Initial Statement of Beneficial Ownership (3)
September 27 2021 - 4:23PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Orchard Investments, LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/15/2021
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3. Issuer Name and Ticker or Trading Symbol
OFS Capital Corp [OFS]
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(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)
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(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
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Table I - Non-Derivative Securities Beneficially Owned
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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)
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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 Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The reported securities are owned directly by Orchard First Source Asset Management ("OFSAM") and may be deemed to be indirectly owned by Orchard Investments, LLC through its interests in OFSAM, indirectly owned by The OI3 2019 Trust, as an owner of Orchard Investments, 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
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Orchard Investments, LLC
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA 90010 |
| X |
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RESSLER RICHARD S
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA 90010 |
| X |
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OI3 2019 Trust
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA 90010 |
| X |
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Signatures
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| /s/ Nicholas V. Morosoff, Officer of the Manager of Orchard Investments, LLC | | 9/27/2021 |
| **Signature of Reporting Person | Date |
OFS Capital (NASDAQ:OFS)
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