0001144204-15-034023.txt : 20150528 0001144204-15-034023.hdr.sgml : 20150528 20150528144635 ACCESSION NUMBER: 0001144204-15-034023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150527 FILED AS OF DATE: 20150528 DATE AS OF CHANGE: 20150528 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: 15895093 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 v411919_4.xml OWNERSHIP DOCUMENT X0306 4 2015-05-27 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 2015-05-27 4 P 0 600 17.1692 A 5450 D Awards Common Stock, par value $0.01 per share 15750 15750 D On February 26, 2015, Mr. Arnall was granted Awards with respect to 15,750 shares of Capitala Finance Corp.'s (the "Issuer") common stock held by Capitala Restricted Shares I, LLC (the "CRS"), which is controlled by Joseph B. Alala, III and is an affiliate of Capitala Investment Advisors, LLC, pursuant to CRS's 2015 Equity Compensation Plan, dated February 26, 2015. Shares of the Issuer's common stock underlying the Awards are scheduled to vest in installments of 10% on September 25, 2015, 10% on September 25, 2016, 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 letter to Babson Capital Management LLC (pub. Avail. Dec. 14, 2006), an employee benefit plans sponsored by an investment adviser (or an affiliated person of an investment adviser) to a closed-end investment company regulated under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such investment 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 2015-05-28