James Keenan - 31 Jan 2022 Form 4 Insider Report for BlackRock Capital Investment Corp

Role
Interim CEO, Chairman of the Board
Signature
/s/ Laurence D. Paredes as Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
31 Jan 2022
Net transactions value
-$496,360
Form type
4
Filing time
02 Feb 2022, 16:35:37 UTC
Next filing
02 Feb 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BKCC Common Stock Options Exercise +119,605 +24% 609,608 31 Jan 2022 Direct F1, F2, F3, F4
transaction BKCC Common Stock Disposed to Issuer $496,360 -119,605 -20% $4.15 490,003 31 Jan 2022 Direct F1, F2, F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BKCC Phantom Shares Award $0 +99,540 $0.000000 99,540 31 Jan 2022 Common Stock 99,540 Direct F1, F5
transaction BKCC Phantom Shares Options Exercise -49,590 -33% 99,179 31 Jan 2022 Common Stock 49,590 Direct F1, F4
transaction BKCC Phantom Shares Options Exercise -32,906 -50% 32,906 31 Jan 2022 Common Stock 32,906 Direct F1, F2
transaction BKCC Phantom Shares Options Exercise -37,109 -100% 0 31 Jan 2022 Common Stock 37,109 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash.
F2 As previously reported on a Form 4 dated February 3, 2020, the Reporting Person was granted phantom shares on January 31, 2020 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F3 As previously reported on a Form 4 dated February 4, 2019, the Reporting Person was granted phantom shares on January 31, 2019 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F4 As previously reported on a Form 4 dated February 2, 2021, the Reporting Person was granted phantom shares on January 31, 2021 payable in cash on vesting, which occurs in equal installments on each of the first three anniversaries of the grant date.
F5 These phantom shares vest in equal installments on each of the first three anniversaries of the award.