Name and Address | Type of Ownership | Shares Owned | Percentage | |||||||||||||||||
Lawrence E. Golub(1)(2) | Beneficial | 3,436,443 | 2.0% | |||||||||||||||||
David B. Golub(1)(2) | Beneficial | 3,212,485 | 1.9% | |||||||||||||||||
Kenneth F. Bernstein(1) | Beneficial | 56,710 | * | |||||||||||||||||
John T. Baily(1) | Beneficial | 69,775 | * | |||||||||||||||||
Anita J. Rival(1) | Beneficial | 82,291 | * | |||||||||||||||||
William M. Webster IV(1) | Beneficial | 299,360 | * | |||||||||||||||||
Lofton P. Holder(1) | Beneficial | — | — | |||||||||||||||||
Christopher C. Ericson(1) | Beneficial | 31,094 | * | |||||||||||||||||
Joshua M. Levinson(1) | Beneficial | 48,666 | * | |||||||||||||||||
All executive officers and directors as a group (9 persons) | Beneficial | 4,505,076 | 2.6% | |||||||||||||||||
State Teachers Retirement System of Ohio(3) | Beneficial | 13,256,090 | 7.8% |
Name and Address | | | Type of Ownership | | | Shares Owned | | | Percentage | | |||||||||
Lawrence E. Golub(1)(2) | | | | | Beneficial | | | | | | 10,834,739 | | | | | | 6.5% | | |
David B. Golub(1)(2) | | | | | Beneficial | | | | | | 10,960,128 | | | | | | 6.6% | | |
Kenneth F. Bernstein(1) | | | | | Beneficial | | | | | | 56,710 | | | | | | * | | |
John T. Baily(1) | | | | | Beneficial | | | | | | 50,278 | | | | | | * | | |
Anita R. Rosenberg(1) | | | | | Beneficial | | | | | | 62,291 | | | | | | * | | |
William M. Webster IV(1)(3) | | | | | Beneficial | | | | | | 325,504 | | | | | | * | | |
Ross A. Teune(1)(4) | | | | | Beneficial | | | | | | 21,020 | | | | | | * | | |
Joshua M. Levinson(1) | | | | | Beneficial | | | | | | 48,666 | | | | | | * | | |
All officers and directors as a group (8 persons) | | | | | Beneficial | | | | | | 11,466,422 | | | | | | 6.9% | | |
State Teachers Retirement System of Ohio(5) | | | | | Beneficial | | | | | | 23,287,194 | | | | | | 13.9% | | |
Name of Director | Dollar Range of Equity Securities in Golub Capital BDC(1) | ||||||||||||
Independent Directors | |||||||||||||
John T. Baily | Over | ||||||||||||
Kenneth F. Bernstein | Over | ||||||||||||
Lofton P. Holder | |||||||||||||
Anita | Over | ||||||||||||
William M. Webster IV | Over | ||||||||||||
Interested Directors | |||||||||||||
Lawrence E. Golub | Over | ||||||||||||
David B. Golub | Over |
Name of Director | Name of Owners | Name of Investment | Title of Class | Dollar Range of Equity Securities(1) | ||||||||||||||||||||||||||||
Independent Directors | ||||||||||||||||||||||||||||||||
William M. Webster IV | William M. Webster IV; Revocable Trust; Webster Trust Investments, LLC; William M. Webster, Agreement UAD 6/21/12 | 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 Co-investment, L.P.; GEMS Fund 4, L.P.(2).; GEMS Fund 5 L.P. | N/A | Over $100,000 in each |
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 Complex(2) Overseen by Director | Other Directorships Held by Director or Nominee for Director During the Past 5 years(3) | |||||||||||||||||||||||||||||||||
Chief Executive Officer and Director | Class since Expires | of Golub Capital. | ||||||||||||||||||||||||||||||||||||
Anita J. Rival (58) | 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. | Five | A member of the board of directors of GBDC 3, GDLC, GDLCU and GBDC 4. 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 and Trivian Investors 1 Limited (a Guernsey registered company listed on the London Stock Exchange) since April 2022. | |||||||||||||||||||||||||||||||||
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 | Five | A member of the board of directors of GBDC 3, GDLC, GDLCU, GBDC 4, RLI Corp. (traded on the New York Stock Exchange or | ||||||||||||||||||||||||||||||||
Kenneth F. Bernstein | Director | Class II Director since 2010; Term Expires | Chief | A member of the board of directors of GBDC | |||||||||||||||||||||||||||||||||
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 Complex(2) Overseen by Director | Other Directorships Held by Director or Nominee for Director During the Past 5 years(3) | |||||||||||||||||||||||||||||||||
Lawrence E. Golub | Chairman of the Board of Directors | Class III Director since 2009; Term Expires | Serves as the Chief Executive Officer of Golub Capital. | Chairman of the board of directors of GBDC | ||||||||||||||||||||||||||||||||||
Director | Class III Director since February 2021; Term Expires 2025 | Co-founder and retired managing partner of Pine Street Alternative Asset Management Company | Five | A member of the board of directors of GBDC 3, GDLC, GDLCU and GBDC 4 and a member of the board of directors of Manning & Napier, Inc. (NYSE) since May 2021. Currently serves as Chair of the 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 | Director | Class III Director since 2010; Term Expires | 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 | A member of the board of directors of GBDC 3, GDLC, GDLCU and |
Board Diversity Matrix | ||||||||||||||
