0001144204-12-004644.txt : 20120130 0001144204-12-004644.hdr.sgml : 20120130 20120130151658 ACCESSION NUMBER: 0001144204-12-004644 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120130 DATE AS OF CHANGE: 20120130 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Kohlberg Capital CORP CENTRAL INDEX KEY: 0001372807 IRS NUMBER: 205348000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82556 FILM NUMBER: 12555260 BUSINESS ADDRESS: STREET 1: 295 MADISON AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-455-8300 MAIL ADDRESS: STREET 1: 295 MADISON AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: Kohlberg Capital, LLC DATE OF NAME CHANGE: 20060815 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KOHLBERG JAMES A CENTRAL INDEX KEY: 0000917394 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 111 RADIO CIRCLE CITY: MT KISCO STATE: NY ZIP: 10549 SC 13G/A 1 v300675_sc13ga.htm SC 13G/A

 

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
 
(Rule 13d-102)
 

Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c)

and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2.

 
Under the Securities Exchange Act of 1934
 
(Amendment No. 2)*

 

Kohlberg Capital Corporation
(Name of Issuer)
 
Common Stock, par value $0.01 per share
(Title of Class of Securities)
 
500233101
(CUSIP Number)
 
December 31, 2011
(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

o    Rule 13d-1(b)

o    Rule 13d-1(c)

x    Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 
 

CUSIP No. 500233101 13G Page 2 of 5 Pages

 

 

1

Names of Reporting Persons

 

 James A. Kohlberg
2

Check the Appropriate Box

if a Member of a Group

(a) o

(b) o

3 SEC Use Only  
4

Citizenship or Place

of Organization

 United States of America

Number of

Shares Beneficially

Owned by Each

Reporting Person

With

 5 Sole Voting
Power		 954,658 shares
6 Shared Voting
Power		 0 shares
7 Sole Dispositive
Power		 954,658 shares
8 Shared Dispositive Power 0 shares

9 Aggregate Amount Beneficially Owned by Each Reporting Person     954,658 shares
10 Check Box if the Aggregate Amount in Row 9 Excludes Certain Shares

 

 

x

11 Percent of Class Represented by Amount in Row (9)     4.2%*
12 Type of Reporting Person     IN

 

*Based on 22,886,769 shares of Common Stock outstanding as of November 9, 2011, as reported in the Quarterly Report on Form 10-Q for quarterly period ended September 30, 2011 filed by the Issuer on November 9, 2011.

 

 
 

CUSIP No. 500233101 13G Page 3 of 5 Pages

 

Schedule 13G

 

Item 1(a). Name of Issuer:
   
  Kohlberg Capital Corporation
   
Item 1(b). Address of Issuer’s Principal Executive Offices:
   
  295 Madison Avenue, 6th Floor
  New York, NY 10017
   
Item 2(a). Name of Person Filing:
   
  James A. Kohlberg
   
Item 2(b). Address of Principal Business Office or, if None, Residence:
   
  c/o Kohlberg & Co., L.L.C.
  3000 Alpine Road #100
  Portola Valley, CA 94028-7520
   
Item 2(c). Citizenship:
   
  United States of America
   
Item 2(d). Title of Class of Securities:
   
  Common Stock
   
Item 2(e). CUSIP Number:
   
  500233101
   
Item 3. If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
   
  Not applicable.
   
Item 4. Ownership:

 

  (a) Amount beneficially owned: 954,658 shares
     
  (b) Percent of class: 4.2%
     
  (c) Number of shares as to which such person has:

 

 
 

CUSIP No. 500233101 13G Page 4 of 5 Pages

 

  (i) Sole power to vote or to direct the vote: 954,658 shares
     
  (ii) Shared power to vote or to direct the vote: 0 shares
     
  (iii) Sole power to dispose or to direct the disposition of: 954,658 shares
     
  (iv) Shared power to dispose or to direct the disposition of: 0 shares

  

  Excludes 264,493 shares of the Issuer’s Common Stock owned by KAT Associates, LLC. Mr. Kohlberg is a beneficiary under certain trusts that are members of KAT Associates, LLC and disclaims his beneficial ownership of such shares except to the extent of his pecuniary interest therein. 
   
Item 5. Ownership of Five Percent or Less of a Class.
   
  x
   
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
   
  Not applicable.
   
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
   
  Not applicable.
   
Item 8. Identification and Classification of Members of the Group.
   
  Not applicable.
   
Item 9. Notice of Dissolution of Group.
   
  Not applicable.
   
Item 10. Certifications.
   
  Not applicable.

 

 
 

CUSIP No. 500233101 13G Page 5 of 5 Pages

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

  January 30, 2012
   
  /s/ James A. Kohlberg
  James A. Kohlberg