4//SEC Filing
Capitala Finance Corp. 4
Accession 0001144204-15-065699
CIK 0001571329operating
Filed
Nov 15, 7:00 PM ET
Accepted
Nov 16, 11:39 AM ET
Size
7.4 KB
Accession
0001144204-15-065699
Insider Transaction Report
Form 4
Arnall Stephen A.
Chief Financial Officer
Transactions
- Purchase
Common Stock
2015-11-13$13.50/sh+750$10,125→ 8,785 total
Holdings
- 14,000
Awards
→ Common Stock, par value $0.01 per share (14,000 underlying)
Footnotes (2)
- [F1]As of November 13, 2015, Mr. Arnall holds Awards with respect to 14,000 shares of Capitala Finance Corp.'s (the "Issuer") common stock held by Capitala Restricted Shares I, LLC ("CRS"), which is controlled by Joseph B. Alala, III and is an affiliate of Capitala Investment Advisors, LLC, pursuant to CRS's Amended and Restated 2015 Equity Compensation Plan, dated September 18, 2015 (the "Plan"). The Plan was previously approved by the Issuer's Board of Directors. Outstanding Awards under the Plan are scheduled to vest as follows: 10% on September 25, 2016, 30% on September 25, 2017 and 40% on September 25, 2018. Upon settlement, the additional 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 letters to Babson Capital Management LLC (pub. avail. Dec. 14, 2006) and Carlyle GMS Finance, Inc. (pub. avail. Oct. 8, 2015), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a registered closed-end investment company or a business development company regulated under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such registered closed-end investment company or business development 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
- Nov 15, 7:00 PM ET
- Accepted
- Nov 16, 11:39 AM ET
- Size
- 7.4 KB