KCAP Financial, Inc. 10-K 2009
Documents found in this filing:
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
(Amendment No. 1)
For the fiscal year ended December 31, 2008
For the transition period from to
Kohlberg Capital Corporation
(Exact name of Registrant as specified in its charter)
295 Madison Avenue, 6th Floor
New York, New York 10017
(Address of principal executive offices)
Securities registered pursuant to Section 12(b) of the Act:
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes o No x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes o No x
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days: YES x NO o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of “accelerated filer” and “large accelerated filer” in Rule 12b-2 of the Exchange Act. (Check one):
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes o No x
The aggregate market value of the voting and non-voting common stock held by non-affiliates of the registrant as of June 30, 2008 was approximately $180 million based upon a closing price of $10.00 reported for such date by The NASDAQ Global Select Market. Common shares held by each executive officer and director and by each person who owns 5% or more of the outstanding common shares have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes.
This Amendment No. 1 (“Amendment”) is being filed to amend our Annual Report on Form 10-K for the fiscal year ended December 31, 2008, which Kohlberg Capital Corporation filed with the SEC on March 16, 2009 (“Annual Report”). This Amendment is being filed solely for the purpose of including Exhibit 21.1 which was inadvertently omitted as part of the exhibits included under Item 15 of Part IV of the Annual Report. All other Items of the 2008 Annual Report on Form 10-K are unaffected by the change described above and have been omitted from this amendment. No other revisions or amendments have been made to Part IV, Item 15 or to any other portion of the Annual Report. This Amendment does not otherwise update information in the Annual Report to reflect facts or events occurring subsequent to the date of the Annual Report. Currently-dated certifications from Kohlberg Capital Corporation's Chief Executive Officer and Chief Financial Officer have been included as exhibits to this Amendment.
1. Financial Statements
The following financial statements of Kohlberg Capital Corporation (the “Company” or the “Registrant”) were included in the Annual Report and are unaffected by this Amendment:
Exhibits designated by the symbol “*” are filed with this Annual Report on Form 10-K/A. All exhibits not so designated are incorporated by reference to a prior filing as indicated.
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.