Основная статистика
| LEI | 549300ZRNRCSKPLGYQ55 |
| CIK | 1578348 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Investcorp Credit Management BDC, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 14, 2025 |
EX-99.1 Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Financial Results for the Quarter Ended June 30, 2025, and Quarterly and Supplemental Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) announced its financial results today for its fiscal quarter ended June 30, 2025. HIGHLIGHTS • On August 7, 2025, the Company’s Board of Directors (the |
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| August 14, 2025 |
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): August 12, 2025 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporati |
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| August 14, 2025 |
EX-99.2 Exhibit 99.2 Investcorp Credit Management BDC, Inc. Investor Update Presentation June 30, 2025 LOS ANGELES NEW YORK LONDON BAHRAIN ABU DHABI RIYADH DOHA MUMBAI DELHI BEIJING SINGAPORE TOKYO Forward-looking Statements and Disclosures Statements included in this presentation may contain “forward-looking statements,” which relate to future performance or financial condition of Investcorp Cred |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. (Exac |
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| July 18, 2025 |
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): July 16, 2025 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporation |
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| May 15, 2025 |
EX-99.1 Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Financial Results for the Quarter Ended March 31, 2025, and Quarterly Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) announced its financial results today for its fiscal quarter ended March 31, 2025. HIGHLIGHTS • On March 20, 2025, the Company’s Board of Directors (the “Board”) decla |
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| May 15, 2025 |
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 13, 2025 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporation) |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. (Exa |
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| March 27, 2025 |
Results of Operations and Financial Condition 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): March 25, 2025 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporatio |
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| March 27, 2025 |
Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Financial Results for the Fiscal Period Ended December 31, 2024, and Quarterly Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) announced its financial results today for its fiscal period ended December 31, 2024. HIGHLIGHTS • On March 20, 2025, the Company’s Board of Directors (the “Board”) de |
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| March 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-KT (Mark One) ☐ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☒ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM JULY 1, 2024 TO December 31, 2024 COMMISSION FILE |
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| March 25, 2025 |
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): March 24, 2025 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporatio |
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| February 28, 2025 |
CORRESP 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| December 9, 2024 |
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): December 4, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| November 20, 2024 |
EX-10.1 Exhibit 10.1 FIFTH AMENDMENT TO LOAN, SECURITY AND COLLATERAL MANAGEMENT AGREEMENT THIS FIFTH AMENDMENT TO LOAN, SECURITY AND COLLATERAL MANAGEMENT AGREEMENT (this “Amendment”), dated as of November 19, 2024 (“Effective Date”), is entered into by and among: (1) INVESTCORP CREDIT MANAGEMENT BDC SPV, LLC, a Delaware limited liability company, as the borrower (the “Borrower”); (2) EACH OF THE |
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| November 20, 2024 |
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): November 19, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpora |
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| November 14, 2024 |
Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Financial Results for the Quarter Ended September 30, 2024, and Quarterly Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) announced its financial results today for its fiscal quarter ended September 30, 2024. HIGHLIGHTS • On November 6, 2024, the Company’s Board of Directors (the “Board”) dec |
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| November 14, 2024 |
Results of Operations and Financial Condition 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): November 12, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpora |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. |
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| October 21, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a- |
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| September 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 Investcorp Credit Management BDC, Inc. (Exact Name o |
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| September 25, 2024 |
Statement of Policy on Insider Trading Exhibit 19.1 INVESTCORP CREDIT MANAGEMENT BDC, INC. INVESTCORP US PRIVATE CREDIT BDC II CM INVESTMENT PARTNERS, LLC STATEMENT OF POLICY ON INSIDER TRADING Introduction It is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material, non-public information. It is also illegal to communicate (or “tip”) material, non-public information to others |
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| September 25, 2024 |
Exhibit 4.4 DESCRIPTION OF SECURITIES As of the date of this Annual Report on Form 10-K, Investcorp Credit Management BDC, Inc. (“we,” “our” or the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): its common stock, par value $0.001 per share (“common stock”). Descriptions of the Company’s common stock and th |
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| September 25, 2024 |
Exhibit 97.1 INVESTCORP CREDIT MANAGEMENT BDC, INC. CLAWBACK POLICY The Board of Directors (the “Board”) of Investcorp Credit Management BDC, Inc. (the “Company”) has adopted this Clawback Policy (the “Policy”) to comply with Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), Rule 10D-1 promulgated under the Exchange Act (“Rule 10D- 1”) and Rule 5608 of the corpor |
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| September 24, 2024 |
Letter furnished by RSM US LLP, dated September 24, 2024 Exhibit 16.1 RSM US LLP 555 17th St Suite 1200 Denver, CO 80202 T +1 303 298 6400 F +1 303 298 6401 www.rsmus.com September 24, 2024 Securities and Exchange Commission Washington, D.C. 20549 Commissioners: We have read Investcorp Credit Management BDC, Inc.’s statements included under Item 4.01(a) of its Form 8-K filed on September 24, 2024 and we agree with such statements concerning our firm. |
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| September 24, 2024 |
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): September 18, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpor |
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| July 2, 2024 |
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): June 27, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporation |
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| May 14, 2024 |
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 13, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporation) |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. (Exa |
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| May 14, 2024 |
Investcorp Credit Management BDC, Inc. Announces CEO Transition Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces CEO Transition NEW YORK – May 13, 2024 – Investcorp Credit Management BDC, Inc. (formerly CM Finance Inc.) (NASDAQ: ICMB) (“ICMB” or the “Company”), today announced that the Company’s President, Suhail A. Shaikh, has been appointed Chief Executive Officer, effective immediately. Outgoing CEO Michael C. Mauer will remain Chairman of the |
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| March 12, 2024 |
SC 13D/A 1 p24-1177sc13da.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 46090R104 (CUSIP Number) Jennifer M. Pulick General Counsel Cyrus Cap |
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| February 20, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 46090R104 (CUSIP Number) Jennifer M. Pulick General Counsel Cyrus Capital Partners, L.P. 65 East 55th Street, 35th Floor New York, New Yor |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. ( |
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| February 14, 2024 |
SEC FILE NUMBER 814-01054 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 14, 2024 |
