0001104659-23-119464.txt : 20231117 0001104659-23-119464.hdr.sgml : 20231117 20231117144802 ACCESSION NUMBER: 0001104659-23-119464 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231116 FILED AS OF DATE: 20231117 DATE AS OF CHANGE: 20231117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gatto Mark CENTRAL INDEX KEY: 0001553165 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00941 FILM NUMBER: 231417976 MAIL ADDRESS: STREET 1: C/O CION INVESTMENT CORP. STREET 2: 3 PARK AVENUE, 36TH FL CITY: NEW YORK STATE: NY ZIP: 10016 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CION Investment Corp CENTRAL INDEX KEY: 0001534254 IRS NUMBER: 453058280 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 PARK AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-418-4700 MAIL ADDRESS: STREET 1: 100 PARK AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: CĪON Investment Corp DATE OF NAME CHANGE: 20111104 4 1 tm2331044-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-11-16 0 0001534254 CION Investment Corp CION 0001553165 Gatto Mark C/O CION INVESTMENT CORP. 100 PARK AVENUE, 25TH FL NEW YORK NY 10017 1 1 0 0 Co-Chairman & Co-CEO 0 Common stock, $0.001 par value 2023-11-16 4 P 0 905 11.05 A 42204.39 D Mr. Gatto is the record holder of 10,905 shares, and CION Investment Group, LLC ("CIG") is the record holder of 62,598.77 shares that includes 5,932.67 shares acquired under the Issuer's distribution reinvestment plan. Mr. Gatto, together with another individual, controls CIG and, as a result, may be deemed to be the indirect beneficial owner of one-half of the shares held by CIG. As permitted by Rule 16a-1(a)(4) under the Exchange Act, Mr. Gatto disclaims beneficial ownership of the shares held by CIG except to the extent of his pecuniary interest therein. /s/ Mark Gatto 2023-11-17