Investcorp Credit Management BDC, Inc.

Date: March 6, 2020

INVESTCORP CREDIT MANAGEMENT BDC, INC.

/s/ Rocco DelGuercio

Name: Rocco DelGuercio

Title: Chief Financial Officer

0001193125-20-063959.txt : 20200306 0001193125-20-063959.hdr.sgml : 20200306 20200306084104 ACCESSION NUMBER: 0001193125-20-063959 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200306 ITEM INFORMATION: Unregistered Sales of Equity Securities FILED AS OF DATE: 20200306 DATE AS OF CHANGE: 20200306 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Investcorp Credit Management BDC, Inc. CENTRAL INDEX KEY: 0001578348 IRS NUMBER: 462883380 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 20692682 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-388-5813 MAIL ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: CM Finance Inc DATE OF NAME CHANGE: 20130531 8-K 1 d893450d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Investcorp Credit Management BDC, Inc.

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

Current Report Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): March 6, 2020 (March 4, 2020)

Investcorp Credit Management BDC, Inc.

(Exact name of registrant as specified in its charter)

Maryland

814-01054

46-2883380

(State or other jurisdiction

of incorporation)

(Commission File Number)

(I.R.S. Employer Identification No.)

280 Park Avenue

39th Floor

New York, NY 10017

(Address of principal executive offices and zip code)

Registrant’s telephone number, including area code: (212) 257-5199

Former name or former address, if changed since last report

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of Each Class	Trading symbol(s)	Name of Each Exchange on Which Registered
Common Stock, par value $0.001 per share	ICMB	The NASDAQ Global Select Market
6.125% Notes due 2023	CMFNL	The NASDAQ Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 3.02.

Unregistered Sales of Equity Securities.

On March 4, 2020, Investcorp Credit Management BDC, Inc. (the “Company”) issued 113,500 shares of common stock, par value $0.001 per share (the “Common Stock”), to Investcorp BDC Holdings Limited (“Investcorp”) at a price of $10.15 per share for an aggregate offering price of $1,152,025.

The sale of the Common Stock was made pursuant to the Stock Purchase and Transaction Agreement, dated as of June 26, 2019, by and between Investcorp and the Company. The issuance of the Common Stock is exempt from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), pursuant to Section 4(a)(2) thereof and Regulation D thereunder. Investcorp is an “accredited investor” as that term is defined in Rule 501(a) of Regulation D under the Securities Act.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.