4//SEC Filing
Capitala Finance Corp. 4
Accession 0001144204-15-032695
CIK 0001571329operating
Filed
May 19, 8:00 PM ET
Accepted
May 20, 5:59 PM ET
Size
7.3 KB
Accession
0001144204-15-032695
Insider Transaction Report
Form 4
Wheelahan Richard
Chief Compliance Officer
Transactions
- Purchase
Common Stock
2015-05-20$17.11/sh+1,465$25,062→ 5,837 total
Holdings
- 27,000
Awards
→ Common Stock, par value $0.01 per share (27,000 underlying)
Footnotes (2)
- [F1]On February 26, 2015, Mr. Wheelahan was granted Awards with respect to 27,000 shares of Capitala Finance Corp.'s (the "Issuer") common stock held by Capitala Restricted Shares I, LLC (the "CRS"), which is controlled by Joseph B. Alala, III and is an affiliate of Capitala Investment Advisors, LLC, pursuant to CRS's 2015 Equity Compensation Plan, dated February 26, 2015. Shares of the Issuer's common stock underlying the Awards are scheduled to vest in installments of 10% on September 25, 2015, 10% on September 25, 2016, 30% on September 25, 2017 and 40% on September 25, 2018. Upon settlement, the Awards will become payable on a one-for-one basis in shares of the Issuer's common stock.
- [F2]Pursuant to the SEC staff no-action letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plans sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company regulated under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment company is considered an "employee benefit plan sponsored by the issuer" for the purposes of Rule 16b-3 under the Securities Exchange Act of 1934, as amended.
Documents
Issuer
Capitala Finance Corp.
CIK 0001571329
Entity typeoperating
Related Parties
1- filerCIK 0001571329
Filing Metadata
- Form type
- 4
- Filed
- May 19, 8:00 PM ET
- Accepted
- May 20, 5:59 PM ET
- Size
- 7.3 KB