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