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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1571329	Capitala Finance Corp.	CPTA	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1514104	A. Stephen Arnall	C/O Capitala Finance Corp. 4201 Congress Street, Suite 360 Charlotte NC 28209	Chief Financial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-08-10	1,100	$9.05	12,010	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Holdings

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			14,875	14,875	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	14,875	14,875	Direct

Footnotes

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.
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.