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TABLE OF CONTENTS Commission File Number 814-01022 ☐ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K Title of Each Class Common Stock , par value $ 0.01 per share 5.75 % Convertible Notes due 2022 6.00 % Notes due 2022 Annual Report Pursuant to Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31 , 2020 Transition Report Pursuant to Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 Exact name of registrant as specified in its charter , address of principal executive office , telephone number and state or other jurisdiction of incorporation or organization Capitala Finance Corp. 4201 Congress St. , Suite 360 Charlotte , North Carolina , 28209 Telephone : ( 704 ) 376-5502 State of Incorporation : Maryland Securities registered pursuant to Section 12 ( b ) of the Act : Trading symbol ( s ) CPTA CPTAG CPTAL Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Name of Each Exchange on Which Registered NASDAQ Global Select Market NASDAQ Capital Market NASDAQ Global Select Market Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . I.R.S. Employer Identification Number 90-0945675 Yes No 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 . Accelerated filer Smaller reporting company Emerging growth company Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer Non - accelerated filer Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) . If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Yes No Yes No The aggregate market value of the registrant's common stock held by non - affiliates of the registrant was $ 39.8 million based on the number of shares held by non - affiliates of the registrant as of June 30 , 2020 , which was the last business day of the registrant's most recently completed second fiscal quarter . For the purposes of calculating this amount only , all directors and executive officers of the registrant have been treated as affiliates . The number of shares of Capitala Finance Corp.'s common stock , $ 0.01 par value , outstanding as of March 5 , 2021 was 2,711,068 .