Sec Form 3 Filing - OI3, LLC @ OFS Capital Corp - 2023-06-30

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
OI3, LLC
2. Issuer Name and Ticker or Trading Symbol
OFS Capital Corp [ OFS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
4700 WILSHIRE BOULEVARD
3. Date of Earliest Transaction (MM/DD/YY)
06/30/2023
(Street)
LOS ANGELES, CA90010
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 2,946,474 I 0 ( 1 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
OI3, LLC
4700 WILSHIRE BOULEVARD
LOS ANGELES, CA90010
X
Signatures
/s/ Nicholas V. Morosoff, Officer of the Manager of OI3, LLC 07/05/2023
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The reported securities are directly owned by Orchard First Source Asset Management Holdings, LLC ("OFSAM Holdings"), and may be deemed to be indirectly owned by Orchard Investments, LLC ("OI") through its interests in OFSAM Holdings, indirectly owned by OI3, LLC, as an owner of OI, indirectly owned by the OI3 2013 Trust, as owner of OI3, LLC, and indirectly owned by Richard S. Ressler, as investment trustee of the OI3 2019 Trust. Each of OI, the OI3 2019 Trust and Richard S. Ressler previously reported its potential deemed indirect ownership interest on Form 3 filed September 27, 2021. OI3, LLC disclaims, and each of OI, the OI3 2019 Trust and Richard S. Ressler has disclaimed, beneficial ownership of the shares reported herein, except to the extent of such person's respective pecuniary interest therein.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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