0001144204-17-059258.txt : 20171115 0001144204-17-059258.hdr.sgml : 20171115 20171115105015 ACCESSION NUMBER: 0001144204-17-059258 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171113 FILED AS OF DATE: 20171115 DATE AS OF CHANGE: 20171115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alala Joseph B III CENTRAL INDEX KEY: 0001587346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01022 FILM NUMBER: 171204212 MAIL ADDRESS: STREET 1: C/O CAPITALA FINANCE CORP. STREET 2: 4201 CONGRESS STREET, SUITE 360 CITY: CHARLOTTE STATE: NC ZIP: 28209 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 tv479589_4.xml FORM 4 X0306 4 2017-11-13 0 0001571329 Capitala Finance Corp. CPTA 0001587346 Alala Joseph B III C/O CAPITALA FINANCE CORP. 4201 CONGRESS STREET, SUITE 360 CHARLOTTE NC 28209 1 1 0 0 See Remarks Common Stock 2017-11-13 4 P 0 60000 7.76 A 425433.425 I via Capitala Private Investments, LLC Common Stock 2017-11-14 4 P 0 20000 7.7794 A 445433.425 I via Capitala Private Investments, LLC Common Stock 2017-11-14 4 P 0 9000 7.7971 A 454433.425 I via Capitala Private Investments, LLC Common Stock 9611 D Common Stock 100 I via Child Common Stock 100 I via Child Common Stock 21245.278 I via Capitala Investment Advisors, LLC Common Stock 5559.722 I via Capitala Transaction Corp. Common Stock 237739.425 I via Capitala Restricted Shares I, LLC Common Stock 972 I via CapitalSouth Corporation Awards Common Stock, par value $0.01 per share 80204.425 80204.425 I Capitala Private Investments, LLC Awards Common Stock, par value $0.01 per share 237739.425 237739.425 I Capitala Restricted Shares I, LLC The price reported is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $7.646 to $7.80. The reporting person undertakes to provide to the SEC, the issuer and any security holder, upon request, full information regarding the number of shares and the prices at which the shares were purchased. Capitala Restricted Shares I, LLC ("CRS") previously granted Awards with respect to the 237,739.425 shares of Capitala Finance Corp.'s (the "Issuer") common stock held by CRS to certain of Capitala Investment Advisors, LLC's employees 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. The remaining Awards under the Plan are scheduled to vest on September 25, 2018. Upon settlement, the remaining Awards will become payable on a one-for-one basis in shares of the Issuer's common stock. Capitala Private Investments, LLC ("CPI") holds Awards with respect to 80,204.425 shares of the Issuer's common stock held by CRS. 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. Mr. Alala disclaims beneficial ownership of any of the Issuer's shares directly held by CPI, CRS, Capitala Transaction Corp., CapitalSouth Corporation and Capitala Investment Advisors, LLC, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Alala is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose. This row reflects all of the Awards of CRS currently outstanding under the Plan. As CRS is controlled by Mr. Alala, this row is included to show the one-to-one relationship between the Awards issued under the Plan and CRS's ownership of shares of the common stock of the Issuer. Chairman of the Board of Directors, Chief Executive Officer and President /s/ Richard G. Wheelahan, III, attorney-in-fact 2017-11-14