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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wirth Michael I C/O KOHLBERG CAPITAL CORPORATION 295 MADISON AVENUE, 6TH FLOOR NEW YORK, NY 10017 |
Chief Financial Officer |
/s/ Michael I. Wirth | 11/09/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 29.39 shares acquired on July 23, 2007 under the Kohlberg Capital Corporation dividend reinvestment plan. |
(2) | Shares owned by Linda Wirth, Mr. Wirth's wife. Mr. Wirth disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that Mr. Wirth is the beneficial owner of these shares for purposes of Section 16 or for any other purposes. Includes 12.91 shares acquired on July 23, 2007 under the Kohlberg Capital Corporation dividend reinvestment plan. |
(3) | Shares owned by Harrison Wirth, Mr. Wirth's son. Mr. Wirth disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that Mr. Wirth is the beneficial owner of these shares for purposes of Section 16 or for any other purposes. Includes 2.23 shares acquired on July 23, 2007 under the Kohlberg Capital Corporation dividend reinvestment plan. |
(4) | Shares owned by Sabrina Wirth, Mr. Wirth's daughter. Mr. Wirth disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that Mr. Wirth is the beneficial owner of these shares for purposes of Section 16 or for any other purposes. Includes 2.23 shares acquired on July 23, 2007 under the Kohlberg Capital Corporation dividend reinvestment plan. |