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): February 8, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| January 23, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): January 17, 2024 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| January 23, 2024 |
Exhibit 10.1 FOURTH AMENDMENT TO LOAN, SECURITY AND COLLATERAL MANAGEMENT AGREEMENT THIS FOURTH AMENDMENT TO LOAN, SECURITY AND COLLATERAL MANAGEMENT AGREEMENT (this “Amendment”), dated as of January 17, 2024 (“Effective Date”), is entered into by and among: (1) INVESTCORP CREDIT MANAGEMENT BDC SPV, LLC, a Delaware limited liability company, as the borrower (the “Borrower”); (2) EACH OF THE LENDER |
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| January 8, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 46090R104 (CUSIP Number) Jennifer M. Pulick General Counsel Cyrus Capital Partners, L.P. 65 East 55th Street, 35th Floor New York, New Yor |
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| December 1, 2023 |
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): November 28, 2023 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpora |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. |
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| November 9, 2023 |
Submission of Matters to a Vote of Security Holders 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): November 9, 2023 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| September 28, 2023 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 21, 2023 |
Exhibit 4.4 DESCRIPTION OF SECURITIES As of the date of this Annual Report on Form 10-K, Investcorp Credit Management BDC, Inc. (“we,” “our” or the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): its common stock, par value $0.001 per share (“common stock”).ng descriptions of the Company’s common stock and |
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| September 21, 2023 |
Exhibit 19.1 INVESTCORP CREDIT MANAGEMENT BDC, INC. INVESTCORP US PRIVATE CREDIT BDC II INVESTCORP US INSTITUTIONAL PRIVATE CREDIT FUND STATEMENT OF POLICY ON INSIDER TRADING Introduction It is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material, non-public information. It is also illegal to communicate (or “tip”) material, non-public i |
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| September 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 Investcorp Credit Management BDC, Inc. (Exact Name o |
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| September 20, 2023 |
Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Financial Results for the Quarter Ended June 30, 2023, and Quarterly and Supplemental Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) announced its financial results today for its fiscal fourth quarter ended June 30, 2023. HIGHLIGHTS • On September 14, 2023, the Company’s Board of Directors ( |
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| September 20, 2023 |
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): September 14, 2023 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpor |
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| June 21, 2023 |
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): June 14, 2023 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporation |
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| June 21, 2023 |
EX-10.1 Exhibit 10.1 THIRD AMENDMENT TO LOAN, SECURITY AND INVESTMENT MANAGEMENT AGREEMENT THIS THIRD AMENDMENT TO LOAN, SECURITY AND INVESTMENT MANAGEMENT AGREEMENT (this “Amendment”), dated as of June 14, 2023 (“Effective Date”), is entered into by and among: (1) INVESTCORP CREDIT MANAGEMENT BDC SPV, LLC, a Delaware limited liability company, as the borrower (the “Borrower”); (2) EACH OF THE LEN |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. (Exa |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. ( |
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| February 8, 2023 |
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): February 2, 2023 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| January 24, 2023 |
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): January 23, 2023 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| November 22, 2022 |
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): November 18, 2022 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incor |
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| November 22, 2022 |
EX-10.1 Exhibit 10.1 SECOND AMENDMENT TO LOAN, SECURITY AND INVESTMENT MANAGEMENT AGREEMENT THIS SECOND AMENDMENT TO LOAN, SECURITY AND INVESTMENT MANAGEMENT AGREEMENT (this “Amendment”), dated as of November 18, 2022 (“Effective Date”), is entered into by and among: (1) INVESTCORP CREDIT MANAGEMENT BDC SPV, LLC, a Delaware limited liability company, as the borrower (the “Borrower”); (2) EACH OF T |
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| November 14, 2022 |
Submission of Matters to a Vote of Security Holders 8-K 1 d385219d8k.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): November 11, 2022 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 d372393d10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814 |
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| September 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive |
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| September 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 10-K 1 d353085d10k.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED JUNE 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT M |
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| September 13, 2022 |
Exhibit 4.4 DESCRIPTION OF SECURITIES As of the date of this Annual Report on Form 10-K, Investcorp Credit Management BDC, Inc. (?we,? ?our? or the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): its common stock, par value $0.001 per share (?common stock?).ng descriptions of the Company?s common stock and |
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| September 6, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): September 6, 2022 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpora |
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| September 6, 2022 |
Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Financial Results for the Quarter Ended June 30, 2022, and Quarterly Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (?ICMB? or the ?Company?) announced its financial results today for its fiscal fourth quarter ended June 30, 2022. HIGHLIGHTS ? On August 25, 2022, the Company?s Board of Directors (the ?Board?) declare |
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| May 10, 2022 |
Exhibit 1 STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (this ?Agreement?), dated as of May 5, 2022 is by and among the entities listed on the Schedule of Sellers attached hereto (each a ?Seller? and together, the ?Sellers?), and Investcorp BDC Holdings Limited, a company organized under the laws of the Cayman Islands (?Purchaser?). |
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| May 10, 2022 |
ICMB / Investcorp Credit Management Bdc Inc / Investcorp S.a. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Ca |
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| May 9, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 46090R104 (CUSIP Number) Jennifer M. Pulick General Counsel Cyrus Capital Partners, L.P. 65 East 55th Street, 35th Floor New York, New Yor |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 d42506d10q.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE |
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| March 30, 2022 |
RW 1 d344237drw.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Investcorp Credit Management BDC, Inc. 280 Park Avenue, 39th floor New York, New York 10017 (212) 257-5199 March 30, 2022 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington D.C. 20549 Re: Withdrawal of Registration Statement on Form N-2 (File No. 333-260533) Ladies and Gentlemen: Inves |
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| March 30, 2022 |
Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| February 11, 2022 |
8-K 1 d145587d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): February 11, 2022 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 81 |
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| February 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 d28835d10q.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FI |
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| November 23, 2021 |
Termination of a Material Definitive Agreement 8-K 1 d270221d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): November 19, 2021 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 81 |
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| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 d228154d10q.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION |
