<SEC-DOCUMENT>0001157523-20-000003.txt : 20200103
<SEC-HEADER>0001157523-20-000003.hdr.sgml : 20200103
<ACCEPTANCE-DATETIME>20200103120053
ACCESSION NUMBER:		0001157523-20-000003
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20191231
ITEM INFORMATION:		Other Events
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20200103
DATE AS OF CHANGE:		20200103

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			New Mountain Finance Corp
		CENTRAL INDEX KEY:			0001496099
		IRS NUMBER:				272978010
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00832
		FILM NUMBER:		20503978

	BUSINESS ADDRESS:	
		STREET 1:		787 SEVENTH AVENUE, 48TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019
		BUSINESS PHONE:		(212) 720-0300

	MAIL ADDRESS:	
		STREET 1:		787 SEVENTH AVENUE, 48TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	New Mountain Guardian Corp
		DATE OF NAME CHANGE:	20100706
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>a52152446.htm
<DESCRIPTION>NEW MOUNTAIN FINANCE CORPORATION 8-K
<TEXT>
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    <div style="text-align: center; font-size: 16pt; font-weight: bold;">UNITED STATES</div>
    <font style="font-size: 16pt;"> </font>
    <div style="text-align: center; font-size: 16pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <font style="font-size: 16pt;"> </font>
    <div style="text-align: center; font-weight: bold;">Washington, D.C. 20549</div>
    <div>&#160;</div>
    <div>
      <div>
        <hr noshade="noshade" align="center" style="height: 2px; color: #000000; background-color: #000000; text-align: center; margin-left: auto; margin-right: auto; border: none;">&#160;</div>
    </div>
    <div style="text-align: center; font-size: 16pt; font-weight: bold;">FORM 8-K</div>
    <font style="font-size: 16pt;"> </font>
    <div>
      <div>&#160;
        <hr noshade="noshade" align="center" style="height: 2px; color: #000000; background-color: #000000; text-align: center; margin-left: auto; margin-right: auto; border: none;"></div>
    </div>
    <div>&#160;</div>
    <div style="text-align: center; font-weight: bold;">CURRENT REPORT</div>
    <div>&#160;</div>
    <div style="text-align: center; font-weight: bold;">Pursuant to section 13 or 15(d) of the</div>
    <div style="text-align: center; font-weight: bold;">Securities Exchange Act of 1934</div>
    <div>&#160;</div>
    <div style="text-align: center; font-weight: bold;">Date of Report (Date of Earliest Event Reported): December 31, 2019</div>
    <div style="text-align: center; font-weight: bold;"> <br>
    </div>
    <div style="text-align: center;">
      <hr noshade="noshade" align="center" style="height: 2px; color: #000000; background-color: #000000; margin-left: auto; margin-right: auto; border: none;">&#160;<br>
    </div>
    <div>
      <div style="text-align: center; font-weight: bold;">&#160;<font style="font-size: 16pt;">New Mountain Finance Corporation</font></div>
    </div>
    <div style="text-align: center; font-weight: bold;">(Exact name of registrant as specified in its charter)</div>
    <div>&#160; <br>
      <hr noshade="noshade" align="center" style="height: 2px; color: #000000; background-color: #000000; text-align: center; margin-left: auto; margin-right: auto; border: none;"></div>
    <div>&#160;</div>
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        <tr>
          <td style="width: 33%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">Delaware</div>
          </td>
          <td style="width: 34%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">814-00832</div>
          </td>
          <td style="width: 32.62%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">27-2978010</div>
          </td>
        </tr>
        <tr>
          <td style="width: 33%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">(State or other jurisdiction of</div>
            <div style="text-align: center; font-weight: bold;">incorporation or organization)</div>
          </td>
          <td style="width: 34%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">(Commission</div>
            <div style="text-align: center; font-weight: bold;">File Number)</div>
          </td>
          <td style="width: 32.62%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">(IRS Employer</div>
            <div style="text-align: center; font-weight: bold;">Identification Number)</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
    <div style="text-align: center; font-weight: bold;">787 7<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Avenue, 48<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Floor, New York, NY 10019</div>
    <div style="text-align: center; font-weight: bold;">(Address of principal executive offices)</div>
    <div>&#160;</div>
    <div style="text-align: center; font-weight: bold;">Registrant&#8217;s telephone number, including area code (212) 720-0300</div>
    <div>&#160; <br>
      <hr noshade="noshade" align="center" style="height: 2px; color: #000000; background-color: #000000; text-align: center; margin-left: auto; margin-right: auto; border: none;"></div>
    <div>&#160;</div>
    <div>Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="zdf428b2c5b674728b56c67763a6a0fb4">

