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