Filing Details

Accession Number:
0001209191-13-054011
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2013-11-25 17:50:13
Reporting Period:
2013-11-20
Filing Date:
2013-11-25
Accepted Time:
2013-11-25 17:50:13
Original Submission Date:
2013-11-22
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1571329 Capitala Finance Corp. CPTA () 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1587346 Iii B Joseph Alala C/O Capitala Finance Corp.
4201 Congress Street, Suite 360
Charlotte NC 28209
See Remarks Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-20 9,400 $19.00 35,404 No 4 P Indirect via Capitala Private Investments LLC
Common Stock Acquisiton 2013-11-21 1,100 $19.00 36,504 No 4 P Indirect via Capitala Private Investments LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect via Capitala Private Investments LLC
No 4 P Indirect via Capitala Private Investments LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 320,916 Direct
Common Stock 351,865 Indirect via Capitala Restricted Shares I LLC
Common Stock 2,705 Indirect via Capitala Transaction Corp.
Common Stock 972 Indirect via CapitalSouth Corporation
Common Stock 100 Indirect via Capitala Investment Advisors, LLC