0001171843-14-001549.txt : 20140403 0001171843-14-001549.hdr.sgml : 20140403 20140402200836 ACCESSION NUMBER: 0001171843-14-001549 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140402 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20140403 DATE AS OF CHANGE: 20140402 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: 14740100 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) April 2, 2014 

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 April 2, 2014 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 April 2, 2014

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)
April 2, 2014
(Date)		   /s/   EDWARD U. GILPIN
Edward U. Gilpin
Chief Financial Officer

  Exhibit Index
  99.1 Press release dated April 2, 2014






EX-99 2 newsrelease.htm PRESS RELEASE KCAP Financial, Inc. Announces Pricing of a $468 Million CLO Fund to be Managed by Trimaran Advisors, L.L.C.

EXHIBIT 99.1

KCAP Financial, Inc. Announces Pricing of a $468 Million CLO Fund to be Managed by Trimaran Advisors, L.L.C.

NEW YORK, April 2, 2014 (GLOBE NEWSWIRE) -- KCAP Financial, Inc. (Nasdaq:KCAP) (NYSE:KAP) announced that its wholly owned portfolio company, Trimaran Advisors, L.L.C., has priced Catamaran CLO 2014-1 Ltd., a $468 million Collateralized Loan Obligation ("CLO") fund. Trimaran will serve as the investment manager for the CLO and KCAP Financial will invest approximately $12.5 million across certain junior tranches of notes issued by the fund. This is the third CLO fund Trimaran has brought to the market since its acquisition by KCAP Financial in February of 2012.

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