0001209191-14-007705.txt : 20140205 0001209191-14-007705.hdr.sgml : 20140205 20140205182333 ACCESSION NUMBER: 0001209191-14-007705 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140205 FILED AS OF DATE: 20140205 DATE AS OF CHANGE: 20140205 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: CYRUS CAPITAL PARTNERS GP, LLC CENTRAL INDEX KEY: 0001166774 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 14577436 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-380-5800 MAIL ADDRESS: STREET 1: 399 PARK AVENUE, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: OZF MANAGEMENT LLC DATE OF NAME CHANGE: 20020208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CYRUS CAPITAL PARTNERS, LP CENTRAL INDEX KEY: 0001166564 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 14577437 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-380-5821 MAIL ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: OZF MANAGEMENT L P DATE OF NAME CHANGE: 20020205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FREIDHEIM STEPHEN C CENTRAL INDEX KEY: 0001251783 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 14577438 MAIL ADDRESS: STREET 1: C/O OCH ZIFF CAPITAL MANAGEMENT STREET 2: 9 WEST 57TH ST CITY: NEW YORK STATE: NY ZIP: 10019 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-02-05 0 0001578348 CM Finance Inc CMFN 0001251783 FREIDHEIM STEPHEN C 399 PARK AVENUE, 39TH FLOOR NEW YORK NY 10022 0 0 1 0 0001166564 CYRUS CAPITAL PARTNERS, LP 399 PARK AVENUE, 39TH FLOOR NEW YORK NY 10022 0 0 1 0 0001166774 CYRUS CAPITAL PARTNERS GP, LLC 399 PARK AVENUE, 39TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 717818 I By principal of investment manager to Crescent 1, L.P. Common Stock 645273 I By principal of investment manager to CRS Master Fund, L.P. Common Stock 2077091 I By principal of investment manager to Cyrus Opportunities Master Fund II, Ltd. Common Stock 378000 I By principal of investment manager to Cyrus Select Opportunities Master Fund, Ltd. As the principal of Cyrus Capital Partners, L.P. ("CCP"), the investment manager to Crescent 1, L.P., and the principal of Cyrus Capital Partners GP, L.L.C. ("CCPGP"), the general partner of CCP and the managing member of Cyrus Capital Advisors, L.L.C. ("CCA"), Stephen C. Freidheim may be deemed the beneficial owner of a portion of the 717,818 shares of common stock of CM Finance Inc (the "Common Stock") owned by Crescent 1, L.P. An affiliate of CCP, CCA, serves as the general partner to Crescent 1, L.P. and has granted all discretion over Crescent 1, L.P.'s investment activities to CCP. Neither CCP nor CCPGP has a pecuniary interest in Crescent 1, L.P. because CCP receives only an asset-based fee from Crescent 1, L.P. As the principal of CCP, the investment manager to CRS Master Fund, L.P., and the principal of CCPGP, the general partner of CCP and the managing member of CCA, Stephen C. Freidheim may be deemed the beneficial owner of a portion of the 645,273 shares of the Common Stock owned by CRS Master Fund, L.P. CCA serves as the general partner to CRS Master Fund, L.P. and has granted all discretion over CRS Master Fund, L.P.'s investment activities to CCP. Neither CCP nor CCPGP has a pecuniary interest in CRS Master Fund, L.P. because CCP receives only an asset-based fee from CRS Master Fund, L.P. As the principal of CCP, the investment manager to Cyrus Opportunities Master Fund II, Ltd., and the principal of CCPGP, the general partner of CCP, Stephen C. Freidheim may be deemed the beneficial owner of a portion of the 2,077,091 shares of the Common Stock owned by Cyrus Opportunities Master Fund II, Ltd. Neither CCP nor CCPGP has a pecuniary interest in Cyrus Opportunities Master Fund II, Ltd. because CCP only receives an asset-based fee from Cyrus Opportunities Master Fund II, Ltd. As the principal of CCP, the investment manager to Cyrus Select Opportunities Master Fund, Ltd., and the principal of CCPGP, the general partner of CCP, Stephen C. Freidheim may be deemed the beneficial owner of a portion of the 378,000 shares of the Common Stock owned by Cyrus Select Opportunities Master Fund, Ltd. Neither CCP nor CCPGP has a pecuniary interest in Cyrus Select Opportunities Master Fund, Ltd. because CCP only receives an asset-based fee from Cyrus Select Opportunities Master Fund, Ltd. Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein to the extent of his or its pecuniary interest therein, but this filing shall not be deemed an admission that any Reporting Person is or was, for the purposes of Section 16 of the Act of otherwise, a beneficial owner of any securities of the Issuer. Such beneficial ownership is and was expressly disclaimed by each of the Reporting Persons except to the extent of their pecuniary interests. /s/ Stephen C. Freidheim 2014-02-05 EX-99 2 attachment1.htm EX-99 DOCUMENT

                            JOINT FILING INFORMATION

Reporting Person:          STEPHEN C. FREIDHEIM

Address:                   399 PARK AVENUE, 39TH FLOOR
                           NEW YORK, NY 10022

Designated Filer:          STEPHEN C. FREIDHEIM

Issuer and Symbol:        CM FINANCE INC ("CMFN")

Date of Event
Requiring Statement:       2/5/2014

                           /s/ Stephen C. Freidheim
Signature:                 -----------------------------------------
                           Stephen C. Freidheim

Reporting Person:          CYRUS CAPITAL PARTNERS, L.P.

Address:                   399 PARK AVENUE, 39TH FLOOR
                           NEW YORK, NY 10022

Designated Filer:          STEPHEN C. FREIDHEIM

Issuer and Symbol:        CM FINANCE INC ("CMFN")

Date of Event
Requiring Statement:       2/5/2014

                           /s/ Stephen C. Freidheim, Manager of Cyrus Capital
                           Partners GP, L.L.C., the general partner of Cyrus
                           Capital Partners, L.P.
Signature:                 -----------------------------------------
                           Stephen C. Freidheim, Manager of Cyrus Capital
                           Partners GP, L.L.C., the general partner of Cyrus
                           Capital Partners, L.P.

Reporting Person:          CYRUS CAPITAL PARTNERS GP, L.L.C.

Address:                   399 PARK AVENUE, 39TH FLOOR
                           NEW YORK, NY 10022

Designated Filer:          STEPHEN C. FREIDHEIM

Issuer and Symbol:         CM FINANCE INC ("CMFN")

Date of Event
Requiring Statement:       2/5/2014

                           /s/ Stephen C. Freidheim, Manager of Cyrus Capital
                           Partners GP, L.L.C.
Signature:                 -----------------------------------------
                           Stephen C. Freidheim, Manager of Cyrus Capital
                           Partners GP, L.L.C.