C1 Fund Inc. SEC Filings

Insider transactions at C1 Fund Inc. (CFND): Director Reed Scott A. reported multiple transactions in August 2025 affecting common stock holdings. The filings show purchases of 30,500 shares on 08/08/2025 at $10.00, 12,000 shares on 08/18/2025 at $8.54, and 7,500 shares on 08/20/2025 at $8.23, each held indirectly via the Reed Family 2015 Trust. A transaction dated 08/22/2025 shows 10,000 shares with a reported price of $8.46 and an ownership entry of 10,000. The form is signed by Scott Reed on 09/08/2025.

The filing is an SEC Form 3 reporting an initial statement of beneficial ownership for C1 Fund Inc. (CFND) by reporting person Scott A. Reed of Palo Alto, CA. The event date triggering the filing is 08/06/2025 and the form was signed on 09/08/2025. Mr. Reed is disclosed as a Director of the issuer and filed the form as a single reporting person. The report shows 0 shares of Common Stock beneficially owned and discloses no derivative securities. The filing therefore records the director relationship and confirms no direct or indirect ownership of the issuer's common stock at the time of the statement.

C1 Fund Inc. (CFND) director and CEO Najamul Hasan Kidwai reported a Form 4 showing a reduction in beneficial ownership tied to the issuer's sponsor. The filing discloses that on 09/05/2025 31,141 shares of common stock were disposed (transaction code J(1)) at a price of $0, and the reporting person now beneficially owns 207,607 shares indirectly via C1 Group LLC. The filing explains that 100,000 shares held by C1 Group LLC were cancelled because underwriters did not exercise the over-allotment option in the IPO prospectus. The Form 4 was signed by the reporting person on 09/05/2025.

Michael Xu, a director of C1 Fund Inc. (CFND), reported an indirect reduction in his beneficial ownership on 09/05/2025 through the sponsor C1 Group LLC. The filing shows a transaction coded J(1) disposing of 27,637 shares of common stock at a reported price of $0, reflecting a cancellation tied to the issuer's IPO mechanics. Following the transaction, the Reporting Person beneficially owns 184,245 shares indirectly via C1 Group LLC. The explanation states that 100,000 shares previously held by C1 Group LLC were cancelled because the underwriters did not exercise the over‑allotment option described in the IPO prospectus; the reported numbers reflect that cancellation and the resulting indirect holdings.

Michael Lempres, a director of C1 Fund Inc. (CFND), reported a change in beneficial ownership dated 09/05/2025. The Form 4 shows 27,637 shares of common stock were disposed of under code J(1) at a reported price of $0, and after the transaction the reporting person beneficially owns 184,245 shares indirectly through C1 Group LLC. The filing explains 100,000 shares held by C1 Group LLC were cancelled because underwriters did not exercise the over-allotment option in the issuer's IPO prospectus.

David Hytha, Chief Financial Officer of C1 Fund Inc. (CFND), reported changes in his beneficial ownership on Form 4. The filing shows non-derivative transactions dated 09/05/2025 resulting in disposals: 4,672 shares reported as disposed (code J) and an additional 5,004 shares disposed. After the reported transactions, the filing shows the Reporting Person beneficially owns 31,149 shares indirectly through C1 Group LLC. The explanation states that on September 5, 2025, 100,000 shares of common stock held by C1 Group LLC were cancelled because underwriters did not exercise their over-allotment option, and the reported numbers reflect indirect ownership through the sponsor.

C1 Group LLC reported a Form 4 disclosing a change in beneficial ownership of C1 Fund Inc. (CFND). On 09/05/2025 the reporting person shows a J(1) coded transaction cancelling 100,000 shares of common stock at a price of $0 because underwriters did not exercise the over-allotment option described in the issuer's IPO prospectus. After the cancellation, the reporting person beneficially owns 666,666 shares, held directly.

The Form 4 lists the reporting entity as C1 Group LLC with an address in Palo Alto and indicates the filer is a Director and a 10% owner. The filing was signed by David Hytha, Chief Financial Officer, on 09/05/2025.