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