Total Number of Directors | 7 | |||||||||||||
Female | Male | Non-Binary | Did Not Disclose Gender | |||||||||||
Part I: Gender Identity | ||||||||||||||
Directors | 1 | 6 | — | — | ||||||||||
Part II: Demographic Background | ||||||||||||||
African American or Black | — | 1 | — | — | ||||||||||
Alaskan Native or Native American | — | — | — | — | ||||||||||
Asian | — | — | — | — | ||||||||||
Hispanic or Latinx | — | — | — | — | ||||||||||
Native Hawaiian or Pacific Islander | — | — | — | — | ||||||||||
White | 1 | 5 | — | — | ||||||||||
Two or More Races or Ethnicities | — | — | — | — | ||||||||||
LGBTQ+ | 1 | |||||||||||||
Did Not Disclose Demographic Background | — |
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 | |||||||||||||||
Secretary (since August 2011) | Mr. Levinson serves as Co-General Counsel and Chief Compliance Officer of Golub Capital. He also manages the Solutions group at Golub Capital, which has primary responsibility for product creation and development. He serves as Chief Compliance Officer and Secretary for each of GBDC 3, since 2017, GDLC, since July 2021, and, since November 2021, GDLCU and GBDC 4. He previously served as | ||||||||||||||||
Matthew W. Benton (45) | Chief Operating Officer (since August 2022) | Mr. Benton joined Golub Capital in 2020 and is a Managing Director in the Investor Partners Group. He leads program management for Golub Capital’s BDC business, which encompasses its public and private BDCs. Mr. Benton served as a managing director of GBDC from April 2020 to August 2022. He is also chief operating officer of GBDC 3 and GBDC 4 and an officer of GDLC and GDLCU. He was previously a Managing Director in the Structured Products group, responsible for identifying, developing and executing various capital and liquidity solutions for Golub Capital. Prior to joining Golub Capital, Mr. Benton was a Managing Director in the Financial Institutions Investment Banking group at Wells Fargo Securities, where he primarily focused on the specialty finance sector, and led the de novo buildout of a more formalized small/ midcap bank investment banking coverage effort. Prior to that, Mr. Benton led and coordinated investment banking deal teams in a variety of advisory and capital markets transactions. Mr. Benton earned his BS degree with honors in Business Administration and Economics from the University of the Pacific. | |||||||||||||||
Gregory A. Robbins | Managing Director (since November 2013) | Mr. Robbins is |
Name, Address and Age(1) | Position(s) held with Company | Principal Occupation(s) During the Past 5 Years | |||||||||||||||
Jonathan D. Simmons | Managing Director of Corporate Strategy | Mr. Simmons is a Managing Director of Golub Capital and serves as our Managing Director of Corporate |
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 | | | | $ | 131,000 | | | | | | — | | | | | $ | 131,000 | | |
Kenneth F. Bernstein | | | | $ | 131,000 | | | | | | — | | | | | $ | 131,000 | | |
Anita R. Rosenberg | | | | $ | 131,000 | | | | | | — | | | | | $ | 131,000 | | |
William M. Webster IV | | | | $ | 147,000 | | | | | | — | | | | | $ | 131,000 | | |
Interested Directors | | | | | | | | | | | | | | | | | | | |
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 | $143,000 | — | $143,000 | |||||||||||||||||
Kenneth F. Bernstein | $143,000 | — | $143,000 | |||||||||||||||||
Lofton P. Holder | $143,000 | — | $143,000 | |||||||||||||||||
Anita J. Rival | $143,000 | — | $143,000 | |||||||||||||||||
William M. Webster IV | $159,000 | — | $159,000 | |||||||||||||||||
Interested Directors | ||||||||||||||||||||
Lawrence E. Golub | — | — | — | |||||||||||||||||
David B. Golub | — | — | — |
Name | Age | Position | |||||||||||||||
Lawrence E. Golub | Chairman of the Board | ||||||||||||||||
David B. Golub | Chief Executive Officer, Director | ||||||||||||||||
Gregory W. Cashman | Senior Managing Director of Golub Capital | ||||||||||||||||
Andrew H. Steuerman | Senior Managing Director of Golub Capital | ||||||||||||||||
46 | Senior Managing Director of Golub Capital | ||||||||||||||||
Marc C. Robinson | 48 | Senior Managing Director of Golub Capital | |||||||||||||||
Robert G. Tuchscherer | 48 | Senior Managing Director of Golub Capital | |||||||||||||||
Jason J. Van Dussen | 49 | Senior Managing Director of Golub Capital |
| | | Fiscal Year Ended September 30, 2020 | | | Fiscal Year Ended September 30, 2019 | | ||||||
Audit Fees | | | | $ | 645,094 | | | | | $ | 586,752 | | |
Audit Related Fees | | | | | — | | | | | | — | | |
Tax Fees | | | | | — | | | | | | — | | |
All Other Fees | | | | | 426,178 | | | | | | 151,050 | | |
Total | | | | $ | 1,081,272 | | | | | $ | 737,802 | | |
Fiscal Year Ended | Fiscal Year Ended | ||||||||||
September 30, 2022 | September 30, 2021 | ||||||||||
Audit Fees | $821,719 | $761,268 | |||||||||
Audit Related Fees | — | — | |||||||||
Tax Fees | — | — | |||||||||
All Other Fees | 90,586 | 311,000 | |||||||||
Total | $912,305 | $1,072,268 |