        <tr>
          <td style="width: 2%; vertical-align: top;">
            <div>&#9744;</div>
          </td>
          <td style="width: 98%; vertical-align: bottom;">
            <div>Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z97f8823c186e4e019ad07d81365bb4a9">

        <tr>
          <td style="width: 2%; vertical-align: top;">
            <div>&#9744;</div>
          </td>
          <td style="width: 98%; vertical-align: bottom;">
            <div>Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z113702c164b44943a32289156b96d6c3">

        <tr>
          <td style="width: 2%; vertical-align: top;">
            <div>&#9744;</div>
          </td>
          <td style="width: 98%; vertical-align: bottom;">
            <div>Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z7047dc4c6025447daa25ab457e30f3d2">

        <tr>
          <td style="width: 2%; vertical-align: top;">
            <div>&#9744;</div>
          </td>
          <td style="width: 98%; vertical-align: bottom;">
            <div>Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
    <div>
      <div>
        <hr noshade="noshade" align="center" style="height: 2px; color: #000000; background-color: #000000; text-align: center; margin-left: auto; margin-right: auto; border: none;"> </div>
      <div>Securities registered pursuant to Section&#160;12(b)&#160;of the Act: </div>
      <div> <br>
      </div>
      <div>
        <table cellspacing="0" cellpadding="0" border="0" id="z5091160f84c44d89b3c9a5cb022f32ac" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; color: #000000; width: 100%;">

            <tr>
              <td style="width: 33%; text-align: center; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
                <div><font style="font-weight: bold;">Title&#160;of&#160;each&#160;class</font> <br>
                </div>
              </td>
              <td style="width: 1%; padding-bottom: 2px;">
                <div>&#160;</div>
              </td>
              <td style="width: 32%; border-bottom: 2px solid rgb(0, 0, 0);">
                <div>
                  <div style="text-align: center;"> <font style="font-weight: bold;">Trading</font></div>
                  <div style="text-align: center;"><font style="font-weight: bold;"> Symbol(s)</font></div>
                </div>
              </td>
              <td style="width: 1%; padding-bottom: 2px;">
                <div>&#160;</div>
              </td>
              <td style="width: 33%; text-align: left; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
                <div><font style="font-weight: bold;">Name&#160;of&#160;each&#160;exchange&#160;on&#160;which&#160;registered</font> <br>
                </div>
              </td>
            </tr>
            <tr>
              <td style="width: 33%;">
                <div>Common stock, par value $0.01 per share <br>
                </div>
              </td>
              <td style="width: 1%;">
                <div>&#160;</div>
              </td>
              <td style="width: 32%;">
                <div>NMFC <br>
                </div>
              </td>
              <td style="width: 1%;">
                <div>&#160;</div>
              </td>
              <td style="width: 33%;">
                <div>New York Stock Exchange <br>
                </div>
              </td>
            </tr>
            <tr>
              <td style="width: 33%;">
                <div>5.75% Notes due 2023 <br>
                </div>
              </td>
              <td style="width: 1%;">
                <div>&#160;</div>
              </td>
              <td style="width: 32%;">
                <div>NMFX <br>
                </div>
              </td>
              <td style="width: 1%;">
                <div>&#160;</div>
              </td>
              <td style="width: 33%;">
                <div>New York Stock Exchange <br>
                </div>
              </td>
            </tr>

