0000899243-17-008346.txt : 20170322 0000899243-17-008346.hdr.sgml : 20170322 20170322123448 ACCESSION NUMBER: 0000899243-17-008346 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170321 FILED AS OF DATE: 20170322 DATE AS OF CHANGE: 20170322 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: 17706145 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 2017-03-21 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 2017-03-21 4 P 0 298 10.00 A 97499.966 D Common Stock 2017-03-21 4 P 0 501 10.05 A 98000.966 D Common Stock 2017-03-21 4 P 0 1000 10.00 A 99000.966 D Common Stock 2017-03-21 4 P 0 100 9.925 A 99100.966 D Common Stock 2017-03-21 4 P 0 100 9.95 A 99200.966 D Common Stock 2017-03-21 4 P 0 799 9.95 A 99999.966 D Includes 0.324 shares acquired under the CM Finance Inc dividend reinvestment plan. /s/ Michael C. Mauer 2017-03-22