SECURITIES AND EXCHANGE COMMISSION
Report Pursuant to Section 13 or 15(d) of
Exchange Act of 1934
Date of Report (Date
of earliest event reported):
November 6, 2017
CAPITALA FINANCE CORP.
(Exact name of registrant as specified in
|(State or other jurisdiction
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:
¨ 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))
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 x
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 2.02||Results of Operations and Financial Condition
On November 6, 2017, Capitala Finance Corp.
(the “Company”) issued a press release announcing its financial results for the quarter ended September
30, 2017, 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, as amended, and shall not be deemed incorporated by reference into any filing made under
the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such filing.
|Item 9.01||Financial Statements and Exhibits.
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: November 6, 2017
||CAPITALA FINANCE CORP.
||/s/ Stephen A. Arnall
||Stephen A. Arnall
Chief Financial Officer