0001144204-16-102265.txt : 20160516 0001144204-16-102265.hdr.sgml : 20160516 20160516120755 ACCESSION NUMBER: 0001144204-16-102265 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160512 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 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: 161651972 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 v440074_4.xml OWNERSHIP DOCUMENT X0306 4 2016-05-12 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 2016-05-12 4 P 0 5944 8.54 A 103145.642 D Common Stock 2016-05-12 4 P 0 56 8.5699 A 103201.642 D Common Stock 2016-05-13 4 S 0 6000 8.2905 D 97201.642 D Includes 0.2 shares acquired under the CM Finance Inc dividend reinvestment plan. /s/ Michael C. Mauer 2016-05-16