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Name and Address | | Type of Ownership | | Shares Owned | | Percentage | | | Type of Ownership | | Shares Owned | | Percentage | | ||||||||||||||||||
Lawrence E. Golub(1)(2) | | Beneficial | | | | 1,945,378.742 | | | | | 7.2% | | | | Beneficial | | | | 3,503,209.047 | | | | | 5.3% | | | ||||||
David B. Golub(1)(2) | | Beneficial | | | | 1,945,378.742 | | | | | 7.2% | | | | Beneficial | | | | 3,503,209.047 | | | | | 5.3% | | | ||||||
William M. Webster IV(1)(3) | | Beneficial | | | | 29,895.323 | | | | | *% | | | | Beneficial | | | | 35,816.962 | | | | | *% | | | ||||||
John T. Baily(1) | | N/A | | | | — | | | | | — | | | | N/A | | | | — | | | | | — | | | ||||||
Kenneth F. Bernstein(1) | | N/A | | | | — | | | | | — | | | | N/A | | | | — | | | | | — | | | ||||||
Lofton P. Holder(1) | | N/A | | | | — | | | | | — | | | |||||||||||||||||||
Anita R. Rosenberg(1) | | N/A | | | | — | | | | | — | | | | N/A | | | | — | | | | | — | | | ||||||
Ross A. Teune (1) | | N/A | | | | — | | | | | — | | | |||||||||||||||||||
Christopher C. Ericson(1) | | N/A | | | | — | | | | | — | | | |||||||||||||||||||
Joshua M. Levinson (1) | | N/A | | | | — | | | | | — | | | | N/A | | | | — | | | | | — | | | ||||||
All officers and directors as a group (8 persons)(1) | | Beneficial | | | | 1,945,378.742 | | | | | 7.2% | | | |||||||||||||||||||
All officers and directors as a group (9 persons) | | Beneficial | | | | 3,503,209.047 | | | | | 5.3% | | | |||||||||||||||||||
State Teachers Retirement System of Ohio(4) | | Record and beneficial | | | | 6,038,557.600 | | | | | 22.5% | | | | Record and beneficial | | | | 8,339,761.669 | | | | | 12.7% | | | ||||||
GEMS Fund 4, L.P.(5) | | Record and beneficial | | | | 1,539,999.999 | | | | | 5.7% | | | |||||||||||||||||||
Wonder Meirt Management, Inc(6) | | Record and beneficial | | | | 1,400,000.001 | | | | | 5.2% | | | |||||||||||||||||||
Tourmaline Crystal Investments S.A.(7) | | Record and beneficial | | | | 1,348,958.392 | | | | | 5.0% | | |
Name of Director | | | Dollar Range of Equity Securities in Golub Capital BDC 3, Inc.(1) | |
Independent Directors | | | | |
John T. Baily | | | None | |
Kenneth F. Bernstein | | | None | |
Lofton P. Holder | | | None | |
Anita R. Rosenberg | | | None | |
William M. Webster IV | | | Over $100,000 | |
Interested Directors | | | | |
Lawrence E. Golub | | | Over $100,000 | |
David B. Golub | | | Over $100,000 | |
Name of Director | | | Name of Owners | | | Name of Investment | | | Title of Class | | | Dollar Range of | |
Independent Directors | | | | | | | | | | | | | |
John T. Baily | | | John T. Baily | | | GBDC | | | Common Stock | | | Over $100,000 | |
Kenneth F. Bernstein | | | Kenneth F. Bernstein | | | GBDC | | | Common Stock | | | Over $100,000 | |
Anita R. Rosenberg | | | Anita R. Rosenberg | | | GBDC | | | Common Stock | | | Over $100,000 | |
William M. Webster IV | | | William M. Webster IV; Revocable Trust; Webster Trust Investments, LLC; William M. Webster, IV 2012 Irrevocable Trust Agreement UAD | | | GBDC Golub Capital Partners 9, L.P.; Golub Capital Partners 10, L.P.; Golub Capital Partners 11, L.P.; Golub Capital Partners 11R, L.P.; Golub Capital Partners 12, L.P.; GC GEMS Fund 4, L.P.; GEMS Fund 5 L.P. | | | Common Stock; N/A — Single Class | | | Over $100,000 in each | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Term of Office and Length of Time Served | | | During the Past 5 | ||||||||||
| | Number of Companies In Fund Complex(2) Overseen by Director | | | Other Directorships Held by Director or Nominee for Director During the Past 5 years | | ||||||||||
Lawrence E. Golub | | | Chairman of the Board of Directors | | | Class III Director since | | | Serves as the Chief Executive Officer of Golub Capital. | | | | | | ||
