0000899243-15-004706.txt : 20150914 0000899243-15-004706.hdr.sgml : 20150914 20150914093436 ACCESSION NUMBER: 0000899243-15-004706 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150911 FILED AS OF DATE: 20150914 DATE AS OF CHANGE: 20150914 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CM Finance Inc CENTRAL INDEX KEY: 0001578348 IRS NUMBER: 462883380 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 26TH FLOOR SUITE C CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-388-5813 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 26TH FLOOR SUITE C CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAUER MICHAEL CENTRAL INDEX KEY: 0001498608 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 151104794 MAIL ADDRESS: STREET 1: C/O ICAHN CAPITAL LP STREET 2: 767 FIFTH AVE., SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10153 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-11 0 0001578348 CM Finance Inc CMFN 0001498608 MAUER MICHAEL C/O CM FINANCE INC 601 LEXINGTON AVE, 26TH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Executive Officer Common Stock 2015-09-11 4 P 0 500 11.506 A 88499.277 D Common Stock 2015-09-11 4 P 0 100 11.56 A 88599.277 D Common Stock 2015-09-11 4 P 0 1200 11.599 A 89799.277 D Common Stock 2015-09-11 4 P 0 100 11.595 A 89899.277 D Common Stock 2015-09-11 4 P 0 400 11.60 A 90299.277 D Common Stock 2015-09-11 4 P 0 100 11.61 A 90399.277 D Common Stock 2015-09-11 4 P 0 2100 11.59 A 92499.277 D Includes 0.059 shares acquired under the CM Finance Inc dividend reinvestment plan. /s/ Michael C. Mauer 2015-09-14