Filing Details
- Accession Number:
- 0001144204-15-021678
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-08 09:01:50
- Reporting Period:
- 2015-04-07
- Filing Date:
- 2015-04-08
- Accepted Time:
- 2015-04-08 09:01:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1490013 | Full Circle Capital Corp | FULL | () | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1498701 | Edward John Stuart | 102 Greenwich Avenue, 2Nd Floor Greenwich CT 06830 | Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-04-07 | 1,428,572 | $3.50 | 1,453,692 | No | 4 | P | Indirect | By Full Circle Advisors, LLC |
| Common Stock | Acquisiton | 2015-04-07 | 6,400 | $3.50 | 41,830 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2015-04-07 | 3,000 | $3.50 | 4,000 | No | 4 | P | Indirect | By Michele G. Stuart |
| Common Stock | Acquisiton | 2015-04-07 | 2,900 | $3.50 | 19,351 | No | 4 | P | Indirect | By John E. Stuart GST Trust |
| Common Stock | Acquisiton | 2015-04-07 | 3,000 | $3.50 | 9,258 | No | 4 | P | Indirect | By Mary E. Stuart 2001 Grantor Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Full Circle Advisors, LLC |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By Michele G. Stuart |
| No | 4 | P | Indirect | By John E. Stuart GST Trust |
| No | 4 | P | Indirect | By Mary E. Stuart 2001 Grantor Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Subscription Rights | Acquisiton | 2015-03-30 | 1,428,572 | $0.00 | 1,428,572 | $3.50 |
| Common Stock | Subscription Rights | Acquisiton | 2015-03-30 | 6,400 | $0.00 | 6,400 | $3.50 |
| Common Stock | Subscription Rights | Acquisiton | 2015-03-30 | 3,000 | $0.00 | 3,000 | $3.50 |
| Common Stock | Subscription Rights | Acquisiton | 2015-03-30 | 2,900 | $0.00 | 2,900 | $3.50 |
| Common Stock | Subscription Rights | Acquisiton | 2015-03-30 | 3,000 | $0.00 | 3,000 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-03-13 | 2015-03-30 | No | 4 | X | Indirect |
| 0 | 2015-03-13 | 2015-03-30 | No | 4 | X | Direct |
| 0 | 2015-03-13 | 2015-03-30 | No | 4 | X | Indirect |
| 0 | 2015-03-13 | 2015-03-30 | No | 4 | X | Indirect |
| 0 | 2015-03-13 | 2015-03-30 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 237 | Indirect | By Full Circle Investments, LLC |
Footnotes
- Amount represents 1,453,692 shares owned by Full Circle Advisors LLC, of which Mr. Stuart is a managing member thereof.
- Amount represents 237 shares owned by Full Circle Investments LLC, of which Mr. Stuart is a managing member thereof.
- Subscription Rights received pursuant to a pro rata distribution thereof to the stockholders of record of Full Circle Capital Corporation as of March 6, 2015 in connection with a rights offering.
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