SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Duka Alexander

(Last) (First) (Middle)
C/O PORTMAN RIDGE FINANCE CORPORATION
650 MADISON AVENUE

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2019
3. Issuer Name and Ticker or Trading Symbol
Portman Ridge Finance Corp [ PTMN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
Remarks:
Exhibit List: Exhibit 24 - Power of Attorney
No securities are beneficially owned.
/s/ Edward Gilpin, Attorney-in-Fact 04/05/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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Exhibit 24

 

POWER OF ATTORNEY

 

The undersigned hereby make, constitute and appoint each of Andrew Devine, Daniel Gilligan, Edward Gilpin, Edward Goldthorpe, Jacki Hamilton, Veena Malpani and Patrick Schafer as a true and lawful attorney-in-fact with full power of substitution and resubstitution, for and in the name, place and stead of the undersigned (in the undersigned’s individual capacity, or in any other capacity, including, without limitation, as applicable, in the undersigned’s capacity as a director or officer), to execute, deliver and file such forms, with all exhibits thereto, documents, certificates, instruments, notices, statements, agreements and other filings relating to the ownership, beneficial or otherwise, of securities of Portman Ridge Finance Corporation or any of its subsidiaries or affiliates as may be required to be filed from time to time with the Securities and Exchange Commission (“SEC”) with respect to: (i) Sections 13(d), 13(f) and 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations promulgated thereunder, as applicable, including, without limitation, Schedule 13D, Schedule 13G, Form 13F, statements on Form 3, Form 4 and Form 5 or any amendment thereto; (ii) any report or notice required under Rule 144 of the Securities Act of 1933, as amended, including, without limitation, Form 144, or any amendment thereto; and (iii) any and all other documents that may be necessary or appropriate in connection with or in furtherance of any of the foregoing, including, without limitation, any application for EDGAR access codes, Form ID, or any amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required pursuant to Section 13(d) or Section 16(a) of the Exchange Act or any rule or regulation of the SEC, such power and authority to extend to any form or forms adopted by the SEC in lieu of or in addition to any of the foregoing; in each case, as determined by such attorney-in-fact to be necessary or appropriate. Any such determination shall be conclusively evidenced by such attorney-in-fact’s execution, delivery, furnishing and/or filing of the applicable document. Each such attorney-in-fact may act separately or jointly.

 

All past acts of an attorney-in-fact in furtherance of the foregoing are hereby ratified and confirmed.

 

This Power of Attorney may be executed in multiple counterparts, each of which shall be deemed an original, but which taken together shall constitute one instrument.

 

This Power of Attorney shall remain in effect from the date hereof until the date revoked by the undersigned in a signed writing delivered to the attorneys-in-fact, and this Power of Attorney does not revoke or replace any other Power of Attorney that the undersigned has previously granted.

 

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IN WITNESS WHEREOF, the undersigned have executed this instrument as of the 1st day of April, 2019.

 

Signature Title
   
/s/ Edward Goldthorpe Director, President and Chief Executive Officer

Edward Goldthorpe

 

 
/s/ Patrick Schafer Chief Investment Officer
Patrick Schafer  
   
/s/ Edward Gilpin Chief Financial Officer, Treasurer and Secretary
Edward Gilpin  

 

/s/ Daniel Gilligan

 

Chief Compliance Officer

Daniel Gilligan  
   
/s/ Graeme Dell Director
Graeme Dell  
   
/s/ Alexander Duka Director
Alexander Duka  

 

/s/ George Grunebaum Director
George Grunebaum  

 

/s/ Dean Kehler Director
Dean Kehler  
   
/s/ Christopher Lacovara Director
Christopher Lacovara  
   
/s/ David Moffitt Director
David Moffitt  
   
/s/ Robert Warshauer Director
Robert Warshauer