0001104659-13-039385.txt : 20130509 0001104659-13-039385.hdr.sgml : 20130509 20130509115301 ACCESSION NUMBER: 0001104659-13-039385 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130506 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20130509 DATE AS OF CHANGE: 20130509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: New Mountain Finance Holdings, L.L.C. CENTRAL INDEX KEY: 0001491925 IRS NUMBER: 263633318 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00839 FILM NUMBER: 13827361 BUSINESS ADDRESS: STREET 1: 787 SEVENTH AVENUE, 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 720-0300 MAIL ADDRESS: STREET 1: 787 SEVENTH AVENUE, 49TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: New Mountain Guardian (Leveraged), L.L.C. DATE OF NAME CHANGE: 20100513 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: 13827359 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 FILER: COMPANY DATA: COMPANY CONFORMED NAME: New Mountain Finance AIV Holdings Corp CENTRAL INDEX KEY: 0001515173 IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00902 FILM NUMBER: 13827360 BUSINESS ADDRESS: STREET 1: 787 7TH AVENUE STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 720-0300 MAIL ADDRESS: STREET 1: 787 7TH AVENUE STREET 2: 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 8-K 1 a13-11855_18k.htm 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of Earliest Event Reported): May 9, 2013 (May 6, 2013)

 

New Mountain Finance Corporation

(Exact name of co-registrant as specified in its charter)

 

Delaware

 

814-00832

 

27-2978010

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification Number)

 

787 7th Avenue, 48th Floor, New York, NY 10019

(Address of principal executive offices)

 

Co-Registrant’s telephone number, including area code (212) 720-0300

 

New Mountain Finance Holdings, L.L.C.

(Exact name of co-registrant as specified in its charter)

 

Delaware

 

814-00839

 

26-3633318

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification Number)

 

787 7th Avenue, 48th Floor, New York, NY 10019

(Address of principal executive offices)

 

Co-Registrant’s telephone number, including area code (212) 720-0300

 

New Mountain Finance AIV Holdings Corporation

(Exact name of co-registrant as specified in its charter)

 

Delaware

 

814-00902

 

80-0721242

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification Number)

 

787 7th Avenue, 48th Floor, New York, NY 10019

(Address of principal executive offices)

 

Co-Registrant’s telephone number, including area code (212) 720-0300

 

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:

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


 

Item 5.07.     Submission of Matters to a Vote of Security Holders

 

New Mountain Finance Corporation, New Mountain Finance Holdings, L.L.C. and New Mountain Finance AIV Holdings Corporation held their Joint 2013 Annual Meeting of Stockholders and Unit holders on May 6, 2013 and submitted one (1) matter to the vote of stockholders/unit holders.  A summary of the matter voted upon by the stockholders and unit holders is set forth below.

 

Election of Directors:

 

Stockholders of New Mountain Finance Corporation elected two nominees for director, each to serve for a three-year term to expire at the 2016 Annual Meeting of Stockholders based on the following votes:

 

Name

 

Votes For

 

Votes Withheld

 

Broker-Non-Votes

 

Alfred F. Hurley, Jr.

 

12,640,680

 

1,324,451

 

—

 

Robert A. Hamwee

 

13,723,582

 

241,549

 

—

 

 

Unit holders of New Mountain Finance Holdings, L.L.C. elected two nominees for director, each to serve for a three-year term to expire at the 2016 Annual Meeting of Stockholders based on the following votes:

 

Name

 

Votes For

 

Votes Withheld

 

Broker-Non-Votes

 

Alfred F. Hurley, Jr.

 

28,862,618

 

1,324,451

 

—

 

Robert A. Hamwee

 

29,945,520

 

241,549

 

—

 

 

Stockholders of New Mountain Finance AIV Holdings Corporation elected two nominees for director, each to serve for a three-year term to expire at the 2016 Annual Meeting of Stockholders based on the following votes:

 

Name

 

Votes For

 

Votes Withheld

 

Broker-Non-Votes

 

Alfred F. Hurley, Jr.

 

100

 

—

 

—

 

Robert A. Hamwee

 

100

 

—

 

—

 

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrants have duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

NEW MOUNTAIN FINANCE CORPORATION

 

NEW MOUNTAIN FINANCE HOLDINGS, L.L.C.

 

NEW MOUNTAIN FINANCE AIV HOLDINGS CORPORATION

 

 

 

 

 

Date: May 9, 2013

By:

/s/ Paula A. Bosco

 

 

Name:

Paula A. Bosco

 

 

Title:

Secretary

 

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