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| November 3, 2021 |
Submission of Matters to a Vote of Security Holders 8-K 1 d230883d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): November 3, 2021 (November 3, 2021) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its ch |
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| September 24, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| September 23, 2021 |
ICMB / Investcorp Credit Management Bdc Inc / Investcorp S.a. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Caym |
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| September 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED JUNE 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CR |
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| September 14, 2021 |
Exhibit 4.5 DESCRIPTION OF SECURITIES As of the date of this Annual Report on Form 10-K, Investcorp Credit Management BDC, Inc. (?we,? ?our? or the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): its common stock, par value $0.001 per share (?common stock?).ng descriptions of the Company?s common stock and |
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| September 14, 2021 |
Report of Independent Registered Public Accounting Firm on Supplemental Information Report of Independent Registered Public Accounting Firm Stockholders and the Board of Directors of Investcorp Credit Management BDC, Inc. |
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| September 7, 2021 |
Unregistered Sales of Equity Securities 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): September 7, 2021 (September 3, 2021) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other juris |
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| August 31, 2021 |
ICMB / Investcorp Credit Management Bdc Inc / Investcorp S.a. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Caym |
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| August 30, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 46090R104 (CUSIP Number) Jennifer M. Pulick General Counsel Cyrus Capital Partners, L.P. 65 East 55th Street, 35th Floor New York, New Yor |
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| August 27, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 46090R104 (CUSIP Number) Jennifer M. Pulick General Counsel Cyrus Capital Partners, L.P. 65 East 55th Street, 35th Floor New York, New Yor |
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| August 25, 2021 |
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): August 25, 2021 (August 23, 2021) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdict |
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| August 25, 2021 |
Exhibit 99.1 Investcorp Credit Management BDC, Inc. Announces Preliminary Financial Results for the Quarter Ended June 30, 2021 and Quarterly Distribution Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (?ICMB? or the ?Company?) announced its preliminary financial results today for its fiscal fourth quarter ended June 30, 2021. HIGHLIGHTS ? On August 25, 2021, the Company?s Board declared a |
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| August 25, 2021 |
Exhibit 10.1 UP TO U.S. $115,000,000 LOAN, SECURITY AND INVESTMENT MANAGEMENT AGREEMENT by and among CM INVESTMENT PARTNERS LLC, as the Investment Manager INVESTCORP CREDIT MANAGEMENT BDC SPV, LLC, as the Borrower EACH OF THE LENDERS FROM TIME TO TIME PARTY HERETO, as the Lenders CAPITAL ONE, NATIONAL ASSOCIATION, as the Administrative Agent, Hedge Counterparty, Swingline Lender and Arranger and W |
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| August 25, 2021 |
Exhibit 10.2 SALE AND CONTRIBUTION AGREEMENT by and between INVESTCORP CREDIT MANAGEMENT BDC SPV, LLC, as the Buyer and INVESTCORP CREDIT MANAGEMENT BDC, INC., as the Seller August 23, 2021 TABLE OF CONTENTS Page ARTICLE I GENERAL 1 Section 1.1 Defined Terms 1 Section 1.2 Other Terms 2 Section 1.3 Computation of Time Periods 2 Section 1.4 Interpretation 2 ARTICLE II SALE, TRANSFER AND ASSIGNMENT 3 |
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| August 25, 2021 |
Exhibit 10.3 PLEDGE AGREEMENT THIS PLEDGE AGREEMENT (this ?Agreement?) dated as of August 23, 2021 is executed by INVESTCORP CREDIT MANAGEMENT BDC, INC., a Maryland corporation (?Pledgor?), in favor of CAPITAL ONE, NATIONAL ASSOCIATION, a national banking association, as administrative agent for itself, as a Secured Party and for the other Secured Parties (in such capacities, ?Administrative Agent |
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| May 10, 2021 |
Quarterly Report - INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVESTCORP CREDIT MANAGEMENT BDC, INC. (Exa |
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| March 31, 2021 |
Exhibit 4.1 SECOND SUPPLEMENTAL INDENTURE between INVESTCORP CREDIT MANAGEMENT BDC, INC. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of March 31, 2021 THIS SECOND SUPPLEMENTAL INDENTURE (this ?Second Supplemental Indenture?), dated as of March 31, 2021, is between Investcorp Credit Management BDC, Inc. (formerly known as CM Finance Inc), a Maryland corporation (the ?Company?), and U.S. |
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| March 31, 2021 |
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): March 31, 2021 (March 31, 2021) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation) 8 |
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| March 26, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 d124541d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): March 26, 2021 (March 24, 2021) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charte |
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| March 26, 2021 |
NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.125% Notes due 2023 of Investcorp Credit Management BDC, Inc. (CUSIP No. 12574Q 202; NASDAQ: CMFNL)* Redemption Date: April 25, 2021 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of July 2, 2018 (the ?Base Indenture?), between Investcorp Credit Management BDC, Inc., a Maryland corporation (the ?Company?), and U.S. Bank Natio |
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| March 26, 2021 |
Exhibit 1.1 $65,000,000 Aggregate Principal Amount 4.875% Notes Due 2026 Investcorp Credit Management BDC, Inc. UNDERWRITING AGREEMENT March 24, 2021 Raymond James & Associates, Inc. As representative of the several underwriters named in Schedule A c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Investcorp Credit Management BDC, Inc., a |
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| March 25, 2021 |
INVESTCORP CREDIT MANAGEMENT BDC, INC. 4.875% Notes due 2026 PRICING TERM SHEET March 24, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated March 24, 2021 Relating to Preliminary Prospectus Supplement dated March 24, 2021 and Prospectus dated April 10, 2019 Registration No. |
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| March 25, 2021 |
Investcorp Credit Management BDC, Inc. 4.875% Notes due 2026 424B2 1 d61061d424b2.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-223999 PROSPECTUS SUPPLEMENT (to Prospectus dated April 10, 2019) Investcorp Credit Management BDC, Inc. $65,000,000 4.875% Notes due 2026 Investcorp Credit Management BDC, Inc. (formerly known as CM Finance Inc), a Maryland corporation, is a closed-end, externall |
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| March 24, 2021 |
SUBJECT TO COMPLETION DATED March 24, 2021 424B2 1 d61061d424b2.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an of |
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| February 9, 2021 |
Quarterly Report - INVESTCORP CREDIT MANAGEMENT BDC, INC. 10-Q 1 d826240d10q.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION F |
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| November 9, 2020 |
Quarterly Report - INVESTCORP CREDIT MANAGEMENT BDC, INC. INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE |
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| November 4, 2020 |
Submission of Matters to a Vote of Security Holders 8-K 1 d28029d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): November 4, 2020 (November 3, 2020) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its cha |
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| October 5, 2020 |
Investcorp Credit Management BDC, Inc. 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): October 5, 2020 (September 30, 2020) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814- |
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| October 5, 2020 |
Eighth Supplemental Indenture with an attached Eighth Amended Execution Version EIGHTH SUPPLEMENTAL INDENTURE, dated as of September 30 2020 (this Eighth Supplemental Indenture), between CM FINANCE SPV LTD. |
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| October 5, 2020 |
Amended Confirmation under the GMRA with respect to the Class A-1 Notes, between the Company and UBS Amended Confirmation under the GMRA with respect to the Class A-1 Notes Execution Version Amended and Restated Confirmation in respect of Repurchase Transaction (Class A Notes) September 30, 2020 To: Investcorp Credit Management BDC, Inc. |
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| October 5, 2020 |
Third Amended and Restated Revolving Credit Note Agreement Execution Version Dated as of September 30, 2020 CM FINANCE SPV LTD. |
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| October 5, 2020 |
Confirmation under the GMRA with respect to the Revolving Financing, between the Company and UBS(10) Confirmation under the GMRA with respect to the Revolving Financing Execution Version Amended and Restated Confirmation in respect of Repurchase Transaction (Class A-R Notes) September 30, 2020 To: Investcorp Credit Management BDC, Inc. |
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| September 24, 2020 |
- INVESTCORP CREDIT MANAGEMENT BDC, INC. DEF 14A 1 d60871ddef14a.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| September 22, 2020 |
Annual Report - INVESTCORP CREDIT MANAGEMENT BDC, INC. 10-K 1 d78426d10k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED JUNE 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 8 |
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| September 22, 2020 |
Description of Securities Exhibit 4.5 DESCRIPTION OF SECURITIES As of the date of this Annual Report on Form 10-K, Investcorp Credit Management BDC, Inc. (“we,” “our” or the “Company”) has two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, par value $0.001 per share (“common stock”), and (ii) its 6.12 |
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| September 22, 2020 |
Report of Independent Registered Public Accounting Firm on Supplemental Information Report of Independent Registered Public Accounting Firm on Supplemental Info Exhibit 99. |
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| September 14, 2020 |
Press Release, dated September 14, 2020 Investcorp Credit Management BDC, Inc. Reports Results for its Fiscal Fourth Quarter Ended June 30, 2020 Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) announced its financial results today for its fiscal fourth quarter ended June 30, 2020. HIGHLIGHTS • ICMB made six investments, and funded under one revolving commitment, acr |
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| September 14, 2020 |
Investcorp Credit Management BDC, Inc. 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): September 14, 2020 (September 14, 2020) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 8 |
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| May 11, 2020 |
Quarterly Report - INVESTCORP CREDIT MANAGEMENT BDC, INC. 10-Q 1 d914403d10q.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 19 |
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| March 23, 2020 |
CMFN / CM Finance Inc / Investcorp S.a. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Caym |
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| March 12, 2020 |
ICMB / Investcorp Credit Management BDC, Inc. / CYRUS CAPITAL PARTNERS, L.P. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| March 10, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Investcorp Credit Management BDC, Inc. 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): March 10, 2020 (March 9, 2020) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 |
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| March 10, 2020 |
Mutual Purchase Agreement Waiver and Agreement, dated March 9, 2020. March 9, 2020 Investcorp Credit Management BDC, Inc. 290 Park Ave, 39th Floor New York, New York 10017 Attention: Michael C. Mauer Re: Second Mutual Purchase Agreement Waiver and Agreement Dear Mr. Mauer: Reference is made to the Stock Purchase and Transaction Agreement, dated as of June 26, 2019 (the “Purchase Agreement”), as we |
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| March 6, 2020 |
Unregistered Sales of Equity Securities Investcorp Credit Management BDC, Inc. 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): March 6, 2020 (March 4, 2020) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 4 |
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| February 14, 2020 |
ICMB / Investcorp Credit Management BDC, Inc. / CAXTON CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2020 |
ICMB / Investcorp Credit Management BDC, Inc. / CYRUS CAPITAL PARTNERS, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. |
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| February 10, 2020 |
CMFN / CM Finance Inc 10-Q - Quarterly Report - INVESTCORP CREDIT MANAGEMENT BDC, INC. INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 I |
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| December 6, 2019 |
CMFN / CM Finance Inc / Investcorp S.a. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Caym |
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| December 5, 2019 |
Unregistered Sales of Equity Securities 8-K 1 d843976d8k.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): December 5, 2019 (December 4, 2019) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its ch |
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| December 5, 2019 |
Submission of Matters to a Vote of Security Holders Investcorp Credit Management BDC, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2019 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 ( |
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| November 22, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. DEFA14A - - INVESTCORP CREDIT MANAGEMENT BDC, INC. DEFA14A 1 d820396ddefa14a.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commis |
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| November 12, 2019 |
INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE |
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| November 7, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. DEFA14A - - INVESTCORP CREDIT MANAGEMENT BDC, INC. Investcorp Credit Management BDC, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rul |
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| November 7, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. DEFA14A - - INVESTCORP CREDIT MANAGEMENT BDC, INC. Investcorp Credit Management BDC, Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rul |
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| November 6, 2019 |
Press release, dated November 6, 2019. Investcorp Credit Management BDC, Inc. Announces Results from its 2019 Annual Meeting of Stockholders NEW YORK, November 6, 2019 – Investcorp Credit Management BDC, Inc. (the “Company”) (NASDAQ: ICMB) announced today that it will reconvene its 2019 Annual Meeting of Stockholders (the “Annual Meeting”) on December 5, 2019 at 2:00 p.m. (Eastern Time) at the off |
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| November 6, 2019 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders Investcorp Credit Management BDC, Inc. 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): November 6, 2019 (November 6, 2019) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-0 |
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| October 18, 2019 |
EX-99.5.1 3 d821066dex9951.htm OPINION OF EVERSHEDS SUTHERLAND Exhibit 5.1 October 18, 2019 Investcorp Credit Management BDC, Inc. 65 East 55th Street, 15th Floor New York, NY 10022 Ladies and Gentlemen: We have acted as counsel to Investcorp Credit Management BDC, Inc. (formerly CM Finance Inc), a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (Fil |
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| October 18, 2019 |
Underwriting Agreement dated October 16, 2019 $15,000,000 Aggregate Principal Amount 6. |
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| October 18, 2019 |
Investcorp Credit Management BDC, Inc. 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): October 18, 2019 Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (St |
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| October 15, 2019 |
Report of RSM US LLP with respect to the “Senior Securities” table* Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Stockholders and the Board of Directors of Investcorp Credit Management BDC, Inc. |
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| October 15, 2019 |
EX-99.(N)(5) 2 d784787dex99n5.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm We consent to the use in this Post-Effective Amendment No. 4 to the Registration Statement (No. 333 - 223999) on Form N-2 of Investcorp Credit Management BDC, Inc. and subsidiaries (formerly CM Finance Inc) (the “Company”) of our reports dated Septembe |
