Current Report Filing (8-k)
March 24 2023 - 3:04PM
Edgar (US Regulatory)
0001496099
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0001496099
2023-03-23
2023-03-23
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the
Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported):
March 23, 2023
New Mountain Finance Corporation
(Exact name of registrant as specified in its
charter)
Delaware |
|
814-00832 |
|
27-2978010 |
(State or other jurisdiction
of
incorporation or organization) |
|
(Commission
File Number) |
|
(IRS Employer
Identification Number) |
1633 Broadway, 48th Floor, New York, NY 10019
(Address of principal executive offices) (Zip code)
Registrant’s telephone number, including
area code: (212) 720-0300
None
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General
Instruction A.2. below):
¨ |
Written communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425) |
¨ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12) |
¨ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b)) |
¨ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
|
Trading
Symbol(s) |
|
Name of each exchange on which registered |
Common stock, par value $0.01 per share |
|
NMFC |
|
NASDAQ Global Select Market |
Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the
Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ¨
If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or
revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Item 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On
March 23, 2023, the board of directors (the “Board”) of New Mountain Finance Corporation (the “Company”) appointed
Laura C. Holson as the interim Chief Financial Officer and Treasurer of the Company, effective April 1, 2023. Ms. Holson will serve as
the Company’s interim Chief Financial Officer and Treasurer until the Company completes its search for a permanent successor.
Ms.
Holson currently serves as Chief Operating Officer of the Company and will continue in this role. Ms. Holson joined New Mountain Capital,
L.L.C. (“New Mountain Capital”) in 2009 and currently serves as a Managing Director. Ms. Holson is primarily dedicated
to the credit business and has been the Chief Operating Officer of New Mountain Capital’s credit platform since January 2022 and
the Chief Operating Officer of the Company since February 2022. Ms. Holson previously held a variety of roles within New Mountain Capital,
including Head of Capital Markets, and has been a member of its credit team for over 10 years. There is no arrangement or understanding
between Ms. Holson and any other person pursuant to which she was appointed as the interim Chief Financial Officer and Treasurer.
The
Company’s investment adviser, New Mountain Finance Advisers BDC, L.L.C., believes that its management team, with the overall support
of New Mountain Capital, is adequately staffed to support the Company.
Item 9.01. |
Financial Statements and Exhibits. |
d) Exhibits.
Exhibit Number |
|
Description |
|
|
104 |
|
Cover Page Interactive Data File (embedded within the Inline XBRL document). |
SIGNATURE
Pursuant to the requirements of the Securities
Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned
hereunto duly authorized.
|
NEW MOUNTAIN FINANCE CORPORATION |
|
|
|
Date: March 24, 2023 |
By: |
/s/ Joseph W. Hartswell |
|
|
Name: |
Joseph W. Hartswell |
|
|
Title: |
Chief Compliance Officer and Corporate Secretary |
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