0001144204-17-033574.txt : 20170622 0001144204-17-033574.hdr.sgml : 20170622 20170622140949 ACCESSION NUMBER: 0001144204-17-033574 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170620 FILED AS OF DATE: 20170622 DATE AS OF CHANGE: 20170622 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: Corless R Jon CENTRAL INDEX KEY: 0001379140 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00735 FILM NUMBER: 17924807 MAIL ADDRESS: STREET 1: C/O KOHLBERG CAPITAL CORPORATION STREET 2: 295 MADISON AVENUE, 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 v469474_4.xml OWNERSHIP DOCUMENT X0306 4 2017-06-20 0 0001372807 KCAP Financial, Inc. KCAP 0001379140 Corless R Jon C/O KCAP FINANCIAL INC. 295 MADISON AVENUE, 6TH FLOOR NEW YORK NY 10017 0 1 0 0 Chief Investment Officer Common Stock 2017-06-20 4 F 0 3141 3.40 D 97882 D /s/ R. Jon Corless 2017-06-22