SEC Form 4 · accession 0001104659-16-155447
New Mountain Finance Corp · NMFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven B Klinsky
Director
Period of report
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 12:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001496099
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 4, 2016 | P | 82,122 | $13.3002 | A | 5,061,864 | D | |
| Common StockF1 | Nov 7, 2016 | P | 73,602 | $13.4524 | A | 5,135,466 | D | |
| Common StockF2 | holding | — | — | — | 820,266 | I | See FootNote | |
| Common StockF3 | holding | — | — | — | 144,046 | I | See FootNote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is the average weighted price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder, upon request, full information regarding the number of shares and the prices at which the shares were purchased
- F2The Steven B. Klinsky Trust directly owns these shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F3The Steven B. Klinsky Non-GST Exempt Trust directly owns these shares. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.