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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sommers John A. 100 FEDERAL STREET 31ST FLOOR BOSTON, MA 02110 |
X |
Terrence W. Olson as Attorney-in-Fact | 05/17/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reported number includes shares of Common Stock acquired pursuant to THL Credit, Inc.'s dividend reinvestment plan, including (i) 15.1274 shares acquired on December 28, 2010, (ii) 23 shares acquired on January 28, 2011 and (iii) 34.5968 shares acquired on March 31, 2011. Also includes 2,000 shares that were previously reported as owned by Self as Trustee for John A. Sommers Revocable Trust. |
(2) | The reported number includes shares of Common Stock acquired pursuant to THL Credit, Inc.'s dividend reinvestment plan, including (i) 24 shares acquired on September 30, 2010, (ii) 76 shares acquired on December 28, 2010, (iii) 118 shares acquired on January 28, 2011 and (iv) 171.4982 shares acquired on March 31, 2011. |