0001144204-18-025136.txt : 20180503 0001144204-18-025136.hdr.sgml : 20180503 20180503171518 ACCESSION NUMBER: 0001144204-18-025136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180503 FILED AS OF DATE: 20180503 DATE AS OF CHANGE: 20180503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LACOVARA CHRISTOPHER CENTRAL INDEX KEY: 0001194840 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00735 FILM NUMBER: 18804936 MAIL ADDRESS: STREET 1: C/O KATY INDUSTRIES INC STREET 2: 765 STRAITS TURNPIKE STE 2000 CITY: MIDDLEBURY STATE: CT ZIP: 06762 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KCAP Financial, Inc. CENTRAL INDEX KEY: 0001372807 IRS NUMBER: 205348000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 CORP DATE OF NAME CHANGE: 20061211 FORMER COMPANY: FORMER CONFORMED NAME: Kohlberg Capital, LLC DATE OF NAME CHANGE: 20060815 4 1 tv493009_4.xml OWNERSHIP DOCUMENT X0306 4 2018-05-03 0 0001372807 KCAP Financial, Inc. KCAP 0001194840 LACOVARA CHRISTOPHER C/O KCAP FINANCIAL, INC. 295 MADISON AVENUE, 6TH FLOOR NEW YORK NY 10017 1 0 0 0 Common Stock 2018-05-03 4 A 0 1000 0 A 584134 D Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Non-Employee Director Plan. Of these shares, 50% vested immediately on the grant date, and the remaining 50% will vest on the earlier of (i) the first anniversary of the grant date or (ii) the date immediately preceding the 2019 annual meeting of the Company's shareholders (or meeting in lieu of the Company's annual meeting of shareholders), and in certain other circumstances. /s/ Edward U. Gilpin, as attorney-in-fact 2018-05-03