0001144204-18-036095.txt : 20180627 0001144204-18-036095.hdr.sgml : 20180627 20180627163456 ACCESSION NUMBER: 0001144204-18-036095 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180623 FILED AS OF DATE: 20180627 DATE AS OF CHANGE: 20180627 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: 18922134 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 tv497444_form4.xml FORM 4 X0306 4 2018-06-23 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 2018-06-23 4 F 0 5360 3.26 D 343493 D /s/ Dayl W. Pearson 2018-06-27