0001193125-18-336626.txt : 20181128 0001193125-18-336626.hdr.sgml : 20181128 20181128163305 ACCESSION NUMBER: 0001193125-18-336626 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20181128 DATE AS OF CHANGE: 20181128 EFFECTIVENESS DATE: 20181128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CM Finance Inc CENTRAL INDEX KEY: 0001578348 IRS NUMBER: 462883380 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 181206013 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 DEFA14A 1 d657763ddefa14a.htm CM FINANCE INC CM Finance Inc

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 14A

Proxy Statement Pursuant to Section 14(A) of the

Securities Exchange Act of 1934

Filed by the Registrant ☒

Filed by a Party other than the Registrant  ☐

Check the appropriate box:

  Preliminary Proxy Statement
  Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2))
  Definitive Proxy Statement
  Definitive Additional Materials
  Soliciting Material Pursuant to §240.14a 12

CM Finance Inc

 

(Name of Registrant as Specified In Its Charter)

 

 

(Name of Person(s) Filing Proxy Statement, if other than the Registrant)

Payment of Filing Fee (Check the appropriate box):

  No fee required.
  Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.
    (1)  

Title of each class of securities to which transaction applies:

 

    (2)  

Aggregate number of securities to which transaction applies:

 

    (3)  

Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):

 

    (4)  

Proposed maximum aggregate value of transaction:

 

    (5)  

Total fee paid:

 

  Fee paid previously with preliminary materials.
  Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
    (1)  

Amount Previously Paid:

 

    (2)  

Form, Schedule or Registration Statement No.:

 

    (3)  

Filing Party:

 

    (4)  

Date Filed:

 


LOGO

 

   Shareholder Services

 

 

November 28, 2018

 

 

Shareholder Name

Address 1

Address 2

Address 3

 

IMPORTANT NOTICE

Dear Shareholder:

We have tried unsuccessfully to contact you regarding a very important matter concerning your investment in CM Finance Inc. This matter pertains to an important operating initiative for CM Finance Inc which requires your response.

It is very important that we speak to you regarding this matter. Please contact us toll-free at 1-877-732-3621 between 9:00 a.m. and 10:00 p.m. Eastern Standard Time Monday through Friday. At the time of the call, please reference the number listed below.

The call will only take a few moments of your time and there is no confidential information required.

Please contact us before December 18, 2018.

Thank you.

Sincerely yours,

 

LOGO

Michael C. Mauer

Chairman of the Board

And Chief Executive Officer

REFERENCE NUMBER:    123456789

 

 

CM Finance Inc

601 Lexington Avenue, 26th Floor • New York, New York 10022

GRAPHIC 2 g657763g1023012031629.jpg GRAPHIC begin 644 g657763g1023012031629.jpg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g657763g30a25.jpg GRAPHIC begin 644 g657763g30a25.jpg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end