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OFS OFS Capital Corporation

8.85
0.01 (0.11%)
19 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
OFS Capital Corporation NASDAQ:OFS NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.01 0.11% 8.85 8.70 8.88 8.87 8.80 8.80 22,305 21:30:00

Initial Statement of Beneficial Ownership (3)

13/01/2020 9:01pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

OI3, LLC
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2020 

3. Issuer Name and Ticker or Trading Symbol

OFS Capital Corp [OFS]
(Last)        (First)        (Middle)

4700 WILSHIRE BOULEVARD
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          ___X___ 10% Owner
_____ Officer (give title below)        _____ Other (specify below)
(Street)

LOS ANGELES, CA 90010      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

6. Individual or Joint/Group Filing(Check Applicable Line)

___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 2946474 I (1) 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:

Remarks:
1. The reported securities are owned directly by Orchard First Source Asset Management ("OFSAM") and may be deemed to be indirectly owned by OI3, LLC through its interests in OFSAM, indirectly owned by The OI3 2019 Trust, as the sole owner of the limited liability company interests in OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of The OI3 2019 Trust. Each of the foregoing persons disclaims beneficial ownership of the reported securities except to the extent of his/its pecuniary interest therein.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
OI3, LLC
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA 90010

X

RESSLER RICHARD S
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA 90010

X

OI3 2019 Trust
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA 90010

X


Signatures
/s/ Richard S. Ressler, President of the Manager of OI3, LLC1/13/2020
**Signature of Reporting PersonDate

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