| Luxembourg (State or other jurisdiction of incorporation or organization) | | | 98-0554932 (I.R.S. Employer Identification Number) | |
| Max Kirchner R. William Burns Paul Hastings LLP 100 Bishopsgate London EC2N 4AG United Kingdom +44 20 3023 5100 | | | Margaretha Wilkenhuysen NautaDutilh Avocats Luxembourg S.à r.l. 2 Rue Jean Bertholet L-1233 Luxembourg Grand Duchy of Luxembourg +352 26 12 29 1 | |
| Large accelerated filer ☐ | | | Accelerated filer ☒ | |
| Non-accelerated filer ☐ | | | Smaller reporting company ☒ | |
| | | | Emerging growth company ☐ | |
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 3 | | | |
| | | | | 5 | | | |
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | 22 | | |
Name of Selling Stockholder | | | Number of Shares Beneficially Owned Prior to Offering | | | Maximum Number of Shares to be Sold Pursuant to this Prospectus | | | Number of Shares Beneficially Owned After Offering | | | Percentage of Outstanding Shares Beneficially Owned After Offering | | ||||||||||||
Mountain View CLO 2013-1 Ltd.(1) | | | | | 14,043 | | | | | | 14,043 | | | | | | — | | | | | | — | | |
Mountain View CLO 2014-1 Ltd.(1) | | | | | 17,115 | | | | | | 17,115 | | | | | | — | | | | | | — | | |
Mountain View CLO X Ltd.(1) | | | | | 4,369 | | | | | | 4,369 | | | | | | — | | | | | | — | | |
Mountain View CLO IX Ltd.(1) | | | | | 16,799 | | | | | | 16,799 | | | | | | — | | | | | | — | | |
Mountain View CLO 2016-1 Ltd.(1) | | | | | 11,096 | | | | | | 11,096 | | | | | | — | | | | | | — | | |
Mountain View CLO 2017-1 Ltd.(1) | | | | | 9,513 | | | | | | 9,513 | | | | | | — | | | | | | — | | |
Mountain View CLO 2017-2 Ltd.(1) | | | | | 14,128 | | | | | | 14,128 | | | | | | — | | | | | | — | | |
Mountain View CLO XIV Ltd.(1) | | | | | 12,616 | | | | | | 12,616 | | | | | | — | | | | | | — | | |
Mountain View CLO XV Ltd.(1) | | | | | 6,532 | | | | | | 6,532 | | | | | | — | | | | | | — | | |
City National Rochdale Fixed Income Opportunities Fund(2) | | | | | 4,485 | | | | | | 4,485 | | | | | | — | | | | | | — | | |
Name of Selling Stockholder | | | Number of Shares Beneficially Owned Prior to Offering | | | Maximum Number of Shares to be Sold Pursuant to this Prospectus | | | Number of Shares Beneficially Owned After Offering | | | Percentage of Outstanding Shares Beneficially Owned After Offering | | ||||||||||||
Virtus Seix Floating Rate High Income Fund(2) | | | | | 23,725 | | | | | | 23,725 | | | | | | — | | | | | | — | | |
Virtus Seix Senior Loan ETF(2) | | | | | 3,266 | | | | | | 3,266 | | | | | | — | | | | | | — | | |
STS Master Fund Ltd.(3) | | | | | 4,449,991 | | | | | | 201,015 | | | | | | 4,248,976 | | | | | | 16.04% | | |
Deer Park 1850 Fund, LP(3) | | | | | 90,723 | | | | | | 90,723 | | | | | | — | | | | | | — | | |
Saratoga Investment Corp. CLO 2013-1, Ltd(4) | | | | | 7,990 | | | | | | 7,990 | | | | | | — | | | | | | — | | |
Signal Peak CLO 1 Ltd.(5) | | | | | 11,368 | | | | | | 11,368 | | | | | | — | | | | | | — | | |
Signal Peak CLO 2, LLC(5) | | | | | 4,764 | | | | | | 4,764 | | | | | | — | | | | | | — | | |
Signal Peak CLO 3, Ltd.(5) | | | | | 10,654 | | | | | | 10,654 | | | | | | — | | | | | | — | | |
