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GOLUB CAPITAL BDC, Inc. – ‘10-K’ for 9/30/23 – ‘EX-99.1’

On:  Monday, 11/20/23, at 4:07pm ET   ·   For:  9/30/23   ·   Accession #:  1476765-23-77   ·   File #:  814-00794

Previous ‘10-K’:  ‘10-K’ on 11/21/22 for 9/30/22   ·   Latest ‘10-K’:  This Filing   ·   32 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

11/20/23  GOLUB CAPITAL BDC, Inc.           10-K        9/30/23   99:74M

Annual Report   —   Form 10-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML  27.56M 
 2: EX-4.7      Instrument Defining the Rights of Security Holders  HTML     52K 
 3: EX-14.1     Code of Ethics                                      HTML     64K 
 4: EX-14.2     Code of Ethics                                      HTML     95K 
 5: EX-21.1     Subsidiaries List                                   HTML     29K 
 6: EX-23.1     Consent of Expert or Counsel                        HTML     27K 
10: EX-97.1     Clawback Policy re: Recovery of Erroneously         HTML     43K 
                Awarded Compensation                                             
11: EX-99.1     Miscellaneous Exhibit                               HTML     32K 
 7: EX-31.1     Certification -- §302 - SOA'02                      HTML     30K 
 8: EX-31.2     Certification -- §302 - SOA'02                      HTML     31K 
 9: EX-32.1     Certification -- §906 - SOA'02                      HTML     29K 
17: R1          Cover                                               HTML     98K 
18: R2          Consolidated Statements of Financial Condition      HTML    261K 
19: R3          Consolidated Statements of Financial Condition      HTML     55K 
                (Parenthetical)                                                  
20: R4          Consolidated Statements of Operations               HTML    173K 
21: R5          Consolidated Statements of Changes in Net Assets    HTML    101K 
22: R6          Consolidated Statements of Cash Flows               HTML    162K 
23: R7          Consolidated Statements of Cash Flows               HTML     29K 
                (Parenthetical)                                                  
24: R8          Consolidated Schedule of Investments                HTML  10.09M 
25: R9          Consolidated Schedule of Investments                HTML   6.65M 
                (Parenthetical)                                                  
26: R10         Organization                                        HTML     32K 
27: R11         Significant Accounting Policies and Recent          HTML     66K 
                Accounting Updates                                               
28: R12         Related Party Transactions                          HTML     57K 
29: R13         Investments                                         HTML    306K 
30: R14         Forward Currency Contracts                          HTML    156K 
31: R15         Fair Value Measurements                             HTML    179K 
32: R16         Borrowings                                          HTML    309K 
33: R17         Federal Income Tax Matters                          HTML     76K 
34: R18         Commitments and Contingencies                       HTML     34K 
35: R19         Financial Highlights                                HTML    124K 
36: R20         Earnings Per Share                                  HTML     38K 
37: R21         Common Stock Transactions                           HTML     53K 
38: R22         Dividends and Distributions                         HTML     83K 
39: R23         Subsequent Events                                   HTML     31K 
40: R24         Pay vs Performance Disclosure                       HTML     39K 
41: R25         Insider Trading Arrangements                        HTML     33K 
42: R26         N-2                                                 HTML   1.24M 
43: R27         Significant Accounting Policies and Recent          HTML    115K 
                Accounting Updates (Policies)                                    
44: R28         Investments (Tables)                                HTML    310K 
45: R29         Forward Currency Contracts (Tables)                 HTML    161K 
46: R30         Fair Value Measurements (Tables)                    HTML    173K 
47: R31         Borrowings (Tables)                                 HTML    267K 
48: R32         Federal Income Tax Matters (Tables)                 HTML     73K 
49: R33         Financial Highlights (Tables)                       HTML    123K 
50: R34         Earnings Per Share (Tables)                         HTML     38K 
51: R35         Common Stock Transactions (Tables)                  HTML     47K 
52: R36         Dividends and Distributions (Tables)                HTML     83K 
53: R37         Significant Accounting Policies and Recent          HTML    101K 
                Accounting Updates - Narrative (Details)                         
54: R38         Related Party Transactions - Narrative (Details)    HTML     83K 
55: R39         Investments - Fair Value, Assets Measured on        HTML     61K 
                Recurring Basis (Details)                                        
56: R40         Investments - Schedules of Portfolio Composition    HTML    137K 
                by Geographic Region at Amortization Cost and Fair               
                Value (Details)                                                  
57: R41         Investments - Schedule of Portfolio Composition by  HTML    332K 
                Industry at Amortization Cost and Fair Value                     
                (Details)                                                        
58: R42         Forward Currency Contracts - Open Forward Foreign   HTML    120K 
                Currency Contract (Details)                                      
59: R43         Forward Currency Contracts - Schedule of Forward    HTML     53K 
                Currency Contract, Fair Value (Details)                          
60: R44         Forward Currency Contracts - Schedule of Realized   HTML     40K 
                and Unrealized Gain (Loss) on Forward Currency                   
