4//SEC Filing
Wheelahan Richard 4
Accession 0001144204-17-049532
CIK 0001571329other
Filed
Sep 24, 8:00 PM ET
Accepted
Sep 25, 6:03 PM ET
Size
11.1 KB
Accession
0001144204-17-049532
Insider Transaction Report
Form 4
Wheelahan Richard
Chief Compliance Officer
Transactions
- Exercise/Conversion
Awards
2017-09-25−2,250→ 0 total→ Common Stock, par value $0.01 per share (2,250 underlying) - Exercise/Conversion
Common Stock
2017-09-25+2,250→ 15,948 total - Disposition to Issuer
Awards
2017-09-24−24,000→ 2,250 total→ Common Stock, par value $0.01 per share (24,000 underlying)
Footnotes (3)
- [F1]Mr. Wheelahan previously held 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"). On September 24, 2017, Mr. Wheelahan voluntarily forfeited Awards relating to 24,000 shares of the Issuer's common stock. The Plan and such forfeiture were previously approved by the Issuer's Board of Directors.
- [F2]Immediately following his forfeiture of Awards with respect to 24,000 shares of the Issuer's common stock, Mr. Wheelahan held Awards with respect to 2,250 shares of the Issuer's common stock. On September 25, 2017, CRS distributed to Mr. Wheelahan 2,250 shares of the Issuer's common stock in accordance with the vesting schedule under the Plan. The Plan and such acquisition were previously approved by the Issuer's Board of Directors.
- [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 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
- Sep 24, 8:00 PM ET
- Accepted
- Sep 25, 6:03 PM ET
- Size
- 11.1 KB