SEC Form 4/A · accession 0000899243-18-007160
CM Finance Inc · CMFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Christopher E Jansen
Officer — President and Secretary · Director
Period of report
Nov 18, 2014
Accepted (ET)
Mar 12, 2018 · 5:37 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,F2,F3 | Nov 18, 2014 | P | 2,000 | $12.575 | A | 73,669 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price shown in Column 4 is the weighted average purchase price of the shares of common stock of CM Finance Inc (the "Issuer"), par value $0.001 per share, on the transaction date. The price range for the purchases is $12.50 to $12.65 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
- F2Includes 0.053 shares acquired under the CM Finance Inc dividend reinvestment plan.
- F3This Form 4 amendment is being filed to correct a typographical error in the number of shares of the Issuer's common stock previously reported as being beneficially owned by Mr. Jansen following his November 18, 2014 purchase of 2,000 shares.