Attached files
| file | filename |
|---|---|
| EX-99.1 - EXHIBIT 99.1 - Portman Ridge Finance Corp | v427395_ex99-1.htm |
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 18, 2015 (December 17, 2015)
KCAP Financial, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 814-00735 | 20-5951150 | ||
| (State or other jurisdiction | (Commission File Number) | (I.R.S. Employer Identification No.) | ||
| of incorporation) |
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:
| ¨ | 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 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On December 17, 2015, Jill Simeone notified KCAP Financial, Inc. (the “Company”) of her intention to step down as the Company’s General Counsel and Chief Compliance Officer on January 5, 2016 in order to pursue another career opportunity.
In conjunction with the foregoing, the Company’s Board of Directors has appointed Daniel P. Gilligan, who currently serves as the Company’s Director of Portfolio Administration and previously served as the Company’s Chief Compliance Officer from 2012 to 2013, to serve as the Company’s Interim Chief Compliance Officer effective as of January 5, 2016.
| Item 8.01 | Other Events. |
On December 18, 2015 the Company 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 December 18, 2015 |
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 18, 2015 | KCAP Financial, Inc. | |||
| By: | /s/ Edward U. Gilpin | |||
| Name: | Edward U. Gilpin | |||
| Title: | Chief Financial Officer | |||