SEC Form 4 · accession 0001144204-18-031249
Capitala Finance Corp. · CPTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Larry W. Carroll
Director
Period of report
May 25, 2018
Accepted (ET)
May 29, 2018 · 12:00 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 StockF1 | May 25, 2018 | P | 4,533 | $8.1593 | A | 140,000 | D | |
| Common Stock | holding | — | — | — | 660 | I | via Parent |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is the weighted average price. The shares were purchased in multiple transactions at prices ranging from $8.15 to $8.16. 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.