0001209191-14-009138.txt : 20140211 0001209191-14-009138.hdr.sgml : 20140211 20140211164144 ACCESSION NUMBER: 0001209191-14-009138 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140211 FILED AS OF DATE: 20140211 DATE AS OF CHANGE: 20140211 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: 399 PARK AVENUE, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-388-5813 MAIL ADDRESS: STREET 1: 399 PARK AVENUE, 39TH FLOOR 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: 14594818 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 2014-02-11 0 0001578348 CM Finance Inc CMFN 0001498608 MAUER MICHAEL C/O CM FINANCE INC 399 PARK AVENUE, 39TH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Executive Officer Common Stock 2014-02-11 4 P 0 67000 15.00 A 67000 D /s/ Michael C. Mauer 2014-02-11