SEC Form 4 · accession 0001333857-15-000001
BlackRock Capital Investment Corp · BKCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 4:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001326003
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1,F2,F3 | Jan 2, 2015 | X | 97,106 | $0.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 2, 2015 | X | 97,106 | A | — | — | Common Stock, par value $0.001 per share | 97,106 | 0 | D |
Explanation of responses
- F1Settlement of 97,106 Restricted Stock Units previously granted by the Reporting Person to certain of its employees pursuant to Restricted Stock Unit Agreements, each dated March 15, 2013, January 2, 2014 and March 21, 2014. Shares of the Issuer's common stock underlying the remaining 46,939 Restricted Stock Units granted on March 15, 2013 are scheduled to vest and become payable in shares of the Issuer's common stock or the cash value thereof at the election of the Reporting Person on January 4, 2016; Shares of the Issuer's common stock underlying the remaining 5,813 Restricted Stock Units granted on January 2, 2014 are scheduled to vest and become payable in shares of the Issuer's common stock or the cash value thereof at the election of the Reporting Person in equal installments on January 4, 2016 and January 2, 2017;
- F2Shares of the Issuer's common stock underlying the remaining 94,536 Restricted Stock Units granted on March 21, 2014 are scheduled to vest and become payable in shares of the Issuer's common stock or the cash value thereof at the election of the Reporting Person in equal installments on January 4, 2016 and January 2, 2017.
- F3Excludes 6,454 Restricted Shares granted by the Reporting Person to certain of its employees pursuant to Restricted Stock Agreements, each dated January 2, 2013, vesting on January 4, 2016; 46,939 shares underlying Restricted Stock Units granted by the Reporting Person to certain of its employees pursuant to Restricted Stock Unit Agreements, each dated March 15, 2013, vesting on January 4, 2016; 5,813 shares underlying Restricted Stock Units granted by the Reporting Person to certain of its employees pursuant to Restricted Stock Unit Agreements, each dated January 2, 2014, vesting in equal installments on January 4, 2016, and January 2, 2017; 94,536 shares underlying Restricted Stock Units granted by the Reporting Person to certain of its employees pursuant to Restricted Stock Unit Agreements, each dated March 21, 2014, vesting in equal installments on January 4, 2016, and January 2, 2017.