Signal Peak CLO 5, Ltd.(5) | | | | | 10,654 | | | | | | 10,654 | | | | | | — | | | | | | — | | |
Signal Peak CLO 7, Ltd.(5) | | | | | 7,147 | | | | | | 7,147 | | | | | | — | | | | | | — | | |
Reliance Standard Life Insurance Company(6) | | | | | 4,431 | | | | | | 4,431 | | | | | | — | | | | | | — | | |
BOF Holdings VI, LLC(6) | | | | | 32,495 | | | | | | 32,495 | | | | | | — | | | | | | — | | |
Three Line 2022-1, LLC(7) | | | | | 8,165 | | | | | | 8,165 | | | | | | — | | | | | | — | | |
Dryden XXVIII Senior Loan Fund(8) | | | | | 2,796 | | | | | | 2,796 | | | | | | — | | | | | | — | | |
Dryden XXVI Senior Loan Fund(8) | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Dryden 30 Senior Loan Fund(8) | | | | | 2,796 | | | | | | 2,796 | | | | | | — | | | | | | — | | |
Dryden 36 Senior Loan Fund(8) | | | | | 1,997 | | | | | | 1,997 | | | | | | — | | | | | | — | | |
Dryden 37 Senior Loan Fund(8) | | | | | 3,495 | | | | | | 3,495 | | | | | | — | | | | | | — | | |
Dryden 38 Senior Loan Fund(8) | | | | | 1,997 | | | | | | 1,997 | | | | | | — | | | | | | — | | |
Dryden 40 Senior Loan Fund(8) | | | | | 1,997 | | | | | | 1,997 | | | | | | — | | | | | | — | | |
Dryden 41 Senior Loan Fund(8) | | | | | 4,195 | | | | | | 4,195 | | | | | | — | | | | | | — | | |
Dryden 42 Senior Loan Fund(8) | | | | | 2,097 | | | | | | 2,097 | | | | | | — | | | | | | — | | |
Dryden 43 Senior Loan Fund(8) | | | | | 1,997 | | | | | | 1,997 | | | | | | — | | | | | | — | | |
Dryden 45 Senior Loan Fund(8) | | | | | 1,997 | | | | | | 1,997 | | | | | | — | | | | | | — | | |
Dryden 47 Senior Loan Fund(8) | | | | | 4,195 | | | | | | 4,195 | | | | | | — | | | | | | — | | |
Dryden 49 Senior Loan Fund(8) | | | | | 3,196 | | | | | | 3,196 | | | | | | — | | | | | | — | | |
Dryden 50 Senior Loan Fund(8) | | | | | 3,196 | | | | | | 3,196 | | | | | | — | | | | | | — | | |
Dryden 54 Senior Loan Fund(8) | | | | | 3,495 | | | | | | 3,495 | | | | | | — | | | | | | — | | |
Dryden 53 CLO, LTD.(8) | | | | | 3,495 | | | | | | 3,495 | | | | | | — | | | | | | — | | |
Dryden 57 CLO, LTD.(8) | | | | | 2,796 | | | | | | 2,796 | | | | | | — | | | | | | — | | |
Dryden 58 CLO, LTD.(8) | | | | | 1,997 | | | | | | 1,997 | | | | | | — | | | | | | — | | |
Dryden 64 CLO, LTD.(8) | | | | | 4,195 | | | | | | 4,195 | | | | | | — | | | | | | — | | |
Dryden 65 CLO, LTD.(8) | | | | | 2,075 | | | | | | 2,075 | | | | | | — | | | | | | — | | |
Bentham Syndicated Loan Fund(9) | | | | | 33,797 | | | | | | 33,797 | | | | | | — | | | | | | — | | |
Name of Selling Stockholder | | | Number of Shares Beneficially Owned Prior to Offering | | | Maximum Number of Shares to be Sold Pursuant to this Prospectus | | | Number of Shares Beneficially Owned After Offering | | | Percentage of Outstanding Shares Beneficially Owned After Offering | | ||||||||||||
Hudson Post Credit Opportunities Aggregator II, LLC(10) | | | | | 92,077 | | | | | | 92,077 | | | | | | — | | | | | | — | | |
Demus CLO 10, Ltd.(11) | | | | | 15,981 | | | | | | 15,981 | | | | | | — | | | | | | — | | |
