# EDGAR Filing Document

**Accession Number:** 0001571329
**File Stem:** 0001193805-23-000062
**Filing Date:** 2023-1
**Character Count:** 8634
**Document Hash:** cbd3e3f3bce85d961666808d4b7bd2a5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193805-23-000062.hdr.sgml**: 20230120

**ACCESSION NUMBER**: 0001193805-23-000062

**CONFORMED SUBMISSION TYPE**: SC 13D/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230120

**DATE AS OF CHANGE**: 20230119

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Logan Ridge Finance Corp.
- **CENTRAL INDEX KEY:** 0001571329
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-88141
- **FILM NUMBER:** 23538378

**BUSINESS ADDRESS:**
- **STREET 1:** 650 MADISON AVENUE
- **STREET 2:** 23RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 212-891-2880

**MAIL ADDRESS:**
- **STREET 1:** 650 MADISON AVENUE
- **STREET 2:** 23RD FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Capitala Finance Corp.
- **DATE OF NAME CHANGE:** 20130306
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Frischer Charles L
- **CENTRAL INDEX KEY:** 0001402258

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A

**MAIL ADDRESS:**
- **STREET 1:** 3156 EAST LAURELHURST DRIVE, NE
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98105

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Frischer Charles
- **DATE OF NAME CHANGE:** 20070607

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

_______________________

**SCHEDULE 13D**

Under the Securities Exchange Act of 1934

(Amendment No. 1)

_______________________

**<u>LOGAN RIDGE FINANCE CORPORATION</u>**

(Name of Issuer)

<u>Common Stock, $0.01 par value per share</u>

(Title of Class of Securities)

<u>541098109</u>

(CUSIP Number of Class

of Securities)

_______________________

Charles L. Frischer

3156 East Laurelhurst Drive

Seattle, WA 98105

(917) 528-1465

______________________________________________________________________

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

<u>January 17, 2023</u>

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box ☐.

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

\*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

(continued on next page(s)) Page 1 of 5

CUSIP No. <u>541098109</u> 13D Page 2 of 5

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| | | | |
|:---|:---|:---|:---|
| 1 | Name of Reporting Person<br> S.S. or I.R.S. Identification No. of Above Person<br>Charles Frischer<br> I.R.S. I.D. No. | Name of Reporting Person<br> S.S. or I.R.S. Identification No. of Above Person<br>Charles Frischer<br> I.R.S. I.D. No. |  |
| 2 | Check the Appropriate Box if a Member of a Group \* | Check the Appropriate Box if a Member of a Group \* | (a) ☐<br> (b) ☒<br>|
| 3 | SEC Use Only | SEC Use Only |  |
| 4 | Sources of Funds \*<br>PF | Sources of Funds \*<br>PF |  |
| 5 | <br> Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(e) of 2(f) | <br> Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(e) of 2(f) | ☐ |
| 6 | Citizenship or Place of Organization<br>USA | Citizenship or Place of Organization<br>USA |  |
| <br> Number of Shares Beneficially Owned<br> by Each Reporting<br> Person With | 7 | Sole Voting Power<br>176,733 |  |
| <br> Number of Shares Beneficially Owned<br> by Each Reporting<br> Person With | 8 | Shared Voting Power<br>- 0 - |  |
| <br> Number of Shares Beneficially Owned<br> by Each Reporting<br> Person With | 9<br>| Sole Dispositive Power<br>176,733 |  |
| <br> Number of Shares Beneficially Owned<br> by Each Reporting<br> Person With | 10<br>| Shared Dispositive Power<br>- 0 - |  |
| 11<br>| Aggregate Amount Beneficially Owned by Each Reporting Person<br>176,733 | Aggregate Amount Beneficially Owned by Each Reporting Person<br>176,733 |  |
| 12 | <br> Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares\* | <br> Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares\* | ☐ |
| 13<br>| Percent of Class Represented by Amount in Row (11)<br>6.5% | Percent of Class Represented by Amount in Row (11)<br>6.5% |  |
| 14 | <br> Type of Reporting Person\*<br>IN | <br> Type of Reporting Person\*<br>IN |  |

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\*SEE INSTRUCTIONS BEFORE FILLING OUT!

CUSIP No. <u>541098109</u> 13D Page 3 of 5

This Amendment No. 1 to Schedule 13D (this "Amendment") amends certain information contained in the Schedule 13D filed by Charles Frischer on December 2, 2022, with respect to his interests in the Common Stock, par value $0.01 per share (the "Shares") of Logan Ridge Finance Corporation, a Maryland corporation (the "Issuer") (the "13D"). Capitalized terms used but not defined herein have the meanings ascribed to them in the 13D.

**Item 3. Source and Amount of Funds of Other Consideration.**

Item 3 is amended by adding the following:

Charles Frischer purchased 31,400 Shares in the aggregate from December 6, 2022 through January 18, 2023 for an aggregate purchase price of $681,542.65. Mr. Frischer used his personal funds to acquire these Shares.

**Item 5. Interest of Securities of the Issuer.**

Item 5 is amended by adding the following:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) and (b) <u>Beneficial ownership</u>

As of the date of this Amendment No. 1 to Schedule 13D, Mr. Frischer directly or through his IRA owns 176,333 Shares representing approximately 6.5% of the total outstanding Shares. The percentages set forth above and on the cover pages hereto represent the percentage of the outstanding Shares based on a total of 2,711,068 Shares outstanding as of November 8, 2022, which amount is derived from amount reported in the Issuer's Quarterly Report on Form 10-Q for the period ended September 30, 2022.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c) <u>Transactions during the past sixty days</u>

Information with respect to the Reporting Person's transactions effected during the past 60 days are set forth on Annex A hereto.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) <u>Right to receive dividends or proceeds</u>

Not applicable.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(e) <u>Beneficial ownership of less than five percent</u>

Not applicable.

CUSIP No. <u>541098109</u> 13D Page 4 of 5

<u>Signature</u>

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Pursuant to Rule 13d-1(k), this Schedule 13D is filed on behalf of the Reporting Person.

Dated as of: January 19, 2023

---

| |
|:---|
| /s/ Charles Frischer |
| Charles Frischer |

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**Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001).**

CUSIP No. <u>541098109</u> 13D Page 5 of 5

ANNEX A

Schedule of Transactions in Common Shares of the Issuer

During the Past 60 Days

---

| | | |
|:---|:---|:---|
| <u>Date of Transaction</u> | <u>Quantity Purchased</u> | <u>Price per Share</u> |
| 1/18/2023 | 400 | 22.20 |
| 1/17/2023 | 4200 | 22.20 |
| 1/06/2023 | 193 | 22.50 |
| 12/29/2022 | 779 | 21.97 |
| 12/28/2022 | 4202 | 21.92 |
| 12/27/2022 | 2326 | 21.98 |
| 12/23/2022 | 300 | 22.20 |
| 12/21/2022 | 200 | 22.35 |
| 12/20/2022 | 1224 | 22.04 |
| 12/15/2022 | 1076 | 22.24 |
| 12/14/2022 | 100 | 22.30 |
| 12/13/2022 | 700 | 22.25 |
| 12/09/2022 | 4300 | 21.90 |
| 12/08/2022 | 800 | 21.51 |
| 12/07/2022 | 1200 | 21.29 |
| 12/06/2022 | 9400 | 21.06 |

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&nbsp;&nbsp;&nbsp;&nbsp;(1) All purchases were effected through open market or privately negotiated transactions.