0001062993-23-010294.txt : 20230505 0001062993-23-010294.hdr.sgml : 20230505 20230505125020 ACCESSION NUMBER: 0001062993-23-010294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230504 FILED AS OF DATE: 20230505 DATE AS OF CHANGE: 20230505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grove Richard Allen CENTRAL INDEX KEY: 0001410958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22853 FILM NUMBER: 23892484 MAIL ADDRESS: STREET 1: 518 17TH STREET, 17TH FLOOR CITY: DENVER STATE: CO ZIP: 80202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ArrowMark Financial Corp. CENTRAL INDEX KEY: 0001578987 IRS NUMBER: 900934878 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 100 FILLMORE STREET, SUITE 325 CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: (303) 398-2929 MAIL ADDRESS: STREET 1: 100 FILLMORE STREET, SUITE 325 CITY: DENVER STATE: CO ZIP: 80206 FORMER COMPANY: FORMER CONFORMED NAME: StoneCastle Financial Corp. DATE OF NAME CHANGE: 20130611 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-05-04 0001578987 ArrowMark Financial Corp. BANX 0001410958 Grove Richard Allen C/O ARROWMARK FINANCIAL CORP. 100 FILLMORE STREET, SUITE 325 DENVER CO 80206 0 1 0 0 Chief Compliance Officer 0 Common Stock 2023-05-04 4 P 0 1000 14.5791 A 1500 D The price reported in Column 4 is a weighted average price. These shares were sold in two transactions at prices of $14.574 and $14.625, inclusive. The reporting person undertakes to provide to ArrowMark Financial Corp., any security holder of ArrowMark Financial Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. /s/ Richard Allen Grove 2023-05-05