4//SEC Filing
Wheelahan Richard 4
Accession 0001144204-17-043500
CIK 0001571329other
Filed
Aug 14, 8:00 PM ET
Accepted
Aug 15, 4:14 PM ET
Size
7.3 KB
Accession
0001144204-17-043500
Insider Transaction Report
Form 4
Wheelahan Richard
Chief Compliance Officer
Transactions
- Purchase
Common Stock
2017-08-11$8.99/sh+1,111$9,989→ 13,698 total
Holdings
- 26,250
Awards
→ Common Stock, par value $0.01 per share (26,250 underlying)
Footnotes (2)
- [F1]As of August 11, 2017, Mr. Wheelahan holds Awards with respect to 26,250 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 2015 Amended and Restated Equity Compensation Plan, dated September 18, 2015 (the "Plan"). The Plan was previously approved by the Issuer's Board of Directors. Awards under the Plan are scheduled to vest as follows: 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 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 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 typeother
Related Parties
1- filerCIK 0001587337
Filing Metadata
- Form type
- 4
- Filed
- Aug 14, 8:00 PM ET
- Accepted
- Aug 15, 4:14 PM ET
- Size
- 7.3 KB