SEC Form 4/A · accession 0001144204-17-049524
Capitala Finance Corp. · CPTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Larry W. Carroll
Director
Period of report
Aug 10, 2017
Accepted (ET)
Sep 25, 2017 · 5:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001571329
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 10, 2017 | P | 2,150 | $9.24 | A | 82,150 | D | |
| Common StockF1 | Aug 11, 2017 | P | 17,850 | $9.1354 | A | 100,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 amendment is being filed to correct a typographical error in the number of shares of Capitala Finance Corp.'s common stock previously reported as being beneficially owned by Mr. Carroll following his August 11, 2017 purchase of 17,850 shares.