Demus CLO 12, Ltd.(11) | | | | | 12,456 | | | | | | 12,456 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2014-1, Ltd.(12) | | | | | 4,859 | | | | | | 4,859 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2015-1, Ltd.(12) | | | | | 8,261 | | | | | | 8,261 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2015-2, Ltd.(12) | | | | | 6,593 | | | | | | 6,593 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2018-1, Ltd.(12) | | | | | 6,957 | | | | | | 6,957 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2018-2, Ltd.(12) | | | | | 8,694 | | | | | | 8,694 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2018-3, Ltd.(12) | | | | | 7,103 | | | | | | 7,103 | | | | | | — | | | | | | — | | |
Palmer Square CLO 2019-1, Ltd.(12) | | | | | 5,737 | | | | | | 5,737 | | | | | | — | | | | | | — | | |
Palmer Square Floating Rate Fund LLC(12) | | | | | 705 | | | | | | 705 | | | | | | — | | | | | | — | | |
Palmer Square Loan Funding 2020-1, Ltd.(12) | | | | | 5,851 | | | | | | 5,851 | | | | | | — | | | | | | — | | |
Palm Tree Capital Management, LP(13) | | | | | 2,642 | | | | | | 2,642 | | | | | | — | | | | | | — | | |
PhenixFIN Corporation(14) | | | | | 42,369 | | | | | | 42,369 | | | | | | — | | | | | | — | | |
California State Teachers’ Retirement System(15) | | | | | 13,285 | | | | | | 13,285 | | | | | | — | | | | | | — | | |
Copperhill Loan Fund I, LLC(15) | | | | | 3,795 | | | | | | 3,795 | | | | | | — | | | | | | — | | |
Credit Suisse Floating Rate High Income Fund(15) | | | | | 53,142 | | | | | | 53,142 | | | | | | — | | | | | | — | | |
Credit Suisse Strategic Income Fund(15) | | | | | 2,846 | | | | | | 2,846 | | | | | | — | | | | | | — | | |
Credit Suisse Floating Rate Trust(15) | | | | | 6,059 | | | | | | 6,059 | | | | | | — | | | | | | — | | |
Credit Suisse Nova (Lux) Global Senior Loan Fund(15) | | | | | 98,693 | | | | | | 98,693 | | | | | | — | | | | | | — | | |
Dollar Senior Loan Fund, LTD.(15) | | | | | 15,183 | | | | | | 15,183 | | | | | | — | | | | | | — | | |
DaVinci Reinsurance Ltd.(15) | | | | | 2,308 | | | | | | 2,308 | | | | | | — | | | | | | — | | |
Dollar Senior Loan Fund II, LTD.(15) | | | | | 2,263 | | | | | | 2,263 | | | | | | — | | | | | | — | | |
Erie Indemnity Company(15) | | | | | 557 | | | | | | 557 | | | | | | — | | | | | | — | | |
Erie Insurance Exchange(15) | | | | | 7,541 | | | | | | 7,541 | | | | | | — | | | | | | — | | |
Madison Park Funding XI, Ltd.(15) | | | | | 9,415 | | | | | | 9,415 | | | | | | — | | | | | | — | | |
Madison Park Funding XIV, Ltd.(15) | | | | | 18,979 | | | | | | 18,979 | | | | | | — | | | | | | — | | |
Madison Park Funding XVII, Ltd.(15) | | | | | 15,183 | | | | | | 15,183 | | | | | | — | | | | | | — | | |
Madison Park Funding XVIII, Ltd.(15) | | | | | 7,591 | | | | | | 7,591 | | | | | | — | | | | | | — | | |
Madison Park Funding XXI, Ltd.(15) | | | | | 15,183 | | | | | | 15,183 | | | | | | — | | | | | | — | | |
Madison Park Funding XXII, Ltd.(15) | | | | | 10,438 | | | | | | 10,438 | | | | | | — | | | | | | — | | |
Madison Park Funding XX, Ltd.(15) | | | | | 10,438 | | | | | | 10,438 | | | | | | — | | | | | | — | | |
Madison Park Funding XIX, Ltd.(15) | | | | | 13,285 | | | | | | 13,285 | | | | | | — | | | | | | — | | |
