4//SEC Filing
Arnall Stephen A. 4
Accession 0001461373-17-000035
CIK 0001571329other
Filed
Aug 13, 8:00 PM ET
Accepted
Aug 14, 7:34 PM ET
Size
7.4 KB
Accession
0001461373-17-000035
Insider Transaction Report
Form 4
Arnall Stephen A.
Chief Financial Officer
Transactions
- Purchase
Common Stock
2017-08-10$9.05/sh+1,100$9,959→ 12,010 total
Holdings
- 14,875
Awards
→ Common Stock, par value $0.01 per share (14,875 underlying)
Footnotes (2)
- [F1]As of August 10, 2017, Mr. Arnall holds Awards with respect to 14,875 shares 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 is an affiliate of Capital Investment Advisors, LLC, pursuant to CRS's Amended and Restated 2015 Equity Compensation Plan, dated December 18, 2015 (the "Plan"). The Plan was previously approved by the Issuer's Board of Directors, Outstanding Awards under the Plan are scheduled to vest as follows, 30% on September 25, 2017 and 40% on September 25, 2018. Upon settlement the additional 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 advisor (or an affiliated person of an investment advisor) to a registered closed-end investment company or business development company regulated under the Investment Company Act of 1940, as amended, that offers plan participants equity securities of such registered closed-end 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 of 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
- Aug 13, 8:00 PM ET
- Accepted
- Aug 14, 7:34 PM ET
- Size
- 7.4 KB