SEC Form 4 · accession 0000899243-18-028930
CM Finance Inc · CMFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rocco Delguercio
Officer — See Remarks
Period of report
Nov 13, 2018
Accepted (ET)
Nov 14, 2018 · 4:30 pm EST
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 | Nov 13, 2018 | P | 500 | $8.13 | A | 3,646 | D | |
| Common Stock | Nov 14, 2018 | P | 500 | $8.14 | A | 4,146 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 59.791 shares acquired under the CM Finance Inc dividend reinvestment plan.
Remarks
Chief Financial Officer, Chief Compliance Officer and Treasurer