Current Report Filing (8-k)
02 October 2019 - 8:02PM
Edgar (US Regulatory)
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):
October 1, 2019
CAPITALA
FINANCE CORP.
(Exact name of registrant as specified in
its charter)
Maryland
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814-01022
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90-0945675
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(State or other jurisdiction
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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of incorporation)
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4201 Congress St., Suite 360
Charlotte, NC 28209
(Address of principal executive offices
and zip code)
Registrant’s telephone number, including
area code: (704) 376-5502
Check the appropriate box below if the Form 8-K is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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¨
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Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant
to Section 12(b) of the Act:
Title of Each Class
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Trading symbol(s)
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Name of Each Exchange on Which Registered
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Common Stock, par value $0.01 per share
5.75% Convertible Notes due 2022
6.00% Notes due 2022
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CPTA
CPTAG
CPTAL
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NASDAQ Global Select Market
NASDAQ Capital Market
NASDAQ Global Select Market
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Indicate by check mark whether the
registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2
of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ¨
If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act. ¨
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Item 2.02
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Results of Operations and Financial Condition
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On October 1, 2019,
Capitala Finance Corp. issued a press release announcing its monthly distributions for the months of October, November and December
of 2019, the text of which is attached hereto as Exhibit 99.1.
The information disclosed
under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed” for purposes
of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under
the Securities Act of 1933, except as expressly set forth by specific reference in such filing.
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Item 9.01
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Financial Statements and Exhibits.
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SIGNATURES
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.
Date: October 1, 2019
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CAPITALA FINANCE CORP.
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By:
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/s/ Stephen A. Arnall
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Stephen A. Arnall
Chief Financial Officer
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