Additional Proxy Soliciting Materials (definitive) (defa14a)
March 22 2018 - 8:06AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 14A
(RULE 14a-101)
SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the
Securities Exchange Act of 1934
(Amendment No. )
Filed by the Registrant
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x
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Filed by a Party other than the Registrant
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¨
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Check the appropriate box:
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Preliminary Proxy Statement
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Confidential, for Use of the Commission Only (as permitted by Rule
14a-6(e)(2))
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Definitive Proxy Statement
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Definitive Additional Materials
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Soliciting Material Pursuant to § 240.14a-12.
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KCAP Financial, Inc.
(Name of Registrant as Specified in Its
Charter)
(Name of Person(s) Filing Proxy Statement
if Other Than the Registrant)
Payment of Filing Fee (Check the appropriate box):
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x
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No fee required.
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Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and
0-11.
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(1)
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Title of each class of securities
to which transaction applies:
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(2)
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Aggregate number of securities
to which transaction applies:
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(3)
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Per unit price or other underlying
value of transaction computed pursuant to Exchange Act Rule 0-11 (Set forth the amount on which the filing fee is calculated
and state how it was determined):
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(4)
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Proposed maximum aggregate value
of transaction:
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(5)
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Total fee paid:
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Fee paid previously with preliminary materials.
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Check box if any part of the fee is offset as provided by Exchange
Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing
by registration statement number, or the Form or Schedule and the date of its filing.
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(1)
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Amount Previously Paid:
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(2)
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Form, Schedule or Registration Statement No.:
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(3)
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Filing Party:
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(4)
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Date Filed:
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***
Exercise Your
Right
to Vote ***
Important
Notice Regarding the Availability of Proxy Materials for the
Shareholder
Meeting to Be Held on May 3, 2018.
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Meeting
Information
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KCAP FINANCIAL,
INC.
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Meeting
Type:
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Annual
Meeting
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For
holders as of:
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March 8, 2018
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Date:
May
3, 2018
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Time:
9:30
AM EDT
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Location:
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295
Madison Ave, 6th Floor
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New
York, NY 10017
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You
are receiving this communication because you hold shares in the company named above.
This is not a ballot.
You cannot use this notice to vote these shares. This communication presents only an overview of the more complete proxy materials
that are available to you on the Internet. You may view the proxy materials online at
www.proxyvote.com
or easily request
a paper copy (see reverse side).
We encourage you to access
and review all of the important information contained in the proxy materials before voting.
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See the reverse side of this notice
to obtain proxy materials and voting instructions.
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How to Access the
Proxy Materials
Proxy
Materials Available to VIEW or RECEIVE:
NOTICE
AND PROXY STATEMENT ANNUAL
REPORT
How
to View Online:
Have the information that is
printed in the box marked by the arrow
(located
on the following page) and visit:
www.proxyvote .com.
How
to Request and Receive a PAPER or E-MAIL Copy:
If you
want to receive a paper or e-mail copy of these documents, you must request one. There is NO charge for requesting a copy. Please
choose one of the following methods to make your request:
1) BY INTERNET:
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www.proxyvote.com
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2) BY TELEPHONE:
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1-800-579-1639
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3) BY E-MAIL*:
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sendmaterial@proxyvote.com
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* If requesting materials by
e-mail, please send a blank e-mail with the information that is printed in the box marked by the arrow
(located on the following page) in the subject line.
Requests, instructions and other
inquiries sent to this e-mail address will NOT be forwarded to your investment advisor. Please make the request as instructed
above on or before April 19, 2018 to facilitate timely delivery.
Please Choose One
of the Following Voting Methods
Vote
In Person:
If you choose to vote these shares in person at the meeting, you must request a "
legal proxy.
"
To do so, please follow the instructions at
www.proxyvote.com
or request a paper copy of the materials, which will contain
the appropriate instructions. Many shareholder meetings have attendance requirements including, but not limited to, the possession
of an attendance ticket issued by the entity holding the meeting. Please check the meeting materials for any special requirements
for meeting attendance.
Vote By Internet:
To vote
now by Internet, go to
www.proxyvote.com.
Have the information that is printed in the box marked by the arrow
(located on the following page) available
and follow the instructions.
Vot
e
By Mail:
You can vote by mail by requesting
a paper copy of the materials, which will include a voting instruction form.
The Board of Directors recommends you vote
FOR the following:
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1.
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To elect as directors
two nominees, each for a term of three years:
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Nominees:
01) Christopher Lacovara
02) Dayl W. Pearson
The Board of Directors recommends you vote
FOR the following proposals:
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2.
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To approve, in
a non-binding vote, the compensation paid to the Company's named executive officers.
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3.
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To ratify the selection
of Ernst & Young LLP as the independent registered public accountant of the Company
for the fiscal year ending December 31, 2018.
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NOTE:
Such other business as may properly come before
the meeting or any adjournment thereof.
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