                Contract (Details)                                               
61: R45         Forward Currency Contracts - Summary of Average     HTML     33K 
                Outstanding Daily Volume for Forward Currency                    
                Contract (Details)                                               
62: R46         Fair Value Measurements - Schedule of Fair Value,   HTML     75K 
                Assets and Liabilities Measured on Recurring Basis               
                (Details)                                                        
63: R47         Fair Value Measurements - Narrative (Details)       HTML     33K 
64: R48         Fair Value Measurements - Fair Value, Assets        HTML     84K 
                Measured on Recurring Basis, Unobservable Input                  
                Reconciliation (Details)                                         
65: R49         Fair Value Measurements - Fair Value Measurement    HTML    112K 
                Inputs and Valuation Techniques (Details)                        
66: R50         Fair Value Measurements - Schedule of Carrying      HTML     32K 
                Values and Estimated Fair Values of Debt                         
                Instruments (Details)                                            
67: R51         Borrowings - Narrative (Details)                    HTML     31K 
68: R52         Borrowings - 2018 Debt Securitization (Narrative)   HTML     87K 
                (Details)                                                        
69: R53         Borrowings - Schedule of Debt Securitization        HTML    112K 
                (Details)                                                        
70: R54         Borrowings - Schedule of Interest Rate and          HTML     65K 
                Interest Differential Analysis (Details)                         
71: R55         Borrowings - GCIC 2018 Debt Securitization          HTML     94K 
                (Narrative) (Details)                                            
72: R56         Borrowings - 2020 Debt Securitization (Narrative)   HTML     60K 
                (Details)                                                        
73: R57         Borrowings - SBA Debentures (Narrative) (Details)   HTML     45K 
74: R58         Borrowings - MS Credit Facility II (Narrative)      HTML     55K 
                (Details)                                                        
75: R59         Borrowings - Wells Fargo Credit Facility            HTML     48K 
                (Narrative) (Details)                                            
76: R60         Borrowings - DB Credit Facility (Narrative)         HTML     57K 
                (Details)                                                        
77: R61         Borrowings - JPM Credit Facility (Narrative)        HTML     70K 
                (Details)                                                        
78: R62         Borrowings - 2024 Notes (Narrative) (Details)       HTML     52K 
79: R63         Borrowings - 2026 Notes (Narrative) (Details)       HTML     52K 
80: R64         Borrowings - 2027 Notes (Narrative) (Details)       HTML     51K 
81: R65         Borrowings - Adviser Revolver (Narrative)           HTML     49K 
                (Details)                                                        
82: R66         Borrowings - Schedule of Maturities of Long-Term    HTML     71K 
                Debt (Details)                                                   
83: R67         Federal Income Tax Matters - Schedule of            HTML     31K 
                Reclassification Taxable Income (Details)                        
84: R68         Federal Income Tax Matters - Reconciliation of      HTML     53K 
                Taxable Income Increase (Decrease) in Net Assets                 
                from Operation (Details)                                         
85: R69         Federal Income Tax Matters - Schedule of Tax        HTML     32K 
                Character of Distributions Paid (Details)                        
86: R70         Federal Income Tax Matters - Schedule of            HTML     40K 
                Accumulated Earnings (Deficit) Book Basis, Income                
                Tax (Details)                                                    
87: R71         Federal Income Tax Matters - Narrative (Details)    HTML     51K 
88: R72         Commitments and Contingencies (Details)             HTML     33K 
89: R73         Financial Highlights - Schedule of Investment       HTML    138K 
                Company, Financial Highlights (Details)                          
90: R74         Earnings Per Share - Schedule of Earnings Per       HTML     57K 
                Share, Basic and Diluted (Details)                               
91: R75         Common Stock Transactions - Narrative (Details)     HTML     38K 
92: R76         Common Stock Transactions - Schedule of Stock       HTML     42K 
                Repurchase Program (Details)                                     
93: R77         Dividends and Distributions - Summary of Dividends  HTML     48K 
                Declarations and Distributions (Details)                         
94: R78         Subsequent Events - Narrative (Details)             HTML     46K 
97: XML         IDEA XML File -- Filing Summary                      XML    172K 
95: XML         XBRL Instance -- gbdc-20230930_htm                   XML  42.11M 
96: EXCEL       IDEA Workbook of Financial Report Info              XLSX   1.18M 
13: EX-101.CAL  XBRL Calculations -- gbdc-20230930_cal               XML    221K 
14: EX-101.DEF  XBRL Definitions -- gbdc-20230930_def                XML   1.42M 
15: EX-101.LAB  XBRL Labels -- gbdc-20230930_lab                     XML   2.58M 
16: EX-101.PRE  XBRL Presentations -- gbdc-20230930_pre              XML   1.71M 
12: EX-101.SCH  XBRL Schema -- gbdc-20230930                         XSD    347K 
98: JSON        XBRL Instance as JSON Data -- MetaLinks              732±  1.05M 
99: ZIP         XBRL Zipped Folder -- 0001476765-23-000077-xbrl      Zip   1.90M 


