0001209191-14-070482.txt : 20141120 0001209191-14-070482.hdr.sgml : 20141120 20141120195247 ACCESSION NUMBER: 0001209191-14-070482 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141117 FILED AS OF DATE: 20141120 DATE AS OF CHANGE: 20141120 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: 141240480 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 2014-11-17 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 2014-11-17 4 P 0 2500 12.697 A 77174.099 D Common Stock 2014-11-17 4 P 0 1425 12.62 A 78599.099 D Common Stock 2014-11-18 4 P 0 4000 12.60 A 82599.099 D Includes 0.053 shares acquired under the CM Finance Inc dividend reinvestment plan. /s/ Michael C. Mauer 2014-11-20