| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
 |
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
BlackRock Capital Investment Corp [ BKCC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
|
3. Date of Earliest Transaction
(Month/Day/Year) 11/30/2017 | ||||||||||||||||||||||||||
|
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
|||||||||||||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 11/30/2017 | P | 14,182 | A | $6.5363(1) | 35,182 | D | |||
| Common Stock | 12/01/2017 | P | 5,818 | A | $6.5418(2) | 41,000 | D | |||
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Explanation of Responses: |
| 1. The range of prices for the transactions reported on this line was $6.53 to $6.54. The Reporting Person undertakes to provide upon request by the commission staff, the issuer, or the security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| 2. The range of prices for the transactions reported on this line was $6.535 to $6.55. The Reporting Person undertakes to provide upon request by the commission staff, the issuer, or the security holder of the issuer, full information regarding the number of shares purchased at each separate price. |
| Remarks: |
| /s/ Laurence D. Paredes as Attorney-in-Fact | 12/04/2017 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS that the
undersigned hereby constitutes, designates and appoints Laurence D. Paredes of
BlackRock Capital Investment Corporation (the "Company") as such person's true
and lawful attorney-in-fact and agent, with full power of substitution and
resubstitution and full power to act alone, for the undersigned and in the
undersigned's name, place and stead, in any and all capacities, to execute,
acknowledge, deliver and file any and all statements on Form ID (including, but
not limited to, obtaining the Central Index Key ("CIK") and the CIK confirmation
code ("CCC") from the Securities and Exchange Commission), Form 3, Form 4 and
Form 5 and any successor forms adopted by the Securities and Exchange
Commission, as may be required by the Securities Act of 1933, the Securities
Exchange Act of 1934 and the Investment Company Act of 1940 and the rules
thereunder, and requisite documents in connection with such statements,
respecting the Company. This power of attorney supersedes any previous versions
of same, and shall be valid from the date hereof until revoked by the
undersigned, and shall be automatically revoked with respect to any attorney in
the event that such attorney is no longer affiliated with the Company or its
affiliates (as the case may be).
IN WITNESS WHEREOF, the
undersigned has executed this instrument as of May 1st, 2017.
|
By:
|
/s/ James Keenan
|
||
|
Print:
|
James Keenan
|