SEC Form 4 · accession 0000899243-15-004706
CM Finance Inc · CMFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Mauer
Officer — Chief Executive Officer · Director
Period of report
Sep 11, 2015
Accepted (ET)
Sep 14, 2015 · 9:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001578348
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 11, 2015 | P | 500 | $11.506 | A | 88,499 | D | |
| Common Stock | Sep 11, 2015 | P | 100 | $11.56 | A | 88,599 | D | |
| Common Stock | Sep 11, 2015 | P | 1,200 | $11.599 | A | 89,799 | D | |
| Common Stock | Sep 11, 2015 | P | 100 | $11.595 | A | 89,899 | D | |
| Common Stock | Sep 11, 2015 | P | 400 | $11.60 | A | 90,299 | D | |
| Common Stock | Sep 11, 2015 | P | 100 | $11.61 | A | 90,399 | D | |
| Common Stock | Sep 11, 2015 | P | 2,100 | $11.59 | A | 92,499 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 0.059 shares acquired under the CM Finance Inc dividend reinvestment plan.