UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 14A
(RULE 14a-101)
SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the
Securities Exchange Act of 1934
(Amendment No. )
| Filed by the Registrant | x | |
| Filed by a Party other than the Registrant | ¨ |
| Check the appropriate box: | ||
| ¨ | Preliminary Proxy Statement | |
| ¨ | Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) | |
| ¨ | Definitive Proxy Statement | |
| x | Definitive Additional Materials | |
| £ | Soliciting Material Pursuant to § 240.14a-12. | |
KCAP Financial, Inc.
(Name of Registrant as Specified in Its Charter)
(Name of Person(s) Filing Proxy Statement if Other Than the Registrant)
Payment of Filing Fee (Check the appropriate box):
| S | No fee required. | |
| £ | Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. |
| (1) | Title of each class of securities to which transaction applies: | |
| (2) | Aggregate number of securities to which transaction applies: | |
| (3) | Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (Set forth the amount on which the filing fee is calculated and state how it was determined): | |
| (4) | Proposed maximum aggregate value of transaction: | |
| (5) | Total fee paid: |
| £ | Fee paid previously with preliminary materials. | |
| £ | Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. |
| (1) | Amount Previously Paid: | |
| (2) | Form, Schedule or Registration Statement No.: | |
| (3) | Filing Party: | |
| (4) | Date Filed: |
KCAP Financial, Inc.
295 Madison Avenue, 6th Floor
New York, New York 10017
SUPPLEMENTAL MATERIAL TO THE PROXY STATEMENT
FOR THE SPECIAL MEETING OF STOCKHOLDERS OF KCAP FINANCIAL, INC.
TO BE RECONVENED ON FRIDAY, AUGUST 9, 2013
Appointment of Proxy Solicitor
Subsequent to filing and mailing the Proxy Statement for the Special Meeting of Stockholders of KCAP Finacial, Inc. (the “Company”), to be reconvened on Friday, August 9, 2013, the Company engaged Alliance Advisors LLC (“Alliance”) to assist it in soliciting proxies personally, electronically or by telephone. The Company has agreed to pay Alliance $8,000 plus reasonable expenses for these services.