0001144204-17-048944.txt : 20170920 0001144204-17-048944.hdr.sgml : 20170920 20170920192327 ACCESSION NUMBER: 0001144204-17-048944 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170919 FILED AS OF DATE: 20170920 DATE AS OF CHANGE: 20170920 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: 171094850 MAIL ADDRESS: STREET 1: C/O KOHLBERG CAPITAL CORPORATION STREET 2: 295 MADISON AVENUE, 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 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 v475534_4.xml OWNERSHIP DOCUMENT X0306 4 2017-09-19 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 2017-09-19 4 A 0 28736 0 A 348853 D Shares of restricted stock granted to the reporting person pursuant to the Company's 2017 Equity Incentive Plan. One-half of the restricted stock award will vest on each of the third and fourth anniversaries of the grant date. /s/ Dayl W. Pearson 2017-09-20