0001144204-17-043515.txt : 20170815 0001144204-17-043515.hdr.sgml : 20170815 20170815161817 ACCESSION NUMBER: 0001144204-17-043515 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140516 FILED AS OF DATE: 20170815 DATE AS OF CHANGE: 20170815 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROYHILL MARKHAM HUNT CENTRAL INDEX KEY: 0001230756 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01022 FILM NUMBER: 171034115 MAIL ADDRESS: STREET 1: P O BOX 500 CITY: LENOIR STATE: NC ZIP: 27113 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 4 1 v473375_4.xml OWNERSHIP DOCUMENT X0306 4 2014-05-16 0 0001571329 Capitala Finance Corp. CPTA 0001230756 BROYHILL MARKHAM HUNT C/O CAPITALA FINANCE CORP 4201 CONGRESS STREET, SUITE 360 CHARLOTTE NC 28209 1 0 0 0 Common Stock 2014-05-16 4 P 0 1098 18.1914 A 1098 I via Margaret Christian Broyhill Irrevocable Trust Common Stock 2017-08-11 4 P 0 500 8.9981 A 1598 I via Margaret Christian Broyhill Irrevocable Trust Common Stock 2017-08-11 4 P 0 500 8.9981 A 1324 I via Paul H. Broyhill II Irrevocable Trust Common Stock 2017-08-11 4 P 0 2500 9.0099 A 81038 D Common Stock 2017-08-14 4 P 0 500 9.20 A 81538 D Common Stock 300 I via Spouse Common Stock 2000 I via Broyhill Memorial Park, Inc. Common Stock 134857 I via Claron Investments, LP Common Stock 37764 I via Broyhill Investments, Inc. Common Stock 78455 I via BMC Fund, Inc. Common Stock 19580 I via Broyhill Familiy Foundation Inc. Common Stock 6993 I via Hibriten Investments of N.C. Limited Partnership Awards Common Stock, par value $0.01 per share 37357 37357 D As of August 14, 2017, Mr. Broyhill holds Awards with respect to 37,357 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 2015 Amended and Restated Equity Compensation Plan, dated September 18, 2015 (the "Plan"). The Plan was previously approved by the Issuer's Board of Directors. Awards under the Plan are scheduled to vest as follows: 30% on September 25, 2017 and 40% on September 25, 2018. Upon settlement, the 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 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/ Richard G. Wheelahan, III, attorney-in-fact 2017-08-15