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Filing Details

Accession Number:: 0001144204-17-007202
Form Type:: 5
Zero Holdings:: No
Publication Time:: 2017-02-10 06:07:24
Reporting Period:: 2016-12-31

Filing Date:: 2017-02-10
Accepted Time:: 2017-02-10 06:07:24
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1571329	Capitala Finance Corp.	CPTA	()	5

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1230756	Hunt Markham Broyhill	C/O Capitala Finance Corp. 4201 Congress Street, Suite 360 Charlotte NC 28209		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-06-22	500	$16.27	78,538	No	4	P	Direct
Common Stock	Acquisiton	2015-06-22	232	$16.29	232	No	4	P	Indirect	via Spouse
Common Stock	Acquisiton	2015-06-22	68	$16.37	300	No	4	P	Indirect	via Spouse
Common Stock	Acquisiton	2015-06-24	6,000	$16.18	19,580	No	4	P	Indirect	via Broyhill Family Foundation Inc.
Common Stock	Acquisiton	2015-06-24	2,000	$16.18	2,000	No	4	P	Indirect	via Broyhill Memorial Park Inc.
Common Stock	Acquisiton	2014-05-16	824	$18.19	824	No	4	P	Indirect	via Paul H. Broyhill II Irrevocable Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	via Spouse
No	4	P	Indirect	via Spouse
No	4	P	Indirect	via Broyhill Family Foundation Inc.
No	4	P	Indirect	via Broyhill Memorial Park Inc.
No	4	P	Indirect	via Paul H. Broyhill II Irrevocable Trust

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	37,764	Indirect	via Broyhill Investments, Inc.
Common Stock	78,455	Indirect	via BMC Fund, Inc.
Common Stock	134,857	Indirect	via Claron Investments, LP
Common Stock	6,993	Indirect	via Hibriten Investments of N.C. Limited Partnership

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock, Par Value $0.01 Per Share	Awards	$0.00			37,357	37,357	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	37,357	37,357	Direct

Footnotes

In a Form 4 filed on December 1, 2014, Mr. Broyhill inadvertently reported an indirect purchase of 1,000 shares of Capitala Finance Corp.'s (the "Issuer") common stock by Broyhill Investments, Inc. on November 26, 2014. This purchase should have been reported as a direct purchase by Mr. Broyhill, which is reflected in this Form 5.
As of the date of this report, Mr. Broyhill holds unvested Awards with respect to 37,357 shares of the Issuer's 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 Amended and Restated 2015 Equity Compensation Plan, dated September 18, 2015 (the "Plan"). The Plan was previously approved by the Issuer's Board of Directors. Unvested Awards under the Plan are scheduled to vest as follows: approximately 43% on September 25, 2017 and approximately 57% on September 25, 2018. Upon settlement, the unvested Awards will become payable on a one-for-one basis in shares of the Issuer's common stock.
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 plans 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.