0001104659-20-048237.txt : 20200417 0001104659-20-048237.hdr.sgml : 20200417 20200417163646 ACCESSION NUMBER: 0001104659-20-048237 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200417 DATE AS OF CHANGE: 20200417 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUTTER ROCK CAPITAL CORP. CENTRAL INDEX KEY: 0001509470 IRS NUMBER: 274443543 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87175 FILM NUMBER: 20800183 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 730 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: (650) 235-4777 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 730 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FORMER COMPANY: FORMER CONFORMED NAME: GSV Capital Corp. DATE OF NAME CHANGE: 20110531 FORMER COMPANY: FORMER CONFORMED NAME: NeXt Innovation Corp. DATE OF NAME CHANGE: 20110331 FORMER COMPANY: FORMER CONFORMED NAME: NeXt BDC Capital Corp. DATE OF NAME CHANGE: 20110105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Birch Robert S. CENTRAL INDEX KEY: 0001794501 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 765 PARK AVENUE STREET 2: APT. 10A CITY: NEW YORK STATE: NY ZIP: 10021 SC 13G/A 1 tm2016268d1_sc13ga.htm SC 13G/A

  

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 3) *

 

Sutter Rock Capital Corp.

(Name of Issuer)

 

Common Stock, par value $0.01 per share

(Title of Class of Securities)

 

86944Q100

(CUSIP Number)

 

April 3, 2020

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨Rule 13d-1(b)

 

xRule 13d-1(c)

 

¨Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

Continued on following pages

Page 1 of 5 Pages

 

 

 

CUSIP NO. 86944Q100 13G Page 2 of 5 Pages

 

  

1.Names of Reporting Persons.

 

Robert S. Birch

 

2.Check the Appropriate Box if a Member of a Group

(a) ¨ 

(b) ¨

 

3.SEC Use Only

 

4.Citizenship or Place of Organization

 

U.S. Citizen

 



NUMBER
OF SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:

 

 

 5. Sole Voting Power 2,461,176
6. Shared Voting Power 550,939
7. Sole Dispositive Power 2,461,176
8. Shared Dispositive Power 550,939

 

9.Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,012,115

 

10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

 

11.Percent of Class Represented by Amount in Row (9)

 

17.38%

 

12.Type of Reporting Person:

 

IN

 

 

 

 

CUSIP NO. 86944Q100 13G Page 3 of 5 Pages

 

Item 1(a).Name of Issuer:

 

Sutter Rock Capital Corp.

 

Item 1(b).Address of Issuer’s Principal Executive Offices:

 

One Sansome Street, Suite 730

San Francisco, CA 94104

 

Item 2(a).Name of Persons Filing:

 

Robert S. Birch

 

Item 2(b).Address of Principal Business Office or, if None, Residence:

 

c/o Oppenheimer & Co Inc.

666 Third Avenue, 12th Floor

New York, NY 10017

 

Item 2(c).Citizenship:

 

U.S. Citizen

 

Item 2(d).Title of Class of Securities:

 

Common stock, $0.01 par value (the “Shares”)

 

Item 2(e).CUSIP Number:

 

86944Q100

 

Item 3.If This Statement is Filed Pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a:

 

Not applicable.

 

Item 4.Ownership:

 

The information in Items 1 and 5 through 11 on the cover page of this Schedule 13G is hereby incorporated by reference.

 

This statement relates to Shares held for the account of the Reporting Person and related persons and Shares held in client accounts. The filing of this Schedule 13G shall not be construed as an admission that the Reporting Person is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of the Shares reported herein. The Reporting Person disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein.

 

 

 

 

 

CUSIP NO. 86944Q100 13G Page 4 of 5 Pages

 

 

Item 5.Ownership of Five Percent or Less of a Class:

 

Not applicable

 

Item 6.Ownership of More than Five Percent on Behalf of Another Person:

 

Not applicable

 

Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person:

 

Not applicable

 

Item 8.Identification and Classification of Members of the Group:

 

Not applicable

 

Item 9.Notice of Dissolution of Group:

 

Not applicable

 

Item 10.Certification:

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 

 

 

 

CUSIP NO. 86944Q100 13G Page 5 of 5 Pages

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: April 17, 2020

 

 

   

ROBERT S. BIRCH

/s/ Robert S. Birch