CION INVESTMENT CORPORATION FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: | 3235-0287 |
Estimated average
burden hours0.5 per response
1. Name and Address of Reporting Person*
Reisner Michael A
(Last)(First)(Middle)
C/O CION INVESTMENT CORP. 100 PARK AVENUE, 25TH FL
(Street) | ||
NEW YORK | NY | 10017 |
(City) | (State) | (Zip) |
2. | Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||
CION Investment Corp [ CION ] | (Check all applicable) | |||
X | Director | 10% Owner | ||
X | Officer (give title below) | Other (specify below) | ||
3. Date of Earliest Transaction (Month/Day/Year) | ||||
Co-Chairman & Co-CEO | ||||
05/13/2024 | ||||
4. | 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) | 2. Transaction Date | 2A. Deemed | 3. Transaction Code | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 | 5. Amount of Securities | 6. Ownership Form: Direct | 7. Nature of Indirect | ||||
(Month/Day/Year) | Execution Date, | (Instr. 8) | and 5) | Beneficially Owned Following | (D) or Indirect (I) (Instr. 4) | Beneficial Ownership | |||||
if any | Reported Transaction(s) (Instr. 3 | (Instr. 4) | |||||||||
(Month/Day/Year) | Code | V | Amount | (A) or (D) | Price | and 4) | |||||
Common stock, $0.001 par value | 05/13/2024 | P | 407 | A | $12.27 | 44,160.38(1) | D |
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 (Month/Day/Year)
3A. Deemed Execution Date, if any (Month/Day/Year)
4. Transaction Code | 5. Number of Derivative | 6. Date Exercisable and | 7. Title and Amount of Securities Underlying | |||||
(Instr. 8) | Securities Acquired (A) or | Expiration Date | Derivative Security (Instr. 3 and 4) | |||||
Disposed of (D) (Instr. 3, | (Month/Day/Year) | |||||||
4 | ||||||||
and 5) | ||||||||
Date | Expiration | Amount or Number | ||||||
Code | V | (A) | (D) | Exercisable | Date | Title | of Shares | |
8. Price of Derivative Security (Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership (Instr. 4)
Explanation of Responses:
1. Mr. Reisner is the record holder of 12,861 shares, and CION Investment Group, LLC ("CIG") is the record holder of 62,598.77 shares that includes 5,932.67 shares acquired under the Issuer's distribution reinvestment plan. Mr. Reisner, together with another individual, controls CIG and, as a result, may be deemed to be the indirect beneficial owner of the shares held by CIG. As permitted by Rule 16a-1(a)(4) under the Exchange Act, Mr. Reisner disclaims beneficial ownership of the shares held by CIG except to the extent of his pecuniary interest therein.
Remarks:
/s/ Michael A. Reisner | 05/14/2024 | ||
** 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 4(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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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CION Investment Corporation published this content on 15 May 2024 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 15 May 2024 07:10:22 UTC.
