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 $ | 100,000 | | |
Kenneth F. Bernstein
|
| | | Over $ | 100,000 | | |
Anita R. Rosenberg
|
| | | Over $ | 100,000 | | |
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 Equity Securities(1) |
|
| Independent Directors | | | | | | | | | | | | | |
| William M. Webster IV | | |
William M. Webster IV;
J. Lyles Glenn, TTE,
FBO William M. Webster IV Trust
UAD 3/15/99
|
| |
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.;
Golub Capital International Ltd.;
GEMS Fund 4, L.P.;
GEMS Fund 5 L.P.
|
| |
N/A – Single Class
|
| |
Over $100,000 in
each |
|
Name, Address and Age(1)
|
| |
Position(s) held
with Company |
| |
Principal Occupation(s) During the Past 5 Years
|
|
Ross A. Teune (52) | | |
Chief Financial Officer and
Treasurer (since December 2010) |
| | Mr. Teune is a Senior Vice President at Golub Capital and currently is the Chief Financial Officer and Treasurer for GBDC 3 and served in such roles at GCIC from November 2014 until GCIC’s acquisition by the Company in September 2019. Prior to joining Golub Capital in 2007, Mr. Teune served as Director of Strategic Planning at Merrill Lynch Capital where he was responsible for evaluating and implementing new business initiatives and managing that company’s strategic planning process. Prior to this position, Mr. Teune was Vice President of Finance at Antares Capital Corporation. Mr. Teune also worked at Heller Financial Corporation and KPMG LLP. Mr. Teune graduated from Hope College with a B.A. in Accounting and is a Certified Public Accountant (inactive). | |
Joshua M. Levinson (45) | | |
Chief Compliance Officer and
Secretary (since August 2011) |
| | Mr. Levinson serves as our Chief Compliance Officer and Secretary and is also the Co-General Counseland 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 3 and served in such roles at GCIC from November2014 until GCIC’s acquisition by the Company in September 2019. Mr. Levinson served as Counsel at Magnetar Capital from 2006 to 2010, where he was responsible for the legal affairs of | |
Name, Address and Age(1)
|
| |
Position(s) held
with Company |
| |
Principal Occupation(s) During the Past 5 Years
|
|
| | | | | | several business units and served as Secretary of Magnetar Spectrum Fund. Prior thereto, Mr. Levinson was a private equity and investment funds attorney at King & Spalding LLP and a corporate attorney at Wilson Sonsini Goodrich & Rosati. Mr. Levinson holds a B.S. from Vanderbilt University and received a J.D. from Georgetown University Law Center, where he was an associate editor of the Georgetown Law Journal. | |
Gregory A. Robbins (45) | | |
Managing Director
(since November 2013) |
| | Mr. Robbins is a Managing Director at Golub Capital. He also currently serves as Managing Director for GBDC 3 and served in the same role at GCIC from November 2014 until GCIC’s acquisition by the Company in September 2019. Prior to joining Golub Capital in 2004, Mr. Robbins was a Vice President in the Merchant Banking Group at Indosuez Capital. During his tenure at Indosuez Capital, Mr. Robbins originated, structured, executed and managed leveraged finance transactions for middle market private equity sponsors across multiple assets classes. Prior thereto, Mr. Robbins was an associate at Sawmill Capital, a private equity firm. Mr. Robbins holds a B.S. from the Wharton School of the University of Pennsylvania. | |
Jonathan D. Simmons (38)
|
| |
Director of Corporate Strategy
(since February 2016) |
| | Mr. Simmons is a Director of Golub Capital and serves as our Director of Corporate Strategy.Mr. Simmons also currently serves as Director of Corporate Strategy for GBDC 3 and served in the same role at GCIC from November 2014 until GCIC’s acquisition by the Company in September 2019. Prior to joining Golub Capital in 2009, Mr. Simmons served as a Senior associate at Churchill Financial and as an investment banking associate at J.P. Morgan Securities Inc. Mr. Simmons graduated magna cum laude from Colgate University with a B.A. in Mathematics and Economics. | |
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
|
| |
Age
|
| |
Position
|
|
Lawrence E. Golub
|
| |
61
|
| | Chairman of the Board | |
David B. Golub
|
| |
58
|
| | Chief Executive Officer, Director | |
Gregory W. Cashman
|
| |
56
|
| | Senior Managing Director of Golub Capital | |
Andrew H. Steuerman
|
| |
53
|
| | 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 | | |