0001062993-23-019226.txt : 20231011 0001062993-23-019226.hdr.sgml : 20231011 20231011104327 ACCESSION NUMBER: 0001062993-23-019226 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231006 FILED AS OF DATE: 20231011 DATE AS OF CHANGE: 20231011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Emrich John Scott CENTRAL INDEX KEY: 0001777979 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-22853 FILM NUMBER: 231319792 MAIL ADDRESS: STREET 1: C/O DESTRA CAPITAL ADVISORS LLC STREET 2: 444 WEST LAKE STREET, SUITE 1700 CITY: CHICAGO STATE: IL ZIP: 60606-0070 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 X0508 4 2023-10-06 0001578987 ArrowMark Financial Corp. BANX 0001777979 Emrich John Scott C/O ARROWMARK FINANCIAL CORP. 100 FILLMORE STREET, SUITE 325 DENVER CO 80206 1 0 0 0 0 Common Stock 2023-10-06 4 P 0 7500 17.3373 A 8724.9245 D The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.25 to $17.3999, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ John Scott Emrich 2023-10-11