0001144204-13-046390.txt : 20130815 0001144204-13-046390.hdr.sgml : 20130815 20130815181352 ACCESSION NUMBER: 0001144204-13-046390 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130815 FILED AS OF DATE: 20130815 DATE AS OF CHANGE: 20130815 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KCAP Financial, Inc. CENTRAL INDEX KEY: 0001372807 IRS NUMBER: 205348000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 295 MADISON AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-455-8300 MAIL ADDRESS: STREET 1: 295 MADISON AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: Kohlberg Capital CORP DATE OF NAME CHANGE: 20061211 FORMER COMPANY: FORMER CONFORMED NAME: Kohlberg Capital, LLC DATE OF NAME CHANGE: 20060815 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JACOBI C MICHAEL CENTRAL INDEX KEY: 0001194836 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00735 FILM NUMBER: 131043395 MAIL ADDRESS: STREET 1: C/O KATY INDUSTRIES INC STREET 2: 765 STRAITS TURNPIKE STE 2000 CITY: MIDDLEBURY STATE: CT ZIP: 06762 4 1 v353159_4.xml OWNERSHIP DOCUMENT X0306 4 2013-08-15 0 0001372807 KCAP Financial, Inc. KCAP 0001194836 JACOBI C MICHAEL 358 TRANQUILITY ROAD MIDDLEBURY CT 06762 1 0 0 0 Common Stock 2013-08-15 4 A 0 1400 8.75 A 33567 D Common Stock 2013-08-15 4 A 0 100 8.749 A 33667 D /s/ Edward U. Gilpin, as attorney-in-fact 2013-08-15