0001144204-16-110414.txt : 20160629 0001144204-16-110414.hdr.sgml : 20160629 20160629105704 ACCESSION NUMBER: 0001144204-16-110414 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160620 FILED AS OF DATE: 20160629 DATE AS OF CHANGE: 20160629 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: Pearson Dayl W CENTRAL INDEX KEY: 0001379030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00735 FILM NUMBER: 161737712 MAIL ADDRESS: STREET 1: C/O KOHLBERG CAPITAL CORPORATION STREET 2: 295 MADISON AVENUE, 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 v443201_4.xml OWNERSHIP DOCUMENT X0306 4 2016-06-20 0 0001372807 KCAP Financial, Inc. KCAP 0001379030 Pearson Dayl W C/O KCAP FINANCIAL, INC. 295 MADISON AVENUE, 6TH FLOOR NEW YORK NY 10017 0 1 0 0 President and CEO Common Stock 2016-06-20 4 F 0 14057 3.75 D 346939 D Common Stock 2016-06-23 4 F 0 8137 3.80 D 338802 D /s/ Dayl W. Pearson 2016-06-29