-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BKk4nuOXZInYaM2HyepEjtwNJNg2mbtDRBC3gsdgkKXkRaRfsaycerxA1BimBv4s hhY8CbBRgwZox4MZ6mECYg== 0001157523-09-000402.txt : 20090122 0001157523-09-000402.hdr.sgml : 20090122 20090122160028 ACCESSION NUMBER: 0001157523-09-000402 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090122 DATE AS OF CHANGE: 20090122 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KEATING TIMOTHY J CENTRAL INDEX KEY: 0001166044 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 950 DIAMOND RIDGE CIRCLE CITY: CASTLE ROCK STATE: CO ZIP: 80104 BUSINESS PHONE: 7207332111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEATING CAPITAL INC CENTRAL INDEX KEY: 0001444706 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-84489 FILM NUMBER: 09539343 BUSINESS ADDRESS: STREET 1: 5251 DTC Parkway, Suite 1000 CITY: Greenwood Village STATE: CO ZIP: 80111 BUSINESS PHONE: 720-889-0139 MAIL ADDRESS: STREET 1: 5251 DTC Parkway, Suite 1000 CITY: Greenwood Village STATE: CO ZIP: 80111 SC 13D 1 a5877852.htm KEATING CAPITAL, INC. SC 13D a5877852.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

 
SCHEDULE 13D
THE SECURITIES EXCHANGE ACT OF 1934

 
Keating Capital, Inc.
(Name of Issuer)


Common Stock, par value $.001 per share
 (Title of Class of Securities)


(none)
 (CUSIP Number)

Timothy J. Keating
5251 DTC Parkway, Suite 1000
Greenwood Village, CO 80111
(720) 889-0131
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
 
 
January 20, 2009
 (Date of Event which Requires Filing of this Statement)
 
 
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
 
The information required on 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).
 
 
 
SCHEDULE 13D
 
CUSIP No. None
 
1.
Names of Reporting Persons.
  
 
I.R.S. Identification Nos. of above persons (entities only).
  
     
 
Timothy J. Keating
  
     
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
  
 
(a)    o
  
 
(b)    o
  
     
3.
SEC Use Only
  
     
4.
Source of Funds (See Instructions) OO
  
     
5.
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)    o
  
     
6.
Citizenship or Place of Organization U.S.A.
  
 
 
Number of  7. Sole Voting Power 90,000   
Shares Beneficially
    
Owned   8. Shared Voting Power 100 (see Item 5)   
By Each
    
Reporting  9. Sole Dispositive Power 90,000   
Person With
    
   10. Shared Dispositive Power 100 (see Item 5)   
 
 
11.
Aggregate Amount Beneficially Owned by Each Reporting Person
  
     
 
90,100 (1)
  
     
12.
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) o
  
     
13.
Percent of Class Represented by Amount in Row (11) 15.81%
  
     
14.
Type of Reporting Person (See Instructions) IN
  
 
 
(1) Timothy J. Keating is the managing member and majority owner of Keating Investments, Keating Capital, Inc.’s investment adviser, and has voting and investment control over the securities owned by Keating Investments.  As such, Timothy J. Keating may be deemed a beneficial owner of the 100 shares of our common stock owned by Keating Investments.  The shares shown as owned by Timothy J. Keating in the above list include the 100 shares of common stock he may be deemed to beneficially own through his voting and investment control over the securities owned by Keating Investments.  The shares of our common stock which are beneficially owned by Timothy J. Keating include 10,000 shares owned directly by Timothy J. Keating and 80,000 shares owned indirectly in an individual retirement account for the benefit of Timothy J. Keating.
 
 
2
 
Item 1. Security and Issuer
 
This Schedule 13D relates to the common stock, par value $0.001 per share (the “Common Stock”) of Keating Capital, Inc., a Maryland corporation, whose principal executive offices are located at 5251 DTC Parkway, Suite 1000, Greenwood Village, CO 80111 (the “Issuer”). The Reporting Person (as defined hereafter) is making a filing pursuant to SEC Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended.
 
Item 2. Identity and Background
 
This Schedule 13D is being filed by Mr. Timothy J. Keating, a citizen of the United States (the “Reporting Person”). Timothy J. Keating currently serves as the President and Managing Manager of Keating Investments, LLC and is located at 5251 DTC Parkway, Suite 1000, Greenwood Village, CO 80111.
 
The Reporting Person has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
 
The Reporting Person has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding were or are subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws.
 
Item 3. Source and Amount of Funds or Other Consideration
 
Not applicable.  This filing is being made as a result of the effectiveness of the Issuer’s registration statement on Form 10 on January 20, 2009.
 
Item 4. Purpose of Transaction
 
This filing is being made as a result of the effectiveness of the Issuer’s registration statement on Form 10 on January 20, 2009.
 
Item 5. Interest in Securities of the Issuer
 
Pursuant to Rule  13d-3(a),  at the close of business on January 20, 2009, Timothy J. Keating may be deemed to be the beneficial  owner of 90,100 shares of the Common Stock, which constitutes  15.81%  of  the 569,900 shares of the Common Stock outstanding on January 20, 2009.  Timothy J. Keating, either directly or indirectly, has or shares the power to vote or to direct the vote and to dispose or to direct the disposition of, such shares of Common Stock.
 
Transactions effected in the last 60 days:  Not Applicable
 
Other than as set forth above, the Reporting Person named herein is not the beneficial owner of any other shares of the Common Stock.
 
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
 
To the best knowledge of the Reporting Person on the date hereof, except to the extent set forth herein, the Reporting Person does not have any other contracts, arrangements, understandings or relationship (legal or otherwise) with any other Reporting Person or any other person with respect to any securities of the Issuer, including, but not limited to, transfer or voting of any such securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees or profits, divisions or profits or loss, or the giving or withholding of proxies, or a pledge or contingency, the occurrence of which would give another person voting power over the shares of Common Stock.
 
Item 7. Material to be Filed as Exhibits
 
Not Applicable.
 
 
3
 
SIGNATURE
After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
 
Dated: January 22, 2009
 
 
TIMOTHY J. KEATING
  
       
 
   
/s/ Timothy J. Keating  
    Timothy J. Keating  
       
       
 
 
 
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