        </table>
      </div>
      <br>
    </div>
    <div style="background-color: rgb(255, 255, 255); clear: both;">
      <div>Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &#167;230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR &#167;240.12b-2).<br>
      </div>
      <div> Emerging growth company &#160; &#9744;</div>
      <div> <br>
      </div>
      <div>If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
        Act.&#160; &#9744;<br>
      </div>
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        <tr>
          <td style="width: 9%; vertical-align: top;">
            <div style="font-weight: bold;">Item&#160;8.01.</div>
          </td>
          <td style="width: 91%; vertical-align: top;">
            <div style="font-weight: bold;">&#160;Other Events.</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
    <div style="text-indent: 36pt;">On January 3, 2020, New Mountain Finance Corporation issued a press release to announce the extension of its share repurchase program.&#160; The press release is attached as Exhibit 99.1 to this Form 8-K and is incorporated
      herein by reference.</div>
    <div><br>
    </div>
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        <tr>
          <td style="width: 9%; vertical-align: top;">
            <div style="font-weight: bold;">Item&#160;9.01.</div>
          </td>
          <td style="width: 91%; vertical-align: top;">
            <div style="font-weight: bold;">Financial Statements and Exhibits.</div>
          </td>
        </tr>

    </table>
    <div>d) Exhibits.</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="z5989068f211d4595ac55f894f47a097b">

