Current Report Filing (8-k)
December 04 2018 - 5:27PM
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):
December 4
, 2018 (
December 4
, 2018)
KCAP Financial,
Inc.
(Exact name of registrant as specified in
its charter)
Delaware
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814-00735
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20-5951150
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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295 MADISON AVENUE
NEW YORK, NY 10017
(Address of principal executive offices
and zip code)
Registrant’s telephone number, including
area code:
(212) 455-8300
Not applicable
Former name or former address, if changed since last report
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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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.
¨
Item 8.01. Other Events.
On December 4, 2018, KCAP Financial
Inc. (the “Company”) reached a final settlement with the Securities and Exchange Commission (the “SEC”)
to resolve the previously disclosed informal investigation primarily concerning the characterization of distributions received
by the Company from its wholly-owned asset management subsidiaries.
As part of the settlement with the SEC,
the Company consented to the entry of an administrative order. The SEC’s order requires the Company to cease and desist from
committing or causing any violations and any future violations of certain provisions of the federal securities laws and the rules
promulgated thereunder.
The Company will not pay any penalty or
other monetary amounts under the SEC’s order.
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.
Date: December 4, 2018
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KCAP Financial, Inc.
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By:
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/s/ Edward U. Gilpin
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Name: Edward U. Gilpin
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Title: Chief Financial Officer
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