Filing Details

Accession Number:
0001144204-15-032695
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-05-20 17:59:13
Reporting Period:
2015-05-20
Filing Date:
2015-05-20
Accepted Time:
2015-05-20 17:59:13
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
1587337 Richard Wheelahan C/O Capitala Finance Corp.
4201 Congress Street, Suite 360
Charlotte NC 28209
Chief Compliance Officer No 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 2015-05-20 1,465 $17.11 5,837 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock, Par Value $0.01 Per Share Awards $0.00 27,000 27,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
27,000 27,000 Direct
Footnotes
  1. On February 26, 2015, Mr. Wheelahan was granted Awards with respect to 27,000 shares of Capitala Finance Corp.'s (the "Issuer") common stock held by Capitala Restricted Shares I, LLC (the "CRS"), which is controlled by Joseph B. Alala, III and is an affiliate of Capitala Investment Advisors, LLC, pursuant to CRS's 2015 Equity Compensation Plan, dated February 26, 2015. Shares of the Issuer's common stock underlying the Awards are scheduled to vest in installments of 10% on September 25, 2015, 10% on September 25, 2016, 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.
  2. Pursuant to the SEC staff no-action letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plans sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company regulated under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment 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.