0001144204-19-030918.txt : 20190614 0001144204-19-030918.hdr.sgml : 20190614 20190614094851 ACCESSION NUMBER: 0001144204-19-030918 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190613 FILED AS OF DATE: 20190614 DATE AS OF CHANGE: 20190614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alala Joseph B III CENTRAL INDEX KEY: 0001587346 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01022 FILM NUMBER: 19897759 MAIL ADDRESS: STREET 1: C/O CAPITALA FINANCE CORP. STREET 2: 4201 CONGRESS STREET, SUITE 360 CITY: CHARLOTTE STATE: NC ZIP: 28209 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Capitala Finance Corp. CENTRAL INDEX KEY: 0001571329 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4201 CONGRESS STREET, SUITE 360 CITY: CHARLOTTE STATE: NC ZIP: 28209 BUSINESS PHONE: 704-376-5502 MAIL ADDRESS: STREET 1: 4201 CONGRESS STREET, SUITE 360 CITY: CHARLOTTE STATE: NC ZIP: 28209 4 1 tv523553_form4.xml FORM 4 X0306 4 2019-06-13 0 0001571329 Capitala Finance Corp. CPTA 0001587346 Alala Joseph B III C/O CAPITALA FINANCE CORP. 4201 CONGRESS STREET, SUITE 360 CHARLOTTE NC 28209 1 1 0 0 See Remarks Common Stock 2019-06-13 4 P 0 2576 9.17 A 12187 D Common Stock 534637.85 I via Capitala Private Investments, LLC Common Stock 360 I via Child Common Stock 360 I via Child Common Stock 21245.278 I via Capitala Investment Advisors, LLC Common Stock 5559.722 I via Capitala Transaction Corp. Common Stock 972 I via CapitalSouth Corporation Mr. Alala disclaims beneficial ownership of any of the Issuer's shares directly held by Capitala Private Investments, LLC, Capitala Transaction Corp., CapitalSouth Corporation and Capitala Investment Advisors, LLC, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Alala is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose Chairman of the Board of Directors, Chief Executive Officer and President /s/ Richard G. Wheelahan, III, attorney-in-fact 2019-06-14