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KCAP Financial, Inc. 10-K 2009 Documents found in this filing:UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
10-K/A
(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)
(212)
455-8300
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.
EXPLANATORY NOTE>
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.
PART
IV
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:
2
2.
Exhibits
Exhibit
Index
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.
3
4
SIGNATURES
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.
5
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