Amendment #1 to Schedule 13G

0001193125-12-298591.txt : 20120710 0001193125-12-298591.hdr.sgml : 20120710 20120710155537 ACCESSION NUMBER: 0001193125-12-298591 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20120710 DATE AS OF CHANGE: 20120710 GROUP MEMBERS: COLUMBIA DIVIDEND OPPORTUNITY FUND GROUP MEMBERS: COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC SUBJECT COMPANY: 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86256 FILM NUMBER: 12956003 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2018 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 SC 13G/A 1 d379203dsc13ga.htm AMENDMENT #1 TO SCHEDULE 13G Amendment #1 to Schedule 13G

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Amendment #1

SCHEDULE 13G

Under the Securities and Exchange Act of 1934

New Mountain Finance Corp.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

647551100

(CUSIP Number)

June 30, 2012

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

This Schedule is filed pursuant to Rule 13d-1(b)

The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

CUSIP NO. 647551100


1)	Name of Reporting Person	Ameriprise Financial, Inc.

	S.S. or I.R.S. Identification	IRS No. 13-3180631
	No. of Above Person



2)	Check the Appropriate Box	(a)
	if a Member of a Group	(b) X*

*This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.



3)	SEC Use Only



4)	Citizenship or Place of Organization	Delaware

	NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5)	Sole Voting Power	0
6)	Shared Voting Power	543
7)	Sole Dispositive Power	0
8)	Shared Dispositive Power	1,084,801



9)	Aggregate Amount Beneficially
	Owned by Each Reporting Person	1,084,801



10)	Check if the Aggregate Amount in
	Row (9) Excludes Certain Shares	Not Applicable



11)	Percent of Class Represented by
	Amount In Row (9)	10.14%



12)	Type of Reporting Person	HC

CUSIP NO. 647551100


1)	Name of Reporting Person	Columbia Management Investment Advisers, LLC

	S.S. or I.R.S. Identification	IRS No. 41-1533211
	No. of Above Person



2)	Check the Appropriate Box	(a)
	if a Member of a Group	(b) X*

*This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.



3)	SEC Use Only



4)	Citizenship or Place of Organization	Minnesota

	NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5)	Sole Voting Power	0
6)	Shared Voting Power	543
7)	Sole Dispositive Power	0
8)	Shared Dispositive Power	1,084,801



9)	Aggregate Amount Beneficially
	Owned by Each Reporting Person	1,084,801



10)	Check if the Aggregate Amount in
	Row (9) Excludes Certain Shares	Not Applicable



11)	Percent of Class Represented by
	Amount In Row (9)	10.14%



12)	Type of Reporting Person	IA

CUSIP NO. 647551100


1)	Name of Reporting Person	Columbia Dividend Opportunity Fund

	S.S. or I.R.S. Identification	41-1610263
	No. of Above Person



2)	Check the Appropriate Box	(a)
	if a Member of a Group	(b) X*

*This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.



3)	SEC Use Only



4)	Citizenship or Place of Organization	Massachusetts

	NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5)	Sole Voting Power	1,084,258
6)	Shared Voting Power	0
7)	Sole Dispositive Power	0
8)	Shared Dispositive Power	1,084,258



9)	Aggregate Amount Beneficially
	Owned by Each Reporting Person	1,084,258



10)	Check if the Aggregate Amount in
	Row (9) Excludes Certain Shares	Not Applicable



11)	Percent of Class Represented by
	Amount In Row (9)	10.14%



12)	Type of Reporting Person	IV


1(a)	Name of Issuer:	New Mountain Finance Corp.

1(b)	Address of Issuer’s Principal	787 7^th Ave., 48^th Floor
	Executive Offices:	New York, NY 10019

2(a)	Name of Person Filing:	(a) Ameriprise Financial, Inc. (“AFI”)
		(b) Columbia Management Investment
		Advisers, LLC (“CMIA”)
		(c) Columbia Dividend Opportunity Fund (“Fund”)

2(b)	Address of Principal Business Office:	(a) Ameriprise Financial, Inc.
		145 Ameriprise Financial Center
		Minneapolis, MN 55474
		(b) 225 Franklin St.
		Boston, MA 02110
		(c) 225 Franklin St.
		Boston, MA 02110

2(c)	Citizenship:	(a) Delaware
		(b) Minnesota
		(c) Massachusetts

2(d)	Title of Class of Securities:	Common Stock

2(e)	Cusip Number:	647551100

3	Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b):

	(a) Ameriprise Financial, Inc.

