Klinsky Steven B's Form 4 filing
New Mountain Guardian III BDC, L.L.C. · filed Oct 3, 2022
- Accession no.
- 0001104659-22-105343
- Filed
- Oct 3, 2022, 5:06 PM ET
- Trade date
- Dec 18, 2020-Mar 10, 2022
- Filing delay
- 654 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market purchases total $233.0M. It was filed 654 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Klinsky Steven BCIK 0001018327 | 10% Owner |
| New Mountain Guardian Investments III, L.L.C.CIK 0001788186 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 18, 2020 | LLC Interests | PPurchaseAcquired | +4,500,000 | $10.00 | +$45,000,000 | 9,281,892 | Direct | |
| Oct 11, 2021 | LLC Interests | PPurchaseAcquired | +7,565,196 | $10.00 | +$75,651,960 | 16,847,088 | Direct | |
| Dec 1, 2021 | LLC Interests | PPurchaseAcquired | +5,615,696 | $10.00 | +$56,156,960 | 22,462,784 | Direct | |
| Mar 10, 2022 | LLC Interests | PPurchaseAcquired | +5,615,696 | $10.00 | +$56,156,960 | 28,078,480 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
Exhibit 24. Joseph Hartswell is signing on behalf of Steven B. Klinsky pursuant to a Power of Attorney dated October 3, 2022, which is attached hereto as an exhibit.