SEC Form 4 · accession 0000899243-17-008346
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
Mar 21, 2017
Accepted (ET)
Mar 22, 2017 · 12:34 pm 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 | Mar 21, 2017 | P | 298 | $10.00 | A | 97,500 | D | |
| Common Stock | Mar 21, 2017 | P | 501 | $10.05 | A | 98,001 | D | |
| Common Stock | Mar 21, 2017 | P | 1,000 | $10.00 | A | 99,001 | D | |
| Common Stock | Mar 21, 2017 | P | 100 | $9.925 | A | 99,101 | D | |
| Common Stock | Mar 21, 2017 | P | 100 | $9.95 | A | 99,201 | D | |
| Common Stock | Mar 21, 2017 | P | 799 | $9.95 | A | 100,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 0.324 shares acquired under the CM Finance Inc dividend reinvestment plan.