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