4//SEC Filing
McGlinn John F. 4
Accession 0001144204-18-032766
CIK 0001571329other
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 9:18 AM ET
Size
8.5 KB
Accession
0001144204-18-032766
Insider Transaction Report
Form 4
McGlinn John F.
COO, Secretary and Treasurer
Transactions
- Exercise/Conversion
Awards
2018-06-01−55,388→ 0 total→ Common Stock, par value $0.01 per share (55,388 underlying) - Exercise/Conversion
Common Stock
2018-06-01+55,388→ 209,414 total
Footnotes (2)
- [F1]Mr. McGlinn previously held Awards with respect to 55,388 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 June 01, 2018, CRS distributed to Mr. McGlinn 55,388 shares of the Issuer's common stock in accordance with the Plan. The Plan and this distribution were previously approved by the Issuer's Board of Directors. There are no further remaining Awards scheduled to vest under the Plan.
- [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 0001587349
Filing Metadata
- Form type
- 4
- Filed
- Jun 4, 8:00 PM ET
- Accepted
- Jun 5, 9:18 AM ET
- Size
- 8.5 KB