| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | N/A | Common shares of beneficial interest | Other | $0 | -159K | -100% | $0.00* | 0 | Jan 1, 2023 | See Footnote | F1, F2 |
| transaction | N/A | Common shares of beneficial interest | Other | $0 | -8.9M | -100% | $0.00* | 0 | Jan 1, 2023 | See Footnote | F1, F3 |
Angelo Gordon & Co., L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | On January 1, 2023, Issuer completed its merger (the "Merger") with AG Twin Brook Capital Income Fund, a Delaware statutory trust ("TCAP"), with TCAP continuing as the surviving company. The Merger was completed pursuant to an Agreement and Plan of Merger dated December 30, 2022, by and between TCAP and Issuer. Prior to the Merger, Issuer was an affiliated, privately-offered business development company ("BDC") managed by AGTB Fund Manager, LLC, an affiliate of Angelo, Gordon & Co., L.P. ("Angelo Gordon"). TCAP is a public, non-exchange traded BDC, with the same investment manager and investment objective as Issuer. At the effective time of the Merger, each issued and outstanding common share of beneficial interest, par value $0.001 per share, of Issuer (other than certain excluded shares) outstanding immediately prior to the effective time was converted into Class I common shares of beneficial interest, par value $0.001 per share, of TCAP on a one-for-one basis. |
| F2 | Reflects shares held directly by Angelo Gordon. Joshua Baumgarten and Adam Schwartz are the co-managing members of AG GP LLC ("AG GP"), which is the sole general partner of Angelo Gordon. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, and this report shall not be deemed to be an admission that any of AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| F3 | Reflects shares held directly by AGTB BDC Holdings, L.P. ("BDC Holdings"). AGTB BDC Holdings GP LLC ("BDC Holdings GP") is the sole general partner of BDC Holdings. Angelo Gordon is the investment advisor to BDC Holdings and sole member of BDC Holdings GP. AG GP is the sole general partner of Angelo Gordon, and Mr. Baumgarten and Mr. Schwartz are the co-managing members of AG GP. Each of Messrs. Baumgarten and Schwartz, and AG GP may be deemed to control Angelo Gordon. Each of BDC Holdings GP, Angelo Gordon, AG GP and Messrs. Baumgarten and Schwartz disclaim beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein and this report shall not be deemed to be an admission that any of BDC Holdings GP, Angelo Gordon, AG GP, Mr. Baumgarten or Mr. Schwartz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |