0000899243-15-008161.txt : 20151116 0000899243-15-008161.hdr.sgml : 20151116 20151116110009 ACCESSION NUMBER: 0000899243-15-008161 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151113 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 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: 601 LEXINGTON AVENUE STREET 2: 26TH FLOOR SUITE C CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-388-5813 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 26TH FLOOR SUITE C CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAUER MICHAEL CENTRAL INDEX KEY: 0001498608 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01054 FILM NUMBER: 151232479 MAIL ADDRESS: STREET 1: C/O ICAHN CAPITAL LP STREET 2: 767 FIFTH AVE., SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10153 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-13 0 0001578348 CM Finance Inc CMFN 0001498608 MAUER MICHAEL C/O CM FINANCE INC 601 LEXINGTON AVE, 26TH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Executive Officer Common Stock 2015-11-13 4 P 0 100 11.38 A 92599.442 D Common Stock 2015-11-13 4 P 0 1027 11.40 A 93626.442 D Common Stock 2015-11-13 4 P 0 2 11.20 A 93628.442 D Common Stock 2015-11-13 4 P 0 200 11.23 A 93828.442 D Common Stock 2015-11-13 4 P 0 500 11.2399 A 94328.442 D Common Stock 2015-11-13 4 P 0 200 11.24 A 94528.442 D Common Stock 2015-11-13 4 P 0 100 11.2425 A 94628.442 D Common Stock 2015-11-13 4 P 0 100 11.24 A 94728.442 D Common Stock 2015-11-13 4 P 0 200 11.25 A 94928.442 D Common Stock 2015-11-13 4 P 0 200 11.27 A 95128.442 D Common Stock 2015-11-13 4 P 0 300 11.28 A 95428.442 D Common Stock 2015-11-13 4 P 0 100 11.2799 A 95528.442 D Common Stock 2015-11-13 4 P 0 100 11.275 A 95628.442 D Common Stock 2015-11-13 4 P 0 452 11.29 A 96080.442 D Common Stock 2015-11-13 4 P 0 200 11.32 A 96280.442 D Common Stock 2015-11-13 4 P 0 100 11.35 A 96380.442 D Common Stock 2015-11-13 4 P 0 621 11.37 A 97001.442 D Common Stock 2015-11-13 4 P 0 200 11.36 A 97201.442 D Includes 0.165 shares acquired under the CM Finance Inc dividend reinvestment plan. /s/ Michael C. Mauer 2015-11-16