Gatto Mark 4
4 · CION Investment Corp · Filed May 13, 2025
Insider Transaction Report
Form 4
Gatto Mark
DirectorCo-CEO and Co-Preisdent
Transactions
- Purchase
Common stock, $0.001 par value
2025-05-12$9.66/sh+2,070$19,996→ 3,070 total(indirect: By Trust)
Footnotes (3)
- [F1]Does not include (i) 10,905 shares of which the Reporting Person is the record holder and (ii) 62,598.77 shares that includes 5,932.67 shares acquired under the Company's distribution reinvestment plan of which CION Investment Group, LLC (CIG) is the record holder. The Reporting Person, together with another individual, control CIG and, as a result, may be deemed to be the indirect beneficial owners of the shares held by CIG. As permitted by Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person disclaims beneficial ownership of the shares held by CIG except to the extent of his pecuniary interest therein.
- [F2]Also does not include (a) 50 shares held for A.G., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act (the UTMA) for which the Reporting Person serves as custodian, (b) 50 Shares held for G.G., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian, and (c) 50 Shares held for M.G., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
- [F3]The Reporting Person, as Co-Trustee of the Gatto Living Trust, may be deemed to beneficially own the shares held by the Gatto Living Trust.