| | Director | | | Class III Director since | | | Co-founder and retired managing partner of Pine Street Alternative Asset Management Company | | | Three | | | A member of the board of directors of GBDC (Nasdaq), GDLC and a member of the board of directors of Manning & Napier, Inc. (traded on the New York Stock Exchange or “NYSE”) since May 2021. Currently serves as Chair of the | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Term of Office and Length of Time Served | | | Principal Occupation(s) During the Past 5 Years | | | Number of Companies In Fund Complex (2) Overseen by Director | | | Other Directorships Held by Director or Nominee for Director During the Past 5 years(3) | |
| | | | | | | | | | | | | | | Investment Committee for the Edwin Gould Foundation and Maimonides Medical Center and also as Trustee for Pace University where he serves on the Audit Committee. | |
William M. Webster IV (64) | | | Director | | | Class III Director since 2010; Term Expires 2022 | | | Retired. Co-founder of Advance America, Advance Cash Centers, Inc. Served as the Chief Executive Officer of Advance America, Advance Cash Centers, Inc. from its inception in 1997 through August 2005 and served as Chairman of the board of directors from August 2008 through May | | | | | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Term of Office and Length of Time Served | | | Principal Occupation(s) During the Past 5 Years | | | Number of Companies In Fund Complex(2) Overseen by Director | | | Other Directorships Held by Director or Nominee for Director During the Past 5 years(3) | |
John T. Baily (78)(4) | | | Director | | | Class II Director since 2010; Term Expires 2024 | | | Retired | | | Three | | | A member of the board of directors of GBDC (Nasdaq), GDLC and RLI Corp. (NYSE) and Endurance U.S. Holding Corp. Previously served on the board of directors of | |
Kenneth F. Bernstein (60) | | | Director | | | Class II Director since 2010; Term Expires 2024 | | | Chief Executive Officer of Acadia Realty Trust since 2001 and the president and a trustee since its formation in 1998. | | | Three | | | A member of the board of directors of GBDC (Nasdaq) and GDLC. Served as a member of the board of directors of GCIC from 2014 until its acquisition by GBDC in 2019. An independent trustee of BRT Apartments Corp. from 2004 to | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Term of Office and Length of Time Served | | | Principal Occupation(s) During the Past 5 Years | | | Number of Companies In Fund Complex(2) Overseen by Director | | | Other Directorships Held by Director or Nominee for Director During the Past 5 years(3) | |
David B. Golub (59)(5) | | | Chief Executive Officer and Director | | | Class I Director since 2009; Term Expires 2023 | | | Serves as the President of Golub Capital. | | | Three | | | Chief Executive Officer and a member of the board of directors of GBDC (Nasdaq) and President and Chief Executive Officer and a member of the board of directors of GDLC. Served as President and Chief Executive Officer and a member of the board of directors of GCIC from 2014 until its acquisition by GBDC in 2019. Currently serves on the board of directors of the Burton Corporation and previously served on the board of directors of the Michael J. Fox Foundation for Parkinson’s Research. | |
Anita R. Rosenberg (57) | | | Director | | | Class I Director since 2011; Term Expires 2023 | | | Independent Consultant. Former independent advisor to Magnetar Capital from April 2011 to May 2012. Partner and Portfolio Manager at Harris Alternatives, LLC, and its predecessor, Harris Associates, L.P., from 1999 to 2009. | | | Three | | | A member of the board of directors of GBDC (Nasdaq) and GDLC. Served as a member of the board of directors of GCIC from 2014 until its acquisition by GBDC in 2019. An independent trustee at Baron Funds Management since May 2013. An independent director for Impala Asset Management since January 2014. | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Principal Occupation(s) During the Past 5 Years | |
