08/13/2026 | Press release | Distributed by Public on 08/13/2026 15:15
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
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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 (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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HHCF Series 21 Sub, LLC 88 WEST MOUND STREET COLUMBUS, OH 43215 |
X | |||
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HHCF Series 21 Sub Holdco, LLC 88 WEST MOUND STREET COLUMBUS, OH 43215 |
X | |||
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Hawthorn Horizon Credit Fund LLC, Series 21 88 WEST MOUND STREET COLUMBUS, OH 43215 |
X | |||
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Risser Lane 88 WEST MOUND STREET COLUMBUS, OH 43215 |
X | |||
| /s/ Lane Risser, Manager of HHCF Series 21 Sub, LLC | 08/13/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Lane Risser, Manager of HHCF Series 21 Sub Holdco, LLC | 08/13/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Lane Risser, Manager of Hawthorn Horizon Credit Fund LLC, Series 21 | 08/13/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Lane Risser | 08/13/2026 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | HHCF Series 21 Sub, LLC, a Delaware limited liability company ("HHCF Sub") is a wholly-owned subsidiary of HHCF Series 21 Sub Holdco, LLC, a Delaware limited liability company ("Holdco"), and Holdco is a wholly-owned subsidiary of Hawthorn Horizon Credit Fund LLC ("Hawthorn"). Lane Risser ("Mr. Risser") is the sole manager of Hawthorn. Each of Holdco, Hawthorn and Mr. Risser disclaims Section 16 beneficial ownership of the securities reported herein, except to the extent, if any, of its or his pecuniary interest in such securities, and nothing contained herein shall be deemed an omission that any of Holdco, Hawthorn or Mr. Risser is the beneficial owner of such securities for Section 16 or any other purpose. |