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| October 15, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. POS EX - - INVESTCORP CREDIT MANAGEMENT BDC, INC. Investcorp Credit Management BDC, Inc. As filed with the Securities and Exchange Commission on October 15, 2019 Securities Act File No. 333-223999 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☐ Pre-Effective Amendment No. ☒ Post-Effective Amendment No. 4 INVESTCORP CREDIT MANAGEMENT BDC, INC. (Exact Name of Registra |
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| October 15, 2019 |
Results of Operations and Financial Condition Investcorp Credit Management BDC, Inc. 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): October 15, 2019 (October 15, 2019) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-0 |
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| October 10, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. DEF 14A - - INVESTCORP CREDIT MANAGEMENT BDC, INC. DEF 14A 1 d801607ddef14a.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of |
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| October 7, 2019 |
CMFN / CM Finance Inc / Investcorp S.a. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Caym |
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| October 4, 2019 |
RIGHT OF FIRST OFFER AGREEMENT EX-99.2 Exhibit 2 EXECUTION VERSION RIGHT OF FIRST OFFER AGREEMENT This RIGHT OF FIRST OFFER AGREEMENT, dated as of August 30, 2019 (this “Agreement”), is by and between Stifel Venture Corp., a Missouri corporation (“Stockholder”), and Investcorp BDC Holdings Limited, a company organized under the laws of the Cayman Islands (“Buyer”). RECITALS WHEREAS, Stockholder is the record and beneficial owne |
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| October 4, 2019 |
EX-99.1 Exhibit 1 SUPPORT AND VOTING AGREEMENT This SUPPORT AND VOTING AGREEMENT, dated as of June 26, 2019 (this “Agreement”), is by and between Stifel Venture Corp., a Missouri corporation (“Stockholder”), and Investcorp Credit Management US LLC, a Delaware limited liability company (“Buyer”). RECITALS WHEREAS, Stockholder is the record and beneficial owner of 2,181,818 shares of the common stoc |
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| October 4, 2019 |
CMFN / CM Finance Inc / STIFEL FINANCIAL CORP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* INVESTCORP CREDIT MANAGEMENT BDC, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12574Q103 (CUSIP Number) Bryan Cave Leighton Paisner LLP One Metropolitan Square 211 North Broadway, Suite 3600 St. L |
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| October 4, 2019 |
Agreement regarding filing of joint Schedule 13D. Exhibit F JOINT FILING STATEMENT I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the Common Stock of Investcorp Credit Management BDC, Inc. |
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| October 4, 2019 |
Exhibit E Execution Version RIGHT OF FIRST OFFER AGREEMENT This RIGHT OF FIRST OFFER AGREEMENT, dated as of August 30, 2019 (this “Agreement”), is by and between Stifel Venture Corp. |
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| October 4, 2019 |
CMFN / CM Finance Inc / Investcorp S.a. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Investcorp Credit Management BDC, Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 12574Q103 (CUSIP Number) Investcorp BDC Holdings Limited Century Yard Cricket Square, P.O. Box 1111 Grant Cayman KY1-1102, Cayma |
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| October 4, 2019 |
Exhibit B SUPPORT AND VOTING AGREEMENT This SUPPORT AND VOTING AGREEMENT, dated as of June 26, 2019 (this “Agreement”), is by and among Cyrus Opportunities Master Fund II, Ltd. |
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| October 4, 2019 |
Exhibit D SUPPORT AND VOTING AGREEMENT This SUPPORT AND VOTING AGREEMENT, dated as of June 26, 2019 (this “Agreement”), is by and between Stifel Venture Corp. |
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| October 4, 2019 |
Exhibit C Execution Version RIGHT OF FIRST OFFER AGREEMENT This RIGHT OF FIRST OFFER AGREEMENT, dated as of August 30, 2019 (this “Agreement”), is by and among Cyrus Opportunities Master Fund II, Ltd. |
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| September 17, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. PRE 14A - - INVESTCORP CREDIT MANAGEMENT BDC, INC. PRE 14A 1 d788857dpre14a.htm INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confid |
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| September 13, 2019 |
INVESTCORP CREDIT MANAGEMENT BDC, INC. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 INVEST |
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| September 10, 2019 |
Press Release, dated September 10, 2019 Investcorp Credit Management BDC, Inc. Reports Results for its Fiscal Fourth Quarter Ended June 30, 2019 Investcorp Credit Management BDC, Inc. (NASDAQ: ICMB) (“ICMB” or the “Company”) today announced its financial results for its fiscal fourth quarter ended June 30, 2019. The Company was formerly known as CM Finance Inc through August 30, 2019 HIGHLIGHTS ● |
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| September 10, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition INVESTCORP CREDIT MANAGEMENT BDC, INC. 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): September 10, 2019 (September 10, 2019) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 8 |
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| September 3, 2019 |
EX-99.99.1 7 d773752dex99991.htm PRESS RELEASE, DATED SEPTEMBER 3, 2019 Investcorp Finalizes Majority Interest Acquisition of CM Investment Partners Acquisition Enhances Existing Leadership within Investcorp Credit Management New York, September 3, 2019 – Investcorp, a leading global provider and manager of alternative investment products, today announced the finalization of its acquisition of a m |
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| September 3, 2019 |
EX-99.10.3 5 d773752dex99103.htm ADMINISTRATION AGREEMENT ADMINISTRATION AGREEMENT This ADMINISTRATION AGREEMENT (this “Agreement”), dated as of August 30, 2019, is by and between CM Finance Inc, a Maryland corporation (the “Corporation”), and CM Investment Partners LLC, a Delaware limited liability company (the “Administrator”). WITNESSETH: WHEREAS, the Corporation is a non-diversified, closed-en |
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| September 3, 2019 |
INVESTMENT ADVISORY AGREEMENT CM FINANCE INC CM INVESTMENT PARTNERS LLC Investment Advisory Agreement INVESTMENT ADVISORY AGREEMENT BETWEEN CM FINANCE INC AND CM INVESTMENT PARTNERS LLC This INVESTMENT ADVISORY AGREEMENT, dated as of August 30, 2019 (this “Agreement”), is by and between CM Finance Inc, a Maryland corporation (the “Corporation”), and CM Investment Partners LLC, a Delaware limited liability company (the “Adviser”). |
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| September 3, 2019 |
CM FINANCE INC 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): September 3, 2019 (August 28, 2019) Investcorp Credit Management BDC, Inc. (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State o |
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| September 3, 2019 |
EX-99.10.4 6 d773752dex99104.htm TRADEMARK LICENSE AGREEMENT TRADEMARK LICENSE AGREEMENT This TRADEMARK LICENSE AGREEMENT (this “Agreement”) is made and effective as of August 30, 2019 (the “Effective Date”) by and between CM INVESTMENT PARTNERS LLC, a Delaware limited liability company (the “Licensor”), and INVESTCORP CREDIT MANAGEMENT BDC, INC., a Maryland corporation (the “Licensee”) (each a “p |
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| September 3, 2019 |
EX-99.10.1 3 d773752dex99101.htm MUTUAL PURCHASE AGREEMENT WAIVER August 28, 2019 CM Finance Inc 65 East 55th Street, 15th Floor New York, New York 10022 Attention: Michael C. Mauer Re: Mutual Purchase Agreement Waiver and Agreement Dear Mr. Mauer: Reference is made to the Stock Purchase and Transaction Agreement, dated as of June 26, 2019 (the “Purchase Agreement”), by and between CM Finance Inc, |
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| September 3, 2019 |
ARTICLES OF AMENDMENT CM FINANCE INC EX-99.3.1 2 d773752dex9931.htm ARTICLES OF AMENDMENT ARTICLES OF AMENDMENT OF CM FINANCE INC CM Finance Inc, a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of the State of Maryland that: FIRST: The Corporation desires to amend its charter as currently in effect. SECOND: The charter is hereby amended by deleting the text of Article I |
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| August 28, 2019 |
Submission of Matters to a Vote of Security Holders CM FINANCE INC 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): August 28, 2019 (August 28, 2019) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of in |
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| July 12, 2019 |
CMFN / CM Finance Inc DEF 14A - - CM FINANCE INC CM Finance Inc Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 12, 2019 |
ICMB / Investcorp Credit Management BDC, Inc. CORRESP - - CM FINANCE INC Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| July 2, 2019 |
CMFN / CM Finance Inc PRE 14A - - CM FINANCE INC CM Finance Inc Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 1, 2019 |
Stock Purchase and Transaction Agreement STOCK PURCHASE AND TRANSACTION AGREEMENT by and between CM FINANCE INC and INVESTCORP BDC HOLDINGS LIMITED dated as of June 26, 2019 TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 2 Section 1. |
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| July 1, 2019 |
CM FINANCE INC 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): July 1, 2019 (June 26, 2019) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorpo |
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| June 28, 2019 |
CMFN / CM Finance Inc DEFA14A - - CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| June 28, 2019 |
CMFN / CM Finance Inc DEFA14A - - CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| June 28, 2019 |
Transcript of the Conference Call held on June 27, 2019 Rate this transcript (CTRL + click): poor excellent Conference Call CM062719 June 27, 2019 Operator: Welcome to the CM Finance Analyst Call. |
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| June 28, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits CM FINANCE INC 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): June 28, 2019 (June 27, 2019) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction (Commissi |
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| June 28, 2019 |
Investor Presentation, dated June 27, 2019 Presentation to CM Finance Inc Investors Investcorp to Acquire a Majority Interest in CM Investment Partners LLC and CM Finance Inc Announces Entrance into Stock Purchase Agreement with an affiliate of Investcorp June 27, 2019 0 – 32 – 96 0 – 0 – 0 127 – 127 – 127 91 – 155 – 213 0 – 51 – 102 Colors Text Header Text Size Header: 18 Text: 9 – 10+ Important Information Statements included in this presentation may contain “forward-looking statements,” including statements regarding the proposed transactions. |
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| June 27, 2019 |
2011 version Global Master Repurchase Agreement EX-99.10.6 7 d666182dex99106.htm GLOBAL MASTER REPURCHASE AGREEMENT AND ANNEXES THERETO (THE "GMRA") 2011 version Global Master Repurchase Agreement Dated as of June 11, 2019 Between: UBS AG (“Party A”) and CM FINANCE INC. (“Party B”) 1. Applicability (a) From time to time the parties hereto may enter into transactions in which one party, acting through a Designated Office, (“Seller”) agrees to se |
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| June 27, 2019 |
Class A-2 Notes Subscription Agreement Subscription Agreement with respect to the Class A-2 Notes sale EXECUTION VERSION Class A-2 Notes Subscription Agreement June 21, 2019 CM Finance Inc. |
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| June 27, 2019 |
Confirmation in respect of Repurchase Transaction (Class A-R Notes) EX-99.10.8 9 d666182dex99108.htm CONFIRMATION UNDER THE GMRA WITH RESPECT TO THE REVOLVING EXECUTION VERSION Confirmation in respect of Repurchase Transaction (Class A-R Notes) June 21, 2019 To: CM Finance Inc. 65 East 55th Street, 15th Floor New York, NY 10023 Attention: Rocco DelGuercio, and Matt Bannon Tel: (212) 380-5904 Email: [email protected], [email protected] and [email protected] Fr |
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| June 27, 2019 |
Sixth Supplemental Indenture with an attached Sixth Amended and Restated EXECUTION VERSION SIXTH SUPPLEMENTAL INDENTURE, dated as of June 21, 2019 (this Sixth Supplemental Indenture), between CM FINANCE SPV LTD. |
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| June 27, 2019 |
EX-99.10.5 6 d666182dex99105.htm TOTAL RETURN SWAP TRANSACTION CONFIRMATION LETTER AGREEMENT 100 Liverpool Street London EC2M 2RH Tel. +44-20-7567-6266 or 6197 Fax. +44-20-7567-299 EXECUTION VERSION Date: June 21, 2019 To CM Finance Inc., as successor to CM Finance LLC (“Counterparty”) Attention: Christopher E. Jansen and Rocco DelGuercio Fax No: (212) 380-5915 From: UBS AG, London Branch (“UBS”) |
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| June 27, 2019 |
EX-99.10.4 5 d666182dex99104.htm CONTRIBUTION AGREEMENT BETWEEN THE COMPANY AND CM SPV EXECUTION VERSION CONTRIBUTION AGREEMENT, dated as of June 21, 2019 (this Agreement), between CM FINANCE INC., a corporation incorporated under the law of the State of Maryland and sole shareholder (the Sole Shareholder) of CM Finance SPV Ltd., and CM FINANCE SPV LTD. (the Issuer). WHEREAS: A. The Issuer and U.S |
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| June 27, 2019 |
Collateral Administration Agreement and Collateral Management Agreement - Amendment Agreement EX-99.10.3 4 d666182dex99103.htm AMENDMENT AGREEMENT BY AND AMONG CM SPV, CMIP AND U.S. BANK EXECUTION VERSION AMENDMENT AGREEMENT, dated as of June 21, 2019 (this Amendment Agreement), between CM FINANCE SPV LTD., an exempted company incorporated with limited liability under the laws of the Cayman Islands, as issuer (the Issuer); CM INVESTMENT PARTNERS LLC, as collateral manager (in such capacity |
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| June 27, 2019 |
CM FINANCE INC 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): June 27, 2019 (June 21, 2019) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorp |
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| June 27, 2019 |
Confirmation in respect of Repurchase Transaction (Class A Notes) EX-99.10.7 8 d666182dex99107.htm CONFIRMATION UNDER THE GMRA WITH RESPECT TO THE CLASS A-1 NOTES EXECUTION VERSION Confirmation in respect of Repurchase Transaction (Class A Notes) June 21, 2019 To: CM Finance Inc. 65 East 55th Street, 15th Floor New York, NY 10023 Attention: Rocco DelGuercio, and Matt Bannon Tel: (212) 380-5904 Email: [email protected], [email protected] and [email protected] |
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| June 27, 2019 |
EX-99.10.1 2 d666182dex99101.htm SECOND AMENDED AND RESTATED REVOLVING CREDIT NOTE AGREEMENT EXECUTION VERSION Dated as of June 21, 2019 CM FINANCE SPV LTD., as Issuer THE ENTITIES FROM TIME TO TIME PARTY HERETO, as the Class A-R Noteholders U.S. BANK NATIONAL ASSOCIATION, as Revolving Credit Note Agent and U.S. BANK NATIONAL ASSOCIATION, as Trustee SECOND AMENDED AND RESTATED REVOLVING CREDIT NOT |
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| June 27, 2019 |
EX-99.10.10 11 d666182dex991010.htm PLACEMENT AGENCY AGREEMENT, BETWEEN CM SPV AND THE PLACEMENT AGENT EXECUTION VERSION CM FINANCE SPV LTD. U.S.$97,333,334 Class A-2 Notes Due 2029 CLASS A-2 NOTE PLACEMENT AGENCY AGREEMENT (this Agreement) June 21, 2019 UBS Securities LLC 600 Washington Boulevard Stamford CT 06901 Attn: Legal Department (Structured Finance) Ladies and Gentlemen: 1. INTRODUCTORY C |
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| June 27, 2019 |
EX-99.10.11 12 d666182dex991011.htm SECOND AMENDED AND RESTATED ACCOUNT CONTROL AGREEMENT EXECUTION VERSION Dated as of June 21, 2019 CM FINANCE SPV LTD., as Issuer U.S. BANK NATIONAL ASSOCIATION, as Trustee U.S. BANK NATIONAL ASSOCIATION, as Custodian SECOND AMENDED AND RESTATED ACCOUNT CONTROL AGREEMENT CONTENTS SECTION PAGE 1. INTERPRETATION 3 2. APPOINTMENT OF CUSTODIAN 4 3. THE ACCOUNTS 4 4. |
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| June 27, 2019 |
Press release, dated June 26, 2019 Investcorp Credit Management US LLC Announces Acquisition of a Majority Interest in CM Investment Partners LLC Investcorp BDC Holdings Limited Announces Entrance into Stock Purchase Agreement with CM Finance Inc Acquisition Marks Investcorp’s Entry into US Middle-Market Lending New York, June 26, 2019 – Investcorp Credit Management US LLC (“Investcorp”), a subsidiary of Investcorp Bank B. |
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| June 27, 2019 |
Press release, dated June 26, 2019 Investcorp Credit Management US LLC to Acquire Majority Interest in CM Investment Partners LLC CM Finance Inc Announces Entrance into Stock Purchase Agreement with Investcorp BDC Holdings Limited New York, New York, June 26, 2019 – Investcorp Credit Management US LLC (“Investcorp”), a subsidiary of Investcorp Bank B. |
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| June 27, 2019 |
Financial Statements and Exhibits, Other Events CM FINANCE INC 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): June 26, 2019 (June 26, 2019) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorp |
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| May 7, 2019 |
CMFN / CM Finance Inc 10-Q Quarterly Report CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FINANCE INC (Exact Name o |
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| April 9, 2019 |