        <tr>
          <td style="width: 9%; vertical-align: middle; padding-bottom: 2px;">
            <div>&#160;Exhibit</div>
            <div>
              <div><u>Number</u></div>
            </div>
          </td>
          <td style="width: 91%; vertical-align: bottom; border-bottom: 2px solid rgb(0, 0, 0);">
            <div>
              <div>&#160;</div>
              <div>Description</div>
            </div>
          </td>
        </tr>
        <tr>
          <td style="width: 9%; vertical-align: top;">
            <div><a href="a52152446ex99_1.htm">99.1</a></div>
          </td>
          <td style="width: 91%; vertical-align: top;">
            <div><a href="a52152446ex99_1.htm">Press Release, dated January 3, 2020</a></div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
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    <div style="text-align: center; font-weight: bold;">SIGNATURE</div>
    <div>&#160;</div>
    <div style="text-indent: 24.5pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.</div>
    <div><br>
    </div>
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        <tr>
          <td style="width: 49%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="vertical-align: top;">
            <div>NEW MOUNTAIN FINANCE CORPORATION</div>
          </td>
        </tr>
        <tr>
          <td style="width: 49%; vertical-align: middle;">&#160;</td>
          <td style="width: 2%; vertical-align: middle;">&#160;</td>
          <td style="width: 49%; vertical-align: middle;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 49%; vertical-align: top; padding-bottom: 2px;">
            <div>Date: January 3, 2020</div>
          </td>
          <td style="width: 2%; vertical-align: top; padding-bottom: 2px;">
            <div>By:</div>
          </td>
          <td style="width: 49%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div>
              <div>/s/ Karrie J. Jerry</div>
            </div>
          </td>
        </tr>
        <tr>
          <td style="width: 49%; vertical-align: top;">&#160;</td>
          <td style="width: 2%; vertical-align: top;">&#160;</td>
          <td style="width: 49%; vertical-align: top;" rowspan="1">
            <div>Name: Karrie J. Jerry</div>
          </td>
        </tr>
        <tr>
          <td style="width: 49%; vertical-align: top;">&#160;</td>
          <td style="width: 2%; vertical-align: top;">&#160;</td>
          <td style="width: 49%; vertical-align: top;" rowspan="1">
            <div>Title:&#160;&#160; Corporate Secretary</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
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<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>a52152446ex99_1.htm
<DESCRIPTION>EXHIBIT 99.1
<TEXT>
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  <div style="text-align: right;"><font style="font-weight: bold;">Exhibit 99.1</font><br>
  </div>
  <div style="text-align: right;"><font style="font-weight: bold;"> <br>
    </font></div>
  <div style="text-align: right;"><font style="font-weight: bold;"> <br>
    </font></div>
  <div><font style="font-weight: bold;"> </font>
    <div class="bw-release">
      <h1 style="text-align: center; list-style-position:inside;FONT-SIZE: 14pt;"> <b>New Mountain Finance Corporation Extends Share Repurchase Program</b> </h1>
      <div class="bw-release-body">
        <div class="bw-release-table-js bw-release-story">
          <p>NEW YORK--(BUSINESS WIRE)--January 3, 2020--New Mountain Finance Corporation (NYSE:NMFC) (&#8220;NMFC&#8221; or &#8220;the Company&#8221;) today announced that its board of directors has authorized an extension of a program for the purpose of repurchasing up to $50
            million worth of its common stock, to be implemented at the discretion of NMFC&#8217;s management team. Under the repurchase program, NMFC may, but is not obligated to, repurchase its outstanding common stock in the open market from time to time
            provided that NMFC complies with the prohibitions under its Code of Ethics and the guidelines specified in Rule 10b-18 of the Securities Exchange Act of 1934, as amended, including certain price, market volume and timing constraints. Unless
            further extended by NMFC&#8217;s board of directors, the Company expects the repurchase program to be in place until the earlier of December 31, 2020 or until $50 million worth of NMFC&#8217;s outstanding shares of common stock have been repurchased. To
            date, approximately $2.9 million worth of repurchases have been made by the Company under the repurchase program. </p>
          <p> The Company&#8217;s board of directors authorized the extension of the repurchase program because it believes that sustained market volatility and uncertainty may cause NMFC&#8217;s common stock to be undervalued from time to time. The timing and number
            of shares to be repurchased will depend on a number of factors, including market conditions and alternative investment opportunities. In addition, any subsequent repurchases will also be conducted in accordance with the Investment Company Act
            of 1940, as amended. There are no assurances that the Company will engage in additional repurchases, but if market conditions warrant, the Company now has an extended period of time to take advantage of situations where NMFC&#8217;s management
            believes share repurchases would be advantageous to the Company and to its shareholders. </p>
          <p> ABOUT NEW MOUNTAIN FINANCE CORPORATION </p>
          <p> New Mountain Finance Corporation is a closed-end, non-diversified and externally managed investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended. The Company&#8217;s
            investment objective is to generate current income and capital appreciation through the sourcing and origination of debt securities at all levels of the capital structure, including first and second lien debt, notes, bonds and mezzanine
            securities. The Company&#8217;s first lien debt may include traditional first lien senior secured loans or unitranche loans. Unitranche loans combine characteristics of traditional first lien senior secured loans as well as second lien and
            subordinated loans. Unitranche loans will expose the Company to the risks associated with second lien and subordinated loans to the extent it invests in the &#8220;last out&#8221; tranche. In some cases, the investments may also include small equity
            interests. The Company&#8217;s investment activities are managed by its Investment Adviser, New Mountain Finance Advisers BDC, L.L.C., which is an investment adviser registered under the Investment Advisers Act of 1940, as amended. More information
            about New Mountain Finance Corporation can be found on the Company&#8217;s website at http://www.newmountainfinance.com. </p>
          <p> FORWARD-LOOKING STATEMENTS </p>
          <p> Statements included herein may contain &#8220;forward-looking statements&#8221;, which relate to our future operations, future performance or our financial condition. Forward-looking statements are not guarantees of future performance, condition or
            results and involve a number of risks and uncertainties. Actual results and outcomes may differ materially from those anticipated in the forward-looking statements as a result of a variety of factors, including those described from time to time
            in our filings with the Securities and Exchange Commission or factors that are beyond our control. New Mountain Finance Corporation undertakes no obligation to publicly update or revise any forward-looking statements made herein, unless
            required to do so by law. All forward-looking statements speak only as of the time of this press release. </p>
        </div>
        <div class="bw-release-contact">
          <h2 style="FONT-SIZE: 14pt;">Contacts</h2>
          <p> New Mountain Finance Corporation <br>
            Investor Relations <br>
            Shiraz Y. Kajee, Authorized Representative <br>
            NMFCIR@newmountaincapital.com<br>
            (212) 220-3505 </p>
        </div>
      </div>
    </div>
    <font style="font-weight: bold;"> </font></div>
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