0000935836-23-000628.txt : 20230929
0000935836-23-000628.hdr.sgml : 20230929
20230929170614
ACCESSION NUMBER: 0000935836-23-000628
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230601
FILED AS OF DATE: 20230929
DATE AS OF CHANGE: 20230929
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Repertoire Master Fund LP
CENTRAL INDEX KEY: 0001878549
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00735
FILM NUMBER: 231296544
BUSINESS ADDRESS:
STREET 1: 345 CALIFORNIA STREET, SUITE 600
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 415-677-7050
MAIL ADDRESS:
STREET 1: 345 CALIFORNIA STREET, SUITE 600
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Portman Ridge Finance Corp
CENTRAL INDEX KEY: 0001372807
IRS NUMBER: 205951150
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 650 MADISON AVNUE
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212.891.2880
MAIL ADDRESS:
STREET 1: 650 MADISON AVNUE
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: KCAP Financial, Inc.
DATE OF NAME CHANGE: 20120710
FORMER COMPANY:
FORMER CONFORMED NAME: Kohlberg Capital CORP
DATE OF NAME CHANGE: 20061211
FORMER COMPANY:
FORMER CONFORMED NAME: Kohlberg Capital, LLC
DATE OF NAME CHANGE: 20060815
4
1
ownership.xml
X0508
4
2023-06-01
0
0001372807
Portman Ridge Finance Corp
PTMN
0001878549
Repertoire Master Fund LP
345 CALIFORNIA STREET, SUITE 600
SAN FRANCISCO
CA
94104
0
0
1
0
0
Common Stock
2023-06-01
4
X
1
100
22.67
A
1162434
D
Common Stock
2023-06-01
4
J
1
100
19.45
D
1162334
D
Common Stock
2023-06-01
4
X
1
7218
22.65
A
1169552
D
Common Stock
2023-06-01
4
J
1
7218
19.45
D
1162334
D
Common Stock
2023-06-01
4
X
1
1233
22.0259
A
1163567
D
Common Stock
2023-06-01
4
J
1
1233
19.45
D
1162334
D
Common Stock
2023-06-01
4
X
1
6440
21.0692
A
1168774
D
Common Stock
2023-06-01
4
J
1
6440
19.45
D
1162334
D
Common Stock
2023-06-01
4
P
0
14991
19.45
A
1177325
D
Common Stock
2023-09-19
4
S
0
55462
19.4
D
1121863
D
Common Stock
2023-09-20
4
S
0
1700
19.5047
D
1120163
D
Common Stock
2023-09-21
4
S
0
10446
19.2926
D
1109717
D
Common Stock
2023-09-22
4
S
0
3763
19.4369
D
1105954
D
Common Stock
2023-09-22
4
S
0
2278
19.2689
D
1103676
D
Common Stock
2023-09-27
4
S
0
15051
19.2457
D
1088625
D
Common Stock
2023-09-28
4
S
0
4800
19.2046
D
1083825
D
Equity Swap (Obligation to Buy)
22.67
2023-06-01
4
X
1
1
D
Common Stock
100
0
D
Equity Swap (Obligation to Buy)
22.65
2023-06-01
4
X
1
1
D
Common Stock
7218
0
D
Equity Swap (Obligation to Buy)
22.0259
2023-06-01
4
X
1
1
D
Common Stock
1233
0
D
Equity Swap (Obligation to Buy)
21.0692
2023-06-01
4
X
1
1
D
Common Stock
6440
0
D
On 6/1/2023, upon settlement of an equity swap agreement entered into between the reporting person and a securities broker on 2/7/2023, the reporting person paid to the broker $22.67 per share for each of the 100 shares subject to the agreement, offset by $19.45 per share (the market price of the shares on 6/1/2023) owed by the broker to the reporting person for each of the 100 shares subject to the agreement. The termination of the equity swap and the reported purchase of common stock in connection therewith are deemed exempt from section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act") pursuant to Rule 16b-6(b) thereunder.
On 6/1/2023, upon settlement of an equity swap agreement between the reporting person and a securities broker entered into on 2/8/2023, the reporting person paid to the broker $22.65 per share for each of the remaining 7,218 shares subject to the agreement, offset by $19.45 per share (the market price of the shares on 6/1/2023) owed by the broker to the reporting person for each of the remaining 7,218 shares subject to the agreement. The termination of the equity swap and the reported purchase of common stock in connection therewith are deemed exempt from section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) thereunder.
On 6/1/2023, upon settlement of an equity swap agreement entered into between the reporting person and a securities broker on 3/10/2023, the reporting person paid to the broker $22.0259 per share for each of the 1,233 shares subject to the agreement, offset by $19.45 per share (the market price of the shares on 6/1/2023) owed by the broker to the reporting person for each of the 1,233 shares subject to the agreement. The termination of the equity swap and the reported purchase of common stock in connection therewith are deemed exempt from section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) thereunder.
On 6/1/2023, upon settlement of an equity swap agreement entered into between the reporting person and a securities broker on 3/13/2023, the reporting person paid to the broker $21.0692 per share for each of the 6,440 shares subject to the agreement, offset by $19.45 per share (the market price of the shares on 6/1/2023) owed by the broker to the reporting person for each of the 6,440 shares subject to the agreement. The termination of the equity swap and the reported purchase of common stock in connection therewith are deemed exempt from section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) thereunder.
/s/ Deepak Sarpangal, Managing Member of the General Partner of Repertoire Master Fund LP
2023-09-29