Consent of Ernst & Young LLP(9) EX-99.(N)(1) 3 d669551dex99n1.htm CONSENT OF ERNST & YOUNG LLP Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Selected Financial and Other Data,” “Senior Securities”, “Independent Registered Public Accounting Firm”, “Change In Independent Registered Public Accounting Firm” and to the use of our report dated September 6, 2017, wi |
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| April 9, 2019 |
CM FINANCE INC Issuer and U.S. BANK NATIONAL ASSOCIATION Trustee Indenture Dated as of July 2, 2018 Providing for the Issuance Of Debt Securities CM FINANCE INC Reconciliation and tie between Trust Indenture Act of 1939 and Indenture, dated as of July 2, 2018 Trust Indenture Act Section Indenture Section § 310 (a)(1) 607 (a)(2) 607 (b) 609 § 312 (c) 701 § 314 (a) 704 (a)(4) 1005 (c)(1) 102 (c)(2) |
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| April 9, 2019 |
Report of Ernst & Young LLP with respect to the “Senior Securities” table(9) Report of Ernst & Young LLP with respect to the "Senior Securities" table Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of CM Finance Inc We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated statements of assets and liabilities of CM Finance Inc and subsidiaries (the |
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| April 9, 2019 |
Report of RSM US LLP with respect to the “Senior Securities” table(9) Report of RSM US LLP with respect to the "Senior Securities" table Report of Independent Registered Public Accounting Firm To the Stockholders and the Board of Directors of CM Finance Inc and Subsidiaries Our audit of the consolidated financial statements referred to in our report dated September 4, 2018 (appearing in the accompanying Registration Statement on Form N-2) also included an audit of the senior securities table of CM Finance Inc and Subsidiaries as of June 30, 2018, appearing in this Registration Statement on Form N-2. |
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| April 9, 2019 |
Consent of RSM US LLP Consent of Independent Registered Public Accounting Firm We consent to the use in this Post-Effective Amendment No. |
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| April 9, 2019 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC As filed with the Securities and Exchange Commission on April 9, 2019 Securities Act File No. |
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| April 9, 2019 |
CM FINANCE INC Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| March 8, 2019 |
CMFN / CM Finance Inc CM FINANCE INC (Quarterly Report) CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FI |
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| February 14, 2019 |
CMFN / CM Finance Inc / CAXTON CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 6, 2019 |
CMFN / CM Finance Inc CM FINANCE INC (Quarterly Report) 10-Q 1 d633137d10q.htm CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM |
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| December 19, 2018 |
Report of Independent Registered Public Accounting Firm Report of Ernst & Young LLP with respect to the "Senior Securities" table Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareholders of CM Finance Inc We have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated statements of assets and liabilities of CM Finance Inc and subsidiaries (the |
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| December 19, 2018 |
Consent of Independent Registered Public Accounting Firm Consent of Ernst & Young LLP Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Selected Financial and Other Data,” “Senior Securities”, “Independent Registered Public Accounting Firm”, “Change In Independent Registered Public Accounting Firm” and to the use of our report dated September 6, 2017, with respect to the consolidated financial statements of CM Finance Inc and subsidiaries and our report dated October 18, 2017 with respect to the senior securities table, which are included in the Form N-2 Registration Statement and related Prospectus of CM Finance Inc dated December 19, 2018. |
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| December 19, 2018 |
Report of Independent Registered Public Accounting Firm EX-99.N.4 5 d657404dex99n4.htm REPORT OF RSM US LLP WITH RESPECT TO THE "SENIOR SECURITIES" TABLE Report of Independent Registered Public Accounting Firm To the Stockholders and the Board of Directors of CM Finance Inc and Subsidiaries Our audit of the consolidated financial statements referred to in our report dated September 4, 2018 (appearing in the accompanying Registration Statement on Form N |
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| December 19, 2018 |
Consent of Independent Registered Public Accounting Firm EX-99.N.3 4 d657404dex99n3.htm CONSENT OF RSM US LLP Consent of Independent Registered Public Accounting Firm We consent to the use in this Post-Effective Amendment No. 2 to the Registration Statement (No. 333 - 223999) on Form N-2 of CM Finance Inc and Subsidiaries of our report dated September 4, 2018, relating to the consolidated financial statements of CM Finance Inc and Subsidiaries, appearin |
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| December 19, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC As filed with the Securities and Exchange Commission on December 19, 2018 Securities Act File No. |
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| December 19, 2018 |
Submission of Matters to a Vote of Security Holders CM Finance Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2018 (December 18, 2018) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdictio |
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| December 10, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| December 7, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| November 30, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| November 28, 2018 |
CMFN / CM Finance Inc CM FINANCE INC DEFA14A 1 d657763ddefa14a.htm CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted |
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| November 7, 2018 |
CM Finance Inc Announces Results from its 2018 Annual Meeting of Stockholders Press release, dated November 7, 2018 Exhibit 99.1 CM Finance Inc Announces Results from its 2018 Annual Meeting of Stockholders NEW YORK, November 7, 2018 – CM Finance Inc (the “Company”) (NASDAQ: CMFN) announced today that it will reconvene its 2018 Annual Meeting of Stockholders (the “Annual Meeting”) on December 18, 2018 at 2:00 p.m. (Eastern Time) at the offices of Eversheds Sutherland (US) L |
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| November 7, 2018 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders CM FINANCE INC 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): November 7, 2018 (November 6, 2018) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of |
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| November 7, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| November 7, 2018 |
CMFN / CM Finance Inc CM FINANCE INC (Quarterly Report) CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FINANCE INC (Exact Na |
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| October 23, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ☐ Definit |
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| October 23, 2018 |
CMFN / CM Finance Inc CM FINANCE INC DEFA14A 1 d638617ddefa14a.htm CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted |
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| September 20, 2018 |
CMFN / CM Finance Inc CM FINANCE INC DEF 14A 1 d572988ddef14a.htm CM FINANCE INC Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the C |
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| September 20, 2018 |
ICMB / Investcorp Credit Management BDC, Inc. CORRESP - - SEC Correspondence Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| September 4, 2018 |
CMFN / CM Finance Inc CM FINANCE INC (Annual Report) 10-K 1 d606106d10k.htm CM FINANCE INC Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FINA |
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| August 31, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 2, 2018 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 46-2883380 (Jurisdiction of Incorporation or Organization) (IRS Employer Identification No.) 601 Lexing |
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| July 2, 2018 |
Opinion and Consent of Eversheds Sutherland (US) LLP, counsel for Registrant(8) EX-99.(L)(2) 5 d673765dex99l2.htm OPINION AND CONSENT OF EVERSHEDS SUTHERLAND Exhibit (l)(2) July 2, 2018 CM Finance Inc 601 Lexington Ave, 26th Floor New York, NY 10022 Ladies and Gentlemen: We have acted as counsel to CM Finance Inc, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No. 333-223999) (as amended as of the date hereof, the “Regi |
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| July 2, 2018 |
