4//SEC Filing
Capitala Finance Corp. 4
Accession 0001144204-16-087895
CIK 0001571329operating
Filed
Mar 13, 8:00 PM ET
Accepted
Mar 14, 5:18 PM ET
Size
7.5 KB
Accession
0001144204-16-087895
Insider Transaction Report
Form 4
McGlinn John F.
COO, Secretary and Treasurer
Transactions
- Purchase
Common Stock
2016-03-14$11.40/sh+2,190$24,966→ 94,194 total
Holdings
- 110,776
Awards
→ Common Stock, par value $0.01 per share (110,776 underlying)
Footnotes (2)
- [F1]As of the date of this report, Mr. McGlinn holds unvested Awards with respect to 110,776 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. Unvested 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 unvested 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
- Mar 13, 8:00 PM ET
- Accepted
- Mar 14, 5:18 PM ET
- Size
- 7.5 KB