‘EX-99.1’   —   Miscellaneous Exhibit


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



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EXHIBIT 99.1

GOLUB CAPITAL BDC, INC.
(THE “COMPANY”)

INVESTOR PRIVACY NOTICE

Maintaining the confidentiality of the personal information of our current and prospective investors is one of our highest priorities. This notice sets forth the type of personal information we collect, how that information is used by us, and how we protect your personal information.
In this Investor Privacy Notice, “we”, “us” and “our” refers to the Company and GC Advisors LLC and its or their affiliates or delegates
HOW AND WHY WE COLLECT PERSONAL INFORMATION
1. Collection.
Personal information may be collected from investors in order to comply with legal and regulatory requirements. Information may be collected from any of the following sources:
a.From You: We collect information from investors when they enter into a subscription agreement with the Company. We may also collect information from investor questionnaires, W-9’s and other applications or forms that investors complete. This information may include items such as an investor’s name, address, e-mail address, social security number, birth date, annual income, net worth, marital status, and investment risk tolerance. If an investor indicates he or she has a spouse or partner, his/her personal and financial account information may also be requested. In order to establish the legitimacy of the subscribing entity, as well as capacity and authority of controlling person(s), we may request copies of organizational documents.
b.From Transactions: If an investor invests in the Company, we keep records relating to the investor’s interest in the Company.

c.From our Website: If investors visit GC Advisors’ website, we may collect the contact details and other information that investors provide directly to us and we may track the amount of time each investor spends on our site, the parts of our site visited and other technical information. We use this information to improve the functionality of our website.
2. Use of Personal Information
Investors’ personal information is collected and maintained by us so that we may fulfill our legal and regulatory requirements.
DISCLOSURE OF PERSONAL INFORMATION
We do not, and do not intend, to sell or disclose personal information about current or former investors to nonaffiliated third parties except as set forth below. If in the future this policy



changes investors will be notified and provided with an opportunity to opt out of such disclosure. We may share personal information of investors as follows:
a.We will reveal or share personal information where the law permits or requires it, such as for tax reporting purposes or pursuant to a court order, or to otherwise comply with applicable laws and regulations.
b.We may reveal or share personal information with our affiliates. Our affiliates include, for example, investment funds that are manage or over which GC Advisors or its affiliates have control.

c.We may reveal or share personal information with unaffiliated service providers such as brokers, fund administrators and transfer agents in connection with distributions or other transactions. An investor’s personal information may also be provided to attorneys, accountants or auditors in order to enable us to comply with legal and regulatory requirements.
PROTECTION OF YOUR PERSONAL INFORMATION
Our employees may, from time to time, have access to the personal information of investors in order to provide services to investors. All employees are subject to the terms of certain privacy policies and practices. We also maintain physical, electronic and procedural safeguards designed to protect nonpublic personal financial information.





