0001104659-20-123669.txt : 20201110 0001104659-20-123669.hdr.sgml : 20201110 20201110172004 ACCESSION NUMBER: 0001104659-20-123669 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200831 FILED AS OF DATE: 20201110 DATE AS OF CHANGE: 20201110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carroll Larry W. CENTRAL INDEX KEY: 0001514106 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 814-01022 FILM NUMBER: 201302208 MAIL ADDRESS: STREET 1: C/O PARK STERLING BANK STREET 2: 1043 EAST MOREHEAD STREET, SUITE 201 CITY: CHARLOTTE STATE: NC ZIP: 28204 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/A 1 tm2035642d1_form4a.xml FORM 4/A X0306 4/A 2020-08-31 2020-09-01 0 0001571329 Capitala Finance Corp. CPTA 0001514106 Carroll Larry W. C/O CAPITALA FINANCE CORP. 4201 CONGRESS STREET, SUITE 360 CHARLOTTE NC 28209 1 0 0 0 Common Stock 2020-08-31 4 P 0 6667 10.2997 A 30000 D Common Stock 110 I Via Parent On August 21, 2020, the Issuer effected a one-for-six reverse stock split of its shares of common stock (the "Reverse Stock Split"). No fractional shares were issued in connection with the Reverse Stock Split. The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. /s/ Larry W. Carroll 2020-11-10