| | Chief Financial Officer and Treasurer (since | | | Mr. | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Principal Occupation(s) During the Past 5 Years | |
| | | | | | Commerce from | |
Joshua M. Levinson | | | Chief Compliance Officer and Secretary (since August 2017) | | | Mr. Levinson serves as our Chief Compliance Officer and Secretary and is also the Co-General Counsel and Chief Compliance Officer of Golub Capital, where he has primary responsibility for legal and compliance matters. Mr. Levinson is currently the Chief Compliance Officer and Secretary for GBDC | |
Gregory A. Robbins | | | Managing Director (since August 2017) | | | Mr. Robbins is a Managing Director at Golub Capital. He also currently serves as Managing Director of GBDC | |
Jonathan D. Simmons | | | Director of Corporate Strategy (since August 2017) | | | Mr. Simmons is a Director of Golub Capital and serves as our Director of Corporate Strategy. He also currently serves as Director of Corporate Strategy for GBDC | |
Name, Address and Age(1) | | | Position(s) held with Company | | | Principal Occupation(s) During the Past 5 Years | |
| | | | | | and served in | |
Richard D. Jacobson | | | Managing Director (since February 2018) | | | |
Name | | | Aggregate Compensation from Golub Capital BDC 3, Inc.(1) | | | Pension or Retirement Benefits Accrued as Part of Our Expenses(2) | | | Total Compensation from Golub Capital BDC 3, Inc. Paid to Director(1) | | |||||||||
Independent Directors | | | | | | | | | | | | | | | | | | | |
John T. Baily | | | | $ | 14,000 | | | | | | — | | | | | $ | 14,000 | | |
Kenneth F. Bernstein | | | | $ | 14,000 | | | | | | — | | | | | $ | 14,000 | | |
Anita R. Rosenberg | | | | $ | 14,000 | | | | | | — | | | | | $ | 14,000 | | |
William M. Webster IV | | | | $ | 19,000 | | | | | | — | | | | | $ | 19,000 | | |
Interested Director | | | | | | | | | | | | | | | | | | | |
Lawrence E. Golub | | | | | — | | | | | | — | | | | | | — | | |
David B. Golub | | | | | — | | | | | | — | | | | | | — | | |
Name | | | Aggregate Compensation from the Company(1) | | | Pension Retirement Benefits Accrued as Part of Our Expenses(2) | | | Total Compensation from the Company Paid to Director(1) | | |||||||||
Independent Directors | | | | | | | | | | | | | | | | | | | |
John T. Baily | | | | $ | 35,500 | | | | | | — | | | | | $ | 35,500 | | |
Kenneth F. Bernstein | | | | $ | 35,500 | | | | | | — | | | | | $ | 35,500 | | |
Lofton P. Holder(3) | | | | $ | 27,000 | | | | | | — | | | | | $ | 27,000 | | |
Anita R. Rosenberg | | | | $ | 35,500 | | | | | | — | | | | | $ | 35,500 | | |
William M. Webster IV | | | | $ | 39,500 | | | | | | — | | | | | $ | 39,500 | | |
Interested Directors | | | | | | | | | | | | | | | | | | | |
Lawrence E. Golub | | | | | — | | | | | | — | | | | | | — | | |
David B. Golub | | | | | — | | | | | | — | | | | | | — | | |
| | Fiscal Year Ended September 30, 2019 | | Fiscal Year Ended September 30, 2018 | | | Fiscal Year Ended September 30, 2021 | | Fiscal Year Ended September 30, 2020 | | ||||||||||||||||
Audit Fees | | | $ | 230,000 | | | | $ | 15,000 | | | | | $ | 370,810 | | | | $ | 308,000 | | | ||||
Audit Related Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Tax Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All Other Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Total | | | $ | 230,000 | | | | $ | 15,000 | | | | | $ | 370,810 | | | | $ | 308,000 | | |
| | | | By Order of the Board of Directors, | |
| | | | /s/ Joshua M. Levinson Joshua M. Levinson Secretary | |