4//SEC Filing
Arnall Stephen A. 4
Accession 0001144204-17-049527
CIK 0001571329other
Filed
Sep 24, 8:00 PM ET
Accepted
Sep 25, 5:56 PM ET
Size
8.6 KB
Accession
0001144204-17-049527
Insider Transaction Report
Form 4
Arnall Stephen A.
Chief Financial Officer
Transactions
- Exercise/Conversion
Common Stock
2017-09-25+6,375→ 18,385 total - Exercise/Conversion
Awards
2017-09-25−6,375→ 8,500 total→ Common Stock, par value $0.01 per share (6,375 underlying)
Footnotes (2)
- [F1]Mr. Arnall previously held Awards with respect to 14,875 shares of 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 and this acquisition were previously approved by the Issuer's Board of Directors. On September 25, 2017, CRS distributed to Mr. Arnall 6,375 shares of the Issuer's common stock in accordance with the vesting schedule under the Plan. 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.
- [F2]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.
Documents
Issuer
Capitala Finance Corp.
CIK 0001571329
Entity typeother
Related Parties
1- filerCIK 0001514104
Filing Metadata
- Form type
- 4
- Filed
- Sep 24, 8:00 PM ET
- Accepted
- Sep 25, 5:56 PM ET
- Size
- 8.6 KB