0001144204-15-038724.txt : 20150623 0001144204-15-038724.hdr.sgml : 20150623 20150623171931 ACCESSION NUMBER: 0001144204-15-038724 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150620 FILED AS OF DATE: 20150623 DATE AS OF CHANGE: 20150623 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simeone Jill CENTRAL INDEX KEY: 0001581731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00735 FILM NUMBER: 15947710 MAIL ADDRESS: STREET 1: C/O KCAP FINANCIAL, INC. STREET 2: 295 MADISON AVENUE, 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 v413870_4.xml OWNERSHIP DOCUMENT X0306 4 2015-06-20 0 0001372807 KCAP Financial, Inc. KCAP 0001581731 Simeone Jill C/O KCAP FINANCIAL, INC. 295 MADISON AVENUE, 6TH FLOOR NEW YORK NY 10017 0 1 0 0 General Counsel and CCO Common Stock 2015-06-20 4 F 0 3184 6.07 D 27718 D Common Stock 2015-06-23 4 A 0 8196 0 A 35914 D Shares of restricted stock granted to the reporting person pursuant to the Company's 2006 Equity Incentive Plan, as Amended and Restated Effective June 20, 2014 . One quarter of the restricted stock award will vest on each of the first, second, third and fourth anniversaries of the grant date. /s/ Jill Simeone 2015-06-23