Name of Selling Stockholder | | | Number of Shares Beneficially Owned Prior to Offering | | | Maximum Number of Shares to be Sold Pursuant to this Prospectus | | | Number of Shares Beneficially Owned After Offering | | | Percentage of Outstanding Shares Beneficially Owned After Offering | | ||||||||||||
Madison Park Funding XXIII, Ltd.(15) | | | | | 15,183 | | | | | | 15,183 | | | | | | — | | | | | | — | | |
Madison Park Funding XXIV, Ltd.(15) | | | | | 15,183 | | | | | | 15,183 | | | | | | — | | | | | | — | | |
Madison Park Funding XL, Ltd.(15) | | | | | 15,183 | | | | | | 15,183 | | | | | | — | | | | | | — | | |
Madison Park Funding XLII, Ltd.(15) | | | | | 13,285 | | | | | | 13,285 | | | | | | — | | | | | | — | | |
Madison Park Funding XLIII, Ltd.(15) | | | | | 16,512 | | | | | | 16,512 | | | | | | — | | | | | | — | | |
Madison Park Funding XLIV, Ltd.(15) | | | | | 18,979 | | | | | | 18,979 | | | | | | — | | | | | | — | | |
Madison Park Funding XXIX, Ltd.(15) | | | | | 11,387 | | | | | | 11,387 | | | | | | — | | | | | | — | | |
Madison Park Funding XXV, Ltd.(15) | | | | | 11,387 | | | | | | 11,387 | | | | | | — | | | | | | — | | |
Madison Park Funding XXVI, Ltd.(15) | | | | | 9,489 | | | | | | 9,489 | | | | | | — | | | | | | — | | |
Madison Park Funding XXVII, Ltd.(15) | | | | | 18,830 | | | | | | 18,830 | | | | | | — | | | | | | — | | |
Madison Park Funding XXVIII, Ltd.(15) | | | | | 13,211 | | | | | | 13,211 | | | | | | — | | | | | | — | | |
Madison Park Funding XXX, Ltd.(15) | | | | | 15,034 | | | | | | 15,034 | | | | | | — | | | | | | — | | |
Madison Park Funding XXXII, Ltd.(15) | | | | | 18,107 | | | | | | 18,107 | | | | | | — | | | | | | — | | |
Madison Park Funding XXXIV, Ltd.(15) | | | | | 10,255 | | | | | | 10,255 | | | | | | — | | | | | | — | | |
Madison Park Funding XXXV, Ltd.(15) | | | | | 1,199 | | | | | | 1,199 | | | | | | — | | | | | | — | | |
Renaissance Investment Holdings Ltd.(15) | | | | | 1,086 | | | | | | 1,086 | | | | | | — | | | | | | — | | |
One Eleven Funding III, Ltd.(15) | | | | | 6,790 | | | | | | 6,790 | | | | | | — | | | | | | — | | |
State of Wyoming(15) | | | | | 6,205 | | | | | | 6,205 | | | | | | — | | | | | | — | | |
Venture XIII CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XV CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XVII CLO, Limited | | | | | 2,803 | | | | | | 2,803 | | | | | | — | | | | | | — | | |
Venture XVIII CLO, Limited | | | | | 5,993 | | | | | | 5,993 | | | | | | — | | | | | | — | | |
Venture XIX CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XXI CLO, Limited | | | | | 5,607 | | | | | | 5,607 | | | | | | — | | | | | | — | | |
Venture XXIII CLO, Limited | | | | | 5,993 | | | | | | 5,993 | | | | | | — | | | | | | — | | |
Venture XXII CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XXIV CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XXV CLO, Limited | | | | | 5,993 | | | | | | 5,993 | | | | | | — | | | | | | — | | |
Venture XXVII CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XXVI CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XXVIII CLO, Limited | | | | | 6,991 | | | | | | 6,991 | | | | | | — | | | | | | — | | |
Venture 28A CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture XXIX CLO, Limited | | | | | 6,991 | | | | | | 6,991 | | | | | | — | | | | | | — | | |
