BROYHILL MARKHAM HUNT 4

4 · Capitala Finance Corp. · Filed Aug 15, 2017

Form 4

Period: 2014-05-16

Director

Transactions

Purchase
Common Stock
2014-05-16$18.19/sh+1,098$19,974→ 1,098 total(indirect: By Trust)
Purchase
Common Stock
2017-08-11$9.00/sh+500$4,499→ 1,598 total(indirect: By Trust)
Purchase
Common Stock
2017-08-11$9.00/sh+500$4,499→ 1,324 total(indirect: By Trust)
Purchase
Common Stock
2017-08-11$9.01/sh+2,500$22,525→ 81,038 total
Purchase
Common Stock
2017-08-14$9.20/sh+500$4,600→ 81,538 total

Holdings

Footnotes (2)

[F1]As of August 14, 2017, Mr. Broyhill holds Awards with respect to 37,357 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

1 file