4//SEC Filing
BROYHILL MARKHAM HUNT 4
Accession 0001144204-18-032768
CIK 0001571329other
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 9:19 AM ET
Size
14.7 KB
Accession
0001144204-18-032768
Insider Transaction Report
Form 4
BROYHILL MARKHAM HUNT
Director
Transactions
- Exercise/Conversion
Common Stock
2018-06-01+21,346.6→ 118,895 total - Exercise/Conversion
Awards
2018-06-01−21,346.6→ 0 total→ Common Stock, par value $0.01 per share (21,346.6 underlying)
Holdings
- 1,598(indirect: By Trust)
Common Stock
- 134,857(indirect: via Claron Investments, LP)
Common Stock
- 37,764(indirect: via Broyhill Investments, Inc.)
Common Stock
- 19,580(indirect: By Foundation)
Common Stock
- 1,324(indirect: By Trust)
Common Stock
- 2,000(indirect: via Broyhill Memorial Park, Inc.)
Common Stock
- 78,455(indirect: via BMC Fund, Inc.)
Common Stock
- 6,993(indirect: By Partnership)
Common Stock
- 300(indirect: By Spouse)
Common Stock
Footnotes (2)
- [F1]Mr. Broyhill previously held Awards with respect to 21,346.6 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. Broyhill 21,346.6 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 0001230756
Filing Metadata
- Form type
- 4
- Filed
- Jun 4, 8:00 PM ET
- Accepted
- Jun 5, 9:19 AM ET
- Size
- 14.7 KB