0001144204-15-065699.txt : 20151116 0001144204-15-065699.hdr.sgml : 20151116 20151116113941 ACCESSION NUMBER: 0001144204-15-065699 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151113 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Capitala Finance Corp. CENTRAL INDEX KEY: 0001571329 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4201 CONGRESS STREET, SUITE 360 CITY: CHARLOTTE STATE: NC ZIP: 28209 BUSINESS PHONE: 704-376-5502 MAIL ADDRESS: STREET 1: 4201 CONGRESS STREET, SUITE 360 CITY: CHARLOTTE STATE: NC ZIP: 28209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arnall Stephen A. CENTRAL INDEX KEY: 0001514104 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01022 FILM NUMBER: 151232670 MAIL ADDRESS: STREET 1: C/O PARK STERLING BANK STREET 2: 1043 EAST MOREHEAD STREET, SUITE 201 CITY: CHARLOTTE STATE: NC ZIP: 28204 4 1 v424842_4.xml FORM 4 X0306 4 2015-11-13 0 0001571329 Capitala Finance Corp. CPTA 0001514104 Arnall Stephen A. C/O CAPITALA FINANCE CORP. 4201 CONGRESS STREET, SUITE 360 CHARLOTTE NC 28209 0 1 0 0 Chief Financial Officer Common Stock 2015-11-13 4 P 0 750 13.4999 A 8785 D Awards Common Stock, par value $0.01 per share 14000 14000 D As of November 13, 2015, Mr. Arnall holds Awards with respect to 14,000 shares of Capitala Finance Corp.'s (the "Issuer") common stock held by Capitala Restricted Shares I, LLC ("CRS"), which is controlled by Joseph B. Alala, III and is an affiliate of Capitala Investment Advisors, LLC, pursuant to CRS's Amended and Restated 2015 Equity Compensation Plan, dated September 18, 2015 (the "Plan"). The Plan was previously approved by the Issuer's Board of Directors. Outstanding Awards under the Plan are scheduled to vest as follows: 10% on September 25, 2016, 30% on September 25, 2017 and 40% on September 25, 2018. Upon settlement, the additional Awards will become payable on a one-for-one basis in shares of the Issuer's common stock. Pursuant to the SEC staff no-action letters to Babson Capital Management LLC (pub. avail. Dec. 14, 2006) and Carlyle GMS Finance, Inc. (pub. avail. Oct. 8, 2015), an employee benefit plan sponsored by an investment adviser (or an affiliated person of an investment adviser) to a registered closed-end investment company or a business development company regulated under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such registered closed-end investment company or business development 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. /s/ Stephen A. Arnall 2015-11-16