0000950138-14-000179.txt : 20140218 0000950138-14-000179.hdr.sgml : 20140217 20140218110756 ACCESSION NUMBER: 0000950138-14-000179 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140205 FILED AS OF DATE: 20140218 DATE AS OF CHANGE: 20140218 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: Stifel Venture Corp. CENTRAL INDEX KEY: 0001597299 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 14620945 BUSINESS ADDRESS: STREET 1: 501 NORTH BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: 501 NORTH BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 14620946 BUSINESS ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2014-02-05 0 0001578348 CM Finance Inc CMFN 0000720672 STIFEL FINANCIAL CORP 501 N. BROADWAY ST. LOUIS MO 63102 0 0 1 0 0001597299 Stifel Venture Corp. 501 N. BROADWAY ST. LOUIS MO 63102 0 0 1 0 Common Stock 2181818 I Stifel Venture Corp. Stifel Venture Corp. is a direct, wholly-owned subsidiary of Stifel Financial Corp. /s/ James M. Zemlyak, Senior Vice President and Chief Financial Officer 2014-02-18 /s/ Bernard N. Burkemper, Treasurer 2014-02-18