-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Cox8wEyqSU35yqD+KSK1wfAbKzgwEdED1dl8aqUVgu6LWaTL7D30iqc18cSAY2z7 nZuNUomFPk8YNc5YIC22ow== 0001209191-09-055580.txt : 20091204 0001209191-09-055580.hdr.sgml : 20091204 20091204171041 ACCESSION NUMBER: 0001209191-09-055580 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091202 FILED AS OF DATE: 20091204 DATE AS OF CHANGE: 20091204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alvarez William Edwin Jr CENTRAL INDEX KEY: 0001333707 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00713 FILM NUMBER: 091224237 MAIL ADDRESS: STREET 1: 274 RIVERSIDE AVENUE CITY: WESTPORT STATE: CT ZIP: 06880 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Patriot Capital Funding, Inc. CENTRAL INDEX KEY: 0001321560 IRS NUMBER: 743068511 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 274 RIVERSIDE AVENUE CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: (203) 429-2700 MAIL ADDRESS: STREET 1: 274 RIVERSIDE AVENUE CITY: WESTPORT STATE: CT ZIP: 06880 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-12-02 1 0001321560 Patriot Capital Funding, Inc. PCAP 0001333707 Alvarez William Edwin Jr 274 RIVERSIDE AVENUE WESTPORT CT 06880 0 1 0 0 EVP, Chief Financial Officer Common Stock 2009-12-02 4 D 0 16780 D 0 D Common Stock 2009-12-02 4 D 0 42500 D 0 D Employee Stock Option (right to buy) 10.91 2009-12-02 4 D 0 75000 D 2018-02-27 Common Stock 75000 0 D Employee Stock Option (right to buy) 14.38 2009-12-02 4 D 0 27300 D 2017-02-23 Common Stock 27300 0 D Employee Stock Option (right to buy) 10.97 2009-12-02 4 D 0 32500 D 2016-06-26 Common Stock 32500 0 D Employee Stock Option (right to buy) 14.00 2009-12-02 4 D 0 46961 D 2015-07-27 Common Stock 46961 0 D Includes an aggregate of 4,678 shares of common stock acquired through a stock dividend paid by Patriot Capital Funding, Inc. Disposed of pursuant to the merger agreement between Patriot Capital Funding, Inc. and Prospect Capital Corporation in exchange for 6,107 shares of Prospect Capital Corporation common stock having a market value of $10.99 per share on the effective date of the merger and cash in lieu of fractional shares. Represents restricted shares of common stock issued pursuant to the Patriot Capital Funding, Inc. Employee Restricted Stock Plan. Pursuant to the merger agreement between Patriot Capital Funding, Inc. and Prospect Capital Corporation, the shares of restricted stock (i) became fully vested and all restrictions with respect to the shares lapsed immediately prior to the effective date of the merger and (ii) 18,153 shares of such common stock were cancelled in exchange for a cash payment of $70,799.78 and the remaining such shares of common stock were disposed of in exchange for 8,862 shares of Prospect Capital Corporation common stock having a market value of $10.99 per share on the effective date of the merger. Pursuant to the merger agreement between Patriot Capital Funding, Inc. and Prospect Capital Corporation, all of the options to purchase shares of Patriot Capital Funding, Inc. common stock granted pursuant to the Patriot Capital Funding, Inc. Amended Stock Option Plan were cancelled in exchange for the payment in cash of $0.01 per share of common stock for which each option is exercisable for an aggregate cash payment of $1,817.61. /s/ William E. Alvarez, Jr. 2009-12-04 -----END PRIVACY-ENHANCED MESSAGE-----