRA(4) | ||
Common Stock | 03/18/2024 | D(1) | 22,857 | D | (2) | 0 | I | By Jerrold Harris 2012 Trust(5) | ||
Common Stock | 03/18/2024 | D(1) | 50,469 | D | (2) | 0 | I | By Bobette J. Harris Trust, U/A 4/30/2001(6) | ||
Common Stock | 03/18/2024 | D(1) | 16,365 | D | (2) | 0 | I | By Bobette Harris 2012 Trust(7) | ||
Common Stock | 03/18/2024 | D(1) | 12,166 | D | (2) | 0 | I | By 1999 Harris Intervivos Trust, U/A 4/30/2001(8) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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. On March 18, 2024, Blackrock TCP Capital Corp. ("TCPC") acquired BlackRock Capital Investment Corporation (the "Issuer") pursuant to an Amended and Restated Agreement and Plan of Merger, dated as of January 10, 2024, entered into by and among the TCPC, the Issuer, BCIC Merger Sub, LLC an indirect wholly-owned subsidiary of TCPC ("Merger Sub"), and, solely for limited purposes, BlackRock Capital Investment Advisors, LLC ("BCIA") and Tennenbaum Capital Partners, LLC, a wholly owned subsidiary of BCIA. In accordance with the Merger Agreement, Issuer merged with and into Merger Sub, with Merger Sub surviving such merger as an indirect wholly-owned subsidiary of TCPC (the "Merger"). |
2. At the effective time of the Merger, each outstanding share of the Issuer common stock (other than certain excluded shares) automatically converted into the right to receive 115,075 validly issued, fully-paid and nonassessable shares of TCPC common stock. |
3. The Reporting Person has a pecuniary interest in Jerrold B. Harris Trust, U/A 4/30/2001. |
4. The Reporting Person has a pecuniary interest in Jerrold B. Harris IRA. |
5. The Reporting Person has a pecuniary interest in Jerrold Harris 2012 Trust. |
6. The Reporting Person has a pecuniary interest in Bobette J. Harris Trust, U/A 4/30/2001. |
7. The Reporting Person has a pecuniary interest in Bobette Harris 2012 Trust. |
8. The Reporting Person has a pecuniary interest in 1999 Harris Intervivos Trust, U/A 8/12/1999. |
/s/ Laurence D. Paredes as Attorney-in-Fact | 03/20/2024 | |
** 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 4 (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. |