4 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/15/24  Golub Capital BDC 3, Inc.         DEFM14A                1:8.8M                                   Toppan Merrill/FA
 4/15/24  GOLUB CAPITAL BDC, Inc.           424B3                  1:8.8M                                   Toppan Merrill/FA
 4/12/24  GOLUB CAPITAL BDC, Inc.           N-14 8C/A              9:9.6M                                   Toppan Merrill/FA
 2/23/24  GOLUB CAPITAL BDC, Inc.           N-14 8C                8:8.9M                                   Toppan Merrill/FA


28 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

10/10/23  GOLUB CAPITAL BDC, Inc.           8-K:1,9    10/06/23   12:583K                                   Toppan Merrill/FA
 8/07/23  GOLUB CAPITAL BDC, Inc.           10-Q        6/30/23   81:64M
 6/30/23  GOLUB CAPITAL BDC, Inc.           8-K:1,9     6/30/23   12:967K                                   Toppan Merrill/FA
 3/20/23  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9   3/17/23   11:1.4M                                   Toppan Merrill/FA
11/21/22  GOLUB CAPITAL BDC, Inc.           10-K        9/30/22   93:144M
 9/20/22  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9   9/16/22   11:211K                                   Toppan Merrill/FA
 9/08/22  GOLUB CAPITAL BDC, Inc.           8-K:1,9     9/02/22   11:1.6M                                   Toppan Merrill/FA
 6/16/22  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9   6/15/22    2:42K
12/21/21  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9  12/17/21    2:37K                                    Toppan Merrill/FA
12/14/21  GOLUB CAPITAL BDC, Inc.           8-K/A:9    11/19/21    2:1.2M                                   Toppan Merrill/FA
11/24/21  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9  11/19/21    3:1.1M                                   Toppan Merrill/FA
10/18/21  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9  10/14/21    2:43K                                    Toppan Merrill/FA
 8/03/21  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9   8/03/21    3:174K                                   Toppan Merrill/FA
 2/24/21  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9   2/24/21    3:188K                                   Toppan Merrill/FA
 2/12/21  GOLUB CAPITAL BDC, Inc.           8-K:1,2,7,9 2/11/21    3:1M                                     Toppan Merrill/FA
 2/08/21  GOLUB CAPITAL BDC, Inc.           10-Q       12/31/20    6:17M
10/05/20  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9  10/02/20    4:683K                                   Toppan Merrill/FA
 2/10/20  GOLUB CAPITAL BDC, Inc.           10-Q       12/31/19    6:16M
10/31/19  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9  10/31/19    2:72K
 9/04/19  GOLUB CAPITAL BDC, Inc.           8-K:5,7,9   9/04/19    3:83K
 6/25/19  GOLUB CAPITAL BDC, Inc.           8-K:1,9     6/21/19    2:105K
12/19/18  Golub Capital Investment Corp.    8-K:1,2,9  12/13/18    7:3.5M                                   Toppan Merrill/FA
11/21/18  GOLUB CAPITAL BDC, Inc.           8-K:1,2,9  11/16/18    5:3.3M                                   Toppan Merrill/FA
 8/26/11  Golub Capital BDC, Inc.           N-2/A       8/25/11   10:9.5M                                   Toppan Merrill/FA
 6/07/11  Golub Capital BDC, Inc.           N-2                    8:8.2M                                   Toppan Merrill/FA
 5/05/11  Golub Capital BDC, Inc.           8-K:1,9     5/03/11    2:47K                                    Toppan Merrill/FA
 4/12/10  GOLUB CAPITAL BDC, Inc.           N-2/A                  4:794K                                   Toppan Merrill/FA
 3/25/10  GOLUB CAPITAL BDC, Inc.           N-2/A                 13:1M                                     Toppan Merrill/FA
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Filing Submission 0001476765-23-000077   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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