0001171843-12-004570.txt : 20121220 0001171843-12-004570.hdr.sgml : 20121220 20121220131524 ACCESSION NUMBER: 0001171843-12-004570 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20121220 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20121220 DATE AS OF CHANGE: 20121220 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KCAP Financial, Inc. CENTRAL INDEX KEY: 0001372807 IRS NUMBER: 205348000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00735 FILM NUMBER: 121276641 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 8-K 1 document.htm FORM 8-K FILING DOCUMENT Form 8-K Filing

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) December 20, 2012 

KCAP Financial, Inc.
(Exact name of registrant as specified in its charter)


Delaware
814-00735
20-5951150
(State or other jurisdiction
of incorporation) 		(Commission File Number) (IRS Employer Identification No.)



295 MADISON AVENUE
NEW YORK, NY
10017
(Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code:   (212) 455-8300



Kohlberg Capital Corporation
(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
    [   ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
    [   ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
    [   ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
    [   ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 8.01. Other Events.

On December 20, 2012 the Registrant issued a press release, a copy of which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits.

    Exhibit 99.1.       Press release dated December 20, 2012

SIGNATURE

    Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

    KCAP Financial, Inc.
(Registrant)
December 20, 2012
(Date)		   /s/   EDWARD U. GILPIN
Edward U. Gilpin
Chief Financial Officer

  Exhibit Index
  99.1 Press release dated December 20, 2012






EX-99 2 newsrelease.htm PRESS RELEASE KCAP Financial, Inc. Announces Closing of a New Collateralized Loan Obligation Fund to be Managed by Its Wholly Owned Portfolio Company and Related Investment

EXHIBIT 99.1

KCAP Financial, Inc. Announces Closing of a New Collateralized Loan Obligation Fund to be Managed by Its Wholly Owned Portfolio Company and Related Investment

NEW YORK, Dec. 20, 2012 (GLOBE NEWSWIRE) -- KCAP Financial, Inc. (Nasdaq:KCAP) (NYSE:KAP) announced that its wholly owned portfolio company, Trimaran Advisors, LLC, closed a $415 million collateralized loan obligation fund of leveraged loans and high yield bonds. Trimaran is the collateral manager for this fund and KCAP Financial will invest approximately $12.5 million in tranches of subordinated notes issued by the fund in connection with the transaction.

Dominick J. Mazzitelli, the President and Portfolio Manager at Trimaran Advisors, said: "We are pleased to complete our first Trimaran-managed CLO since being acquired by KCAP Financial, and we are excited about the opportunities going forward as we continue to broaden the platform."

About KCAP Financial, Inc.

KCAP Financial, Inc. is a publicly traded, internally managed business development company. The Company's middle market investment business originates, structures, finances and manages a portfolio of term loans, mezzanine investments and selected equity securities in middle market companies. The Company's wholly owned portfolio companies Trimaran Advisors, L.L.C and Katonah Debt Advisors, L.L.C., manage collateralized loan obligation funds that invest in broadly syndicated corporate term loans, high-yield bonds and other credit instruments.

The KCAP Financial, Inc. logo is available at http://www.globenewswire.com/newsroom/prs/?pkgid=3121

Forward-Looking Statements

This press release contains certain forward-looking statements. Words such as "believes," "intends," "expects," "projects," "anticipates," and "future" or similar expressions are intended to identify forward-looking statements. These forward-looking statements are subject to the inherent uncertainties in predicting future results and conditions. Certain factors could cause actual results to differ materially from those projected in these forward-looking statements, and these factors are identified from time to time in the Company's filings with the SEC. The Company undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.

KCAP-G

CONTACT: Investor Relations
         Denise Rodriguez
         (212) 455-8300
         info@kcapfinancial.com