Venture XXX CLO, Limited | | | | | 7,990 | | | | | | 7,990 | | | | | | — | | | | | | — | | |
Venture 31 CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture 32 CLO, Limited | | | | | 11,986 | | | | | | 11,986 | | | | | | — | | | | | | — | | |
Venture 33 CLO, Limited | | | | | 7,249 | | | | | | 7,249 | | | | | | — | | | | | | — | | |
Name of Selling Stockholder | | | Number of Shares Beneficially Owned Prior to Offering | | | Maximum Number of Shares to be Sold Pursuant to this Prospectus | | | Number of Shares Beneficially Owned After Offering | | | Percentage of Outstanding Shares Beneficially Owned After Offering | | ||||||||||||
Venture 35 CLO, Limited | | | | | 3,995 | | | | | | 3,995 | | | | | | — | | | | | | — | | |
Venture 36 CLO, Limited | | | | | 1,000 | | | | | | 1,000 | | | | | | — | | | | | | — | | |
Venture 38 CLO, Limited | | | | | 7,592 | | | | | | 7,592 | | | | | | — | | | | | | — | | |
Venture 37 CLO, Limited | | | | | 5,957 | | | | | | 5,957 | | | | | | — | | | | | | — | | |
Regatta XIV Funding Ltd. | | | | | 12,756 | | | | | | 12,756 | | | | | | — | | | | | | — | | |
Regatta XIII Funding Ltd. | | | | | 10,377 | | | | | | 10,377 | | | | | | — | | | | | | — | | |
Regatta XV Funding Ltd. | | | | | 11,013 | | | | | | 11,013 | | | | | | — | | | | | | — | | |
Regatta II Funding L.P. | | | | | 8,481 | | | | | | 8,481 | | | | | | — | | | | | | — | | |
Regatta VI Funding Ltd. | | | | | 8,611.0 | | | | | | 8,611.0 | | | | | | — | | | | | | — | | |
Regatta VII Funding Ltd. | | | | | 8,170.0 | | | | | | 8,170.0 | | | | | | — | | | | | | — | | |
Regatta VIII Funding Ltd. | | | | | 8,881.0 | | | | | | 8,881.0 | | | | | | — | | | | | | — | | |
Regatta IX Funding Ltd. | | | | | 9,673.0 | | | | | | 9,673.0 | | | | | | — | | | | | | — | | |
Regatta X Funding Ltd. | | | | | 9,726.0 | | | | | | 9,726.0 | | | | | | — | | | | | | — | | |
Regatta XI Funding Ltd. | | | | | 8,901.0 | | | | | | 8,901.0 | | | | | | — | | | | | | — | | |
Regatta XII Funding Ltd. | | | | | 8,926.0 | | | | | | 8,926.0 | | | | | | — | | | | | | — | | |
Regatta XVI Funding Ltd. | | | | | 7,132.0 | | | | | | 7,132.0 | | | | | | — | | | | | | — | | |
Wells Fargo Bank, National Association(16) | | | | | 14,572 | | | | | | 14,484 | | | | | | 88 | | | | | | * | | |
| SEC registration fee | | | | $ | 744.68 | | |
| Legal fees and expenses | | | | | 87,000.00 | | |
| Accounting fees and expenses | | | | | 44,100.00 | | |
| Printing and miscellaneous fees and expenses | | | | | 30,000.00 | | |
| Total | | | | $ | 161,844.68 | | |
| Signature | | | Title | | | Date | |
| /s/ William B. Shepro William B. Shepro | | | Chairman and Chief Executive Officer(Principal Executive Officer) | | | December | |
| /s/ Michelle D. Esterman Michelle D. Esterman | | | Chief Financial Officer(Principal Financial and Accounting Officer) | | | December | |
| /s/ Joseph L. Morettini Joseph L. Morettini | | | Director | | | December | |
| /s/ Roland Müller-Ineichen Roland Müller-Ineichen | | | Director | | | December | |
| /s/ Mary C. Hickok Mary C. Hickok | | | Director | | | December | |
| /s/ John G.Aldridge, Jr. John G.Aldridge, Jr. | | | Director | | | December | |