New Mountain Finance Corporation (NYSE:NMFC) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

ME Staff 8-k
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New Mountain Finance Corporation (NYSE:NMFC) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

New Mountain Finance Corporation (NYSE:NMFC) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

On September 1, 2020, acting to authorization from New Mountain Finance Corporation’s (the “Company”) board of directors (the “Board”), the Company notified the New York Stock Exchange (the “NYSE”) of its intention to voluntarily withdraw the principal listing of its common stock, par value $0.01 per share (the “Common Stock”), and its 5.75% Notes due 2023 (the “Notes”) from the NYSE and transfer the listings to the Nasdaq Global Select Market (the “NASDAQ”) effective September 11, 2020. The Company has completed the NASDAQ application process and has been authorized to transfer the listings of the Common Stock and the Notes to the NASDAQ. The Company expects the Common Stock and the Notes to begin trading on the NASDAQ under the ticker symbols “NMFC” and “NMFCL”, respectively, on September 14, 2020. Until that time, the Common Stock and the Notes will continue to trade on the NYSE.

Item 7.01 Regulation FD Disclosure
The Company issued the press release attached hereto as Exhibit 99.1 in connection with the transfer of the Common Stock and 5.75% Notes due 2023 to the NASDAQ.
The information disclosed under this Item 7.01, 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, as amended, or otherwise subject to the liabilities of that section. The information provided herein shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such filing.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.

New Mountain Finance Corp Exhibit
EX-99.1 2 a52277377ex99_1.htm EXHIBIT 99.1 Exhibit 99.1 New Mountain Finance Corporation Announces Transfer of Listing from the New York Stock Exchange to the NASDAQ Global Select Market NEW YORK–(BUSINESS WIRE)–September 1,…
To view the full exhibit click here

About New Mountain Finance Corporation (NYSE:NMFC)

New Mountain Finance Corporation is a closed-end, non-diversified management investment company. The Company’s investment objective is to generate current income and capital appreciation through the sourcing and origination of debt securities at all levels of the capital structure, including first and second lien debt, notes, bonds and mezzanine securities. Its investments may also include equity interests, such as preferred stock, common stock, warrants or options received in connection with its debt investments, or may include a direct investment in the equity of private companies. It makes investments through both primary originations and open-market secondary purchases. Its portfolio includes investments in various sectors, such as software, business services, education, distribution and logistics, federal services, consumer services, healthcare services, media and healthcare products. New Mountain Finance Advisers BDC, L.L.C. is the investment advisor of the Company.