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