4//SEC Filing
ORCC III Warehouse L.L.C. 4
Accession 0000899243-20-022601
CIK 0001807427other
Filed
Aug 16, 8:00 PM ET
Accepted
Aug 17, 6:59 PM ET
Size
17.7 KB
Accession
0000899243-20-022601
Insider Transaction Report
Form 4
Oak Lawn Direct Investors GP, L.L.C.
10% Owner
Transactions
- Exercise of In-Money
Obligation to Buy
2020-08-13−483,199.825→ 0 totalExercise: $14.13→ Common Stock (483,199.825 underlying) - Exercise of In-Money
Common Stock, par value $0.01 per share
2020-08-13$14.13/sh+483,199.825$6,827,614→ 1,660,759.747 total
I35 Advisors, Inc.
10% Owner
Transactions
- Exercise of In-Money
Common Stock, par value $0.01 per share
2020-08-13$14.13/sh+483,199.825$6,827,614→ 1,660,759.747 total - Exercise of In-Money
Obligation to Buy
2020-08-13−483,199.825→ 0 totalExercise: $14.13→ Common Stock (483,199.825 underlying)
ORCC III Warehouse L.L.C.
10% Owner
Transactions
- Exercise of In-Money
Obligation to Buy
2020-08-13−483,199.825→ 0 totalExercise: $14.13→ Common Stock (483,199.825 underlying) - Exercise of In-Money
Common Stock, par value $0.01 per share
2020-08-13$14.13/sh+483,199.825$6,827,614→ 1,660,759.747 total
Silverman Michael R.
10% Owner
Transactions
- Exercise of In-Money
Common Stock, par value $0.01 per share
2020-08-13$14.13/sh+483,199.825$6,827,614→ 1,660,759.747 total - Exercise of In-Money
Obligation to Buy
2020-08-13−483,199.825→ 0 totalExercise: $14.13→ Common Stock (483,199.825 underlying)
CH Investment Partners, L.L.C.
10% Owner
Transactions
- Exercise of In-Money
Common Stock, par value $0.01 per share
2020-08-13$14.13/sh+483,199.825$6,827,614→ 1,660,759.747 total - Exercise of In-Money
Obligation to Buy
2020-08-13−483,199.825→ 0 totalExercise: $14.13→ Common Stock (483,199.825 underlying)
Rimer Kirk L.
10% Owner
Transactions
- Exercise of In-Money
Common Stock, par value $0.01 per share
2020-08-13$14.13/sh+483,199.825$6,827,614→ 1,660,759.747 total - Exercise of In-Money
Obligation to Buy
2020-08-13−483,199.825→ 0 totalExercise: $14.13→ Common Stock (483,199.825 underlying)
Footnotes (4)
- [F1]On August 13, 2020, Owl Rock Capital Corporation III, a Maryland corporation (the "Issuer") issued 483,199.825 of its shares of common stock, par value $0.01 per share to ORCC III Warehouse L.L.C., a Delaware limited liability company ("ORCC III Warehouse") in connection with a mandatory capital call made by the Issuer pursuant to the terms and conditions of the Subscription Agreement previously entered into between ORCC III Warehouse and the Issuer.
- [F2]This Form 4 is being jointly filed by and on behalf of each of ORCC III Warehouse L.L.C., Oak Lawn Direct Investors GP, L.L.C., a Delaware limited liability company ("Oak Lawn"), CH Investment Partners, L.L.C., a Delaware limited liability company ("CHIP"), I35 Advisors, Inc., a Texas corporation ("I35"), Kirk L. Rimer and Michael R. Silverman. ORCC III Warehouse is the record and direct beneficial owner of the securities covered by this statement. Oak Lawn is the managing member of, and may be deemed to beneficially own securities owned by, ORCC III Warehouse.
- [F3]CHIP serves as the investment manager to ORCC III Warehouse and has been granted exclusive investment discretion and investment management authority with respect to ORCC III Warehouse and its investments, including the securities covered by this statement, but CHIP generally must seek voting instructions from the members of ORCC III Warehouse and vote in accordance with such instructions. I35 is the manager of, and may be deemed to beneficially own securities beneficially owned by, Oak Lawn. Michael Silverman and Kirk Rimer serve as Co-Presidents of I35, and may be deemed to beneficially own securities beneficially owned by, I35.
- [F4]Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such reporting person in such securities.
Documents
Issuer
Owl Rock Capital Corp III
CIK 0001807427
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001812407
Filing Metadata
- Form type
- 4
- Filed
- Aug 16, 8:00 PM ET
- Accepted
- Aug 17, 6:59 PM ET
- Size
- 17.7 KB