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): August 5, 2015 (August 5, 2015)
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) |
787 7th
Avenue, 48th
Floor, New York, NY 10019
(Address
of principal executive offices)
Registrant’s telephone number, including area code (212) 720-0300
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:
⃞
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))
Item 2.02. | Results of Operations and Financial Condition |
On August 5, 2015, New Mountain Finance Corporation (“NMFC”) issued a press release announcing financial results for its quarter ended June 30, 2015.
The information disclosed under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing.
Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers |
On August 4, 2015, the Board of Directors of New Mountain Finance Corporation (“NMFC”) appointed Melody L. Siu as the interim Chief Financial Officer (“CFO”) and Treasurer of NMFC, effective as of August 14, 2015, in place of David M. Cordova, who previously served in such positions. NMFC has commenced a search for a new permanent CFO.
Ms. Siu, 32, joined NMFC in 2011 and served as NMFC’s Controller prior to this interim appointment. From 2008 to 2010, she worked as the Assistant Controller for Prospect Capital Corporation (“Prospect”), an externally managed business development company. During her time at Prospect, Ms. Siu assisted with Prospect’s accounting, financial and SEC reporting. Ms. Siu began her career at Ernst & Young LLP within their Financial Services Office Assurance practice focusing primarily on investment companies and Sarbanes-Oxley compliance, where she held several positions from 2003 to 2008 and finished as a supervising senior auditor. Ms. Siu received a Bachelor of Science in Accounting and International Business from New York University’s Leonard N. Stern School of Business.
Ms. Siu was not appointed as CFO and Treasurer of NMFC pursuant to any arrangement or understanding with any other person.
The press release announcing earnings and the personnel changes is included as Exhibit 99.1 to this Form 8-K.
Item 9.01. | Financial Statements and Exhibits. |
d) Exhibits.
Exhibit
Number |
Description | |
99.1 | Press Release, dated August 5, 2015 |
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: August 5, 2015 |
|||
|
By: |
/s/ Karrie J. Jerry |
|
Name: |
Karrie J. Jerry |
||
Title: |
Corporate Secretary |