SEC Form 4 · accession 0000899243-17-021981
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, 2017
Accepted (ET)
Sep 13, 2017 · 6:04 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, 2017 | P | 1,000 | $9.6107 | A | 101,000 | D | |
| Common Stock | Sep 11, 2017 | P | 2,000 | $9.60 | A | 103,000 | D | |
| Common Stock | Sep 11, 2017 | P | 800 | $9.60 | A | 103,800 | D | |
| Common Stock | Sep 11, 2017 | P | 200 | $9.65 | A | 104,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 0.154 shares acquired under the CM Finance Inc dividend reinvestment plan.