	A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7)

	(b) Columbia Management Investment Advisers, LLC

	An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).

	(c) Columbia Dividend Opportunity Fund

	An investment company in accordance with Rule 13d-1(b)(1)(ii)(D).

4	Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.

	CMIA and AFI do not directly own any shares of Common Stock of the issuer. As the investment adviser to the Fund and various other unregistered and registered investment companies and other managed accounts, CMIA may be deemed to beneficially own the shares reported herein by the Fund. Accordingly, the shares


		reported herein by CMIA include those shares separately reported herein by the Fund.

		As the parent holding company of CMIA, AFI may be deemed to beneficially own the shares reported herein by CMIA. Accordingly, the shares reported herein by AFI include those shares separately reported herein by CMIA.

		Each of AFI and CMIA, and the subsidiaries identified on the attached Exhibit I, disclaims beneficial ownership of any shares reported on this Schedule.

5		Ownership of 5% or Less of a Class: Not Applicable

6		Ownership of more than 5% on Behalf of Another Person:

		To the knowledge of AFI, CMIA and the Fund, no other persons besides AFI, CMIA and the Fund and those persons for whose shares of common stock CMIA and AFI report beneficial ownership have the right to receive or the power to direct the receipt of dividends from or the proceeds from the sale of the securities of the issuer reported herein. As of June 30, 2012, only the Fund owned more than 5% of the class of securities reported herein.

		Any remaining shares reported herein by CMIA are held by various other funds or accounts managed by CMIA which each have the right to receive any dividends paid by the issuer and could terminate their respective investment advisory relationship with CMIA and then subsequently direct the use of proceeds from the sale of the common stock owned by such fund or account. To CMIA’s knowledge, none of these other funds or accounts own more than 5% of the outstanding shares of the issuer as June 30, 2012.

7		Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:

		AFI: See Exhibit I

8		Identification and Classification of Members of the Group:

		Not Applicable

9		Notice of Dissolution of Group:

		Not Applicable

10		Certification:

		By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect.

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: July 10, 2012


Ameriprise Financial, Inc.

By:		/s/ Wade M. Voigt
		Name: Wade M. Voigt
		Title: Vice President – Fund Administration – Financial Reporting


Columbia Management Investment Advisers, LLC

By:		/s/ Amy Johnson
		Name: Amy Johnson
		Title: Chief Operating Officer


Columbia Dividend Opportunity Fund

By:		/s/ Scott R. Plummer
		Name: Scott R. Plummer
		Title: Senior Vice President, Secretary and Chief Legal Officer


Contact Information
		Wade M. Voigt
		Vice President – Fund Administration – Financial Reporting
		Telephone: (612) 671-5682

Exhibit Index



Exhibit I		Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company.

Exhibit II		Joint Filing Agreement

EX-99.I 2 d379203dex99i.htm IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY Identification and Classification of the Subsidiary

Exhibit I

Schedule 13G

Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows:

Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940.

EX-99.II 3 d379203dex99ii.htm JOINT FILING AGREEMENT Joint Filing Agreement

Exhibit II

Schedule 13G

Joint Filing Agreement

The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated July 10, 2012 in connection with their beneficial ownership of New Mountain Finance Corp. Each of Columbia Dividend Opportunity Fund and Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make any necessary amendments thereto.


Ameriprise Financial, Inc.

By:		/s/ Wade M. Voigt
		Wade M. Voigt
		Vice President – Fund Administration – Financial Reporting


Columbia Management Investment Advisers, LLC

By:		/s/ Amy Johnson
		Amy Johnson
		Chief Operating Officer


Columbia Dividend Opportunity Fund

By:		/s/ Scott R. Plummer
		Scott R. Plummer
		Senior Vice President, Secretary and Chief Legal Officer