EX-99.(D)(5) 3 d673765dex99d5.htm FORM OF 6.125% NOTES DUE 2023 CM FINANCE INC 6.125% Notes due 2023 This Security is one of a duly authorized issue of Senior Securities of the Company (herein called the “Securities”), issued and to be issued in one or more series under an Indenture, dated as of July 2, 2018 (herein called the “Base Indenture”, which term shall have the meaning assigned to it in s |
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| July 2, 2018 |
EX-99.(H)(2) 4 d673765dex99h2.htm UNDERWRITING AGREEMENT Exhibit (h)(2) $30,000,000 Aggregate Principal Amount 6.125% Notes Due 2023 CM Finance Inc UNDERWRITING AGREEMENT June 27, 2018 Keefe, Bruyette & Woods, Inc. As Representative of the several Underwriters c/o Keefe, Bruyette & Woods, Inc. 787 7th Avenue Fourth Floor New York, New York 10019 Attn: Capital Markets Ladies and Gentlemen: CM Finan |
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| July 2, 2018 |
EX-99.(D)(4) 2 d673765dex99d4.htm FIRST SUPPLEMENTAL INDENTURE Exhibit (d)(4) FIRST SUPPLEMENTAL INDENTURE between CM FINANCE INC and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of July 2, 2018 THIS FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of July 2, 2018, is between CM FINANCE INC, a Maryland corporation (the “Company”), and U.S. Bank National Associati |
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| July 2, 2018 |
CMFN / CM Finance Inc CM FINANCE INC. -- POS EX CM FINANCE INC. - POS EX As filed with the Securities and Exchange Commission on July 2, 2018 Securities Act File No. 333-223999 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. ☐ Post-Effective Amendment No. 1 ☒ CM FINANCE INC (Exact Name of Registrant as Specified in Charter) 601 Lexington |
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| May 31, 2018 |
Correspondence May 31, 2018 VIA EDGAR Karen L. Rossotto, Esq. Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 RE: CM Finance Inc Registration Statement on Form N-2 (File No. 333-223999) Dear Ms. Rossotto: In accordance with Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as amended, CM Finance Inc her |
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| May 31, 2018 |
Correspondence Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| May 8, 2018 |
CMFN / CM Finance Inc 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FINANCE INC (Exact Name of Registran |
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| May 4, 2018 |
CM Finance Inc 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 4, 2018 (May 2, 2018) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of incorporat |
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| March 28, 2018 |
Correspondence Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| February 12, 2018 |
CMFN / CM Finance Inc / CYRUS CAPITAL PARTNERS, L.P. - SC 13G/A Passive Investment SC 13G/A 1 d525705dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) (Amendment No. 2) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) CM Finance Inc (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 12574Q103 (CUSIP Numb |
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| February 7, 2018 |
CMFN / CM Finance Inc 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FINANCE INC (Exact Name of Regist |
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| January 2, 2018 |
CMFN / CM Finance Inc / CAXTON CORP Passive Investment SC 13G 1 d777368513-g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* CM Finance Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 12574Q103 (CUSIP Number) December 20, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| December 22, 2017 |
CMFN / CM Finance Inc CM FINANCE INC (Current Report) CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2017 (December 21, 2017) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction |
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| December 5, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| December 1, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| November 30, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| November 27, 2017 |
EX-10.1 2 d494682dex101.htm CM AMENDED AND RESTATED REVOLVING CREDIT NOTE Exhibit 10.1 Execution Version Dated as of November 20, 2017 CM FINANCE SPV LTD., as Issuer THE ENTITIES FROM TIME TO TIME PARTY HERETO, as the Class A-R Noteholders U.S. BANK NATIONAL ASSOCIATION, as Revolving Credit Note Agent and U.S. BANK NATIONAL ASSOCIATION, as Trustee AMENDED AND RESTATED REVOLVING CREDIT NOTE AGREEME |
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| November 27, 2017 |
8-K 1 d494682d8k.htm CM FINANCE INC 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): November 27, 2017 (November 20, 2017) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or |
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| November 27, 2017 |
Second Amended Total Return Swap Confirmation Letter Agreement between UBS AG and CM Finance Inc Exhibit 10.3 UBS AG 100 Liverpool Street London EC2M 2RH Tel. +44-20-7567 8000 Execution Version Date: December 4, 2013 (as amended and restated as of September 26, 2014 and as further amended and restated as of November 20, 2017) To CM Finance Inc. (?Counterparty?) Attention: Stephon Barnes, Christopher E. Jansen and Michael C. Mauer Fax No: (212) 380-5915 From: UBS AG, London Branch (?UBS?) Re: |
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| November 27, 2017 |
Fifth Amended and Restated Indenture between CM SPV Ltd. and U.S. Bank, National Association CM Fifth Amended and Restated Indenture Exhibit 10.2 Execution Version FIFTH AMENDED AND RESTATED INDENTURE (this Indenture), dated as of November 20, 2017, between CM FINANCE SPV LTD., an exempted company incorporated with limited liability under the laws of the Cayman Islands (the Issuer) and U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (herein, together with its pe |
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| November 27, 2017 |
Fourth Amended Total Return Swamp Confirmation Letter Agreement between UBS AG and CM Finance Inc Exhibit 10.4 UBS AG 100 Liverpool Street London EC2M 2RH Tel. +44-20-7567 8000 Execution Version Date: May 23, 2013 (as amended and restated as of August 14, 2015, as further amended and restated as of February 28, 2017, as further amended and restated as of September 1, 2017 and as further amended and restated as of November 20, 2017) To CM Finance Inc., as successor to CM Finance LLC (?Counterpa |
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| November 17, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| November 13, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| November 9, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| November 8, 2017 |
CM Finance Inc Announces Results from its 2017 Annual Meeting of Stockholders EX-99.1 2 d492763dex991.htm PRESS RELEASE Exhibit 99.1 CM Finance Inc Announces Results from its 2017 Annual Meeting of Stockholders NEW YORK, November 7, 2017 – CM Finance Inc (the “Company”) (NASDAQ: CMFN) announced today that it will reconvene its 2017 Annual Meeting of Stockholders (the “Annual Meeting”) on November 30, 2017 at 3:00 p.m. (Eastern Time) at the offices of Eversheds Sutherland (U |
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| November 8, 2017 |
CMFN / CM Finance Inc CM FINANCE INC (Current Report) CM Finance Inc 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): November 8, 2017 (November 7, 2017) CM Finance Inc (Exact name of registrant as specified in its charter) Maryland 814-01054 46-2883380 (State or other jurisdiction of |
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| November 7, 2017 |
CMFN / CM Finance Inc CM FINANCE INC CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| November 7, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01054 CM FINANCE INC (Exact Name of Regis |
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| November 7, 2017 |
EX-10.1 2 fp0027973ex101.htm Tables of Contents This AMENDMENT AGREEMENT, dated as of September 1, 2017 (this "Amendment Agreement"), is entered into among: (1) CM FINANCE SPV LTD., an exempted company incorporated with limited liability under the laws of the Cayman Islands, as issuer (the "Issuer"); (2) U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (in such capacity, |
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| October 30, 2017 |
CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| October 30, 2017 |
DEFA14A 1 d481971ddefa14a.htm CM FINANCE INC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted |
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| October 27, 2017 |
CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| October 25, 2017 |
CM Finance Inc UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a 6(e)(2)) ? Definit |
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| October 19, 2017 |
CM Finance Inc. Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0845 F: +1 202.637.3593 [email protected] October 19, 2017 VIA EDGAR Christina DiAngelo Fettig Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: CM Finance Inc – Management’s Reports on E |
