5//SEC Filing
Capitala Finance Corp. 5
Accession 0001144204-17-007202
CIK 0001571329operating
Filed
Feb 9, 7:00 PM ET
Accepted
Feb 10, 6:07 AM ET
Size
19.4 KB
Accession
0001144204-17-007202
Insider Transaction Report
Form 5
BROYHILL MARKHAM HUNT
Director
Transactions
- Purchase
Common Stock
2015-06-22$16.27/sh+500$8,136→ 78,538 total - Purchase
Common Stock
2015-06-22$16.29/sh+232$3,779→ 232 total(indirect: By Spouse) - Purchase
Common Stock
2015-06-24$16.18/sh+6,000$97,069→ 19,580 total(indirect: By Foundation) - Purchase
Common Stock
2015-06-24$16.18/sh+2,000$32,356→ 2,000 total(indirect: via Broyhill Memorial Park Inc.) - Purchase
Common Stock
2015-06-22$16.37/sh+68$1,113→ 300 total(indirect: By Spouse) - Purchase
Common Stock
2014-05-16$18.19/sh+824$14,990→ 824 total(indirect: By Trust)
Holdings
- 78,455(indirect: via BMC Fund, Inc.)
Common Stock
- 37,764(indirect: via Broyhill Investments, Inc.)
Common Stock
- 134,857(indirect: via Claron Investments, LP)
Common Stock
- 37,357
Awards
→ Common Stock, par value $0.01 per share (37,357 underlying) - 6,993(indirect: By Partnership)
Common Stock
Footnotes (3)
- [F1]In a Form 4 filed on December 1, 2014, Mr. Broyhill inadvertently reported an indirect purchase of 1,000 shares of Capitala Finance Corp.'s (the "Issuer") common stock by Broyhill Investments, Inc. on November 26, 2014. This purchase should have been reported as a direct purchase by Mr. Broyhill, which is reflected in this Form 5.
- [F2]As of the date of this report, Mr. Broyhill holds unvested Awards with respect to 37,357 shares of the Issuer's 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: approximately 43% on September 25, 2017 and approximately 57% 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.
- [F3]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 plans 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 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
- 5
- Filed
- Feb 9, 7:00 PM ET
- Accepted
- Feb 10, 6:07 AM ET
- Size
- 19.4 KB