Annual report
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X UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , DC 20549 Form 10 - K ( Mark One ) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER : 814-00813 OFS Capital Corporation ( EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER ) 46-1339639 Delaware ( State or jurisdiction of incorporation or organization ) 10 S. Wacker Drive , Suite 2500 Chicago , Illinois ( Address of principal executive offices ) Title of each class Common Stock , $ 0.01 par value per share 6.25 % Notes due 2023 6.375 % Notes due 2025 REGISTRANT'S TELEPHONE NUMBER , INCLUDING AREA CODE : ( 847 ) 734-2000 SECURITIES REGISTERED PURSUANT TO SECTION 12 ( b ) OF THE ACT : Name of each exchange on which registered The Nasdaq Global Select Market The Nasdaq Global Select Market The Nasdaq Global Select Market The Nasdaq Global Select Market The Nasdaq Global Select Market 6.50 % Notes due 2025 5.95 % Notes due 2026 ( I.R.S. Employer Identification No. ) Trading Symbol ( s ) OFS OFSSG OFSSL OFSSZ OFSSI 60606 ( Zip Code ) SECURITIES REGISTERED PURSUANT TO SECTION 12 ( g ) OF THE ACT : None No X No X Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . YES Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . YES " Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter periods as the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . YES X NO " Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , or a smaller reporting company . See the definitions of " large accelerated filer , ” “ accelerated filer , ” “ smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . ( Check one ) : Large accelerated filer Accelerated filer Non - accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . ¨ Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C.7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . The aggregate market value of the registrant's voting shares of common stock held by non - affiliates of the registrant as of June 30 , 2020 , was approximately $ 47.2 million based on $ 4.52 per share , the last reported sale price of the shares of common stock on the Nasdaq Global Select Market . For the purpose of calculating this amount only , shares held by certain stockholders and by directors and executive officers of the registrant have been excluded . On March 4 , 2021 , there were 13,408,859 shares outstanding of the Registrant's common stock , $ 0.01 par value . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) YES DOCUMENTS INCORPORATED BY REFERENCE NO X Portions of the registrant's definitive Proxy Statement relating to the registrant's 2021 Annual Meeting of Stockholders , to be filed pursuant to Regulation 14A with the Securities and Exchange Commission , are incorporated by reference in Part III of this Annual Report on Form 10 - K as indicated herein .