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 7, 2013 (January 2, 2013)

 

 

New Mountain Finance Corporation

(Exact name of registrant as specified in its charter)

 

 

Delaware

 

814-00832

 

27-2978010

(State or other jurisdiction of
incorporation or organization)

 

(Commission
File Number)

 

(IRS Employer
Identification Number)

 

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

(Address of principal executive offices)

 

Registrant’s telephone number, including area code (212) 730-0300

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

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

 

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

 

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

 

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

 

 

 


 

Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

 

On January 2, 2013, New Mountain Finance Corporation (the “Company”) received a letter of public reprimand from the New York Stock Exchange (“NYSE”) indicating that the Company had failed to comply with Section 204.12 of the NYSE Listed Company Manual requiring ten days prior notice of a record date, in connection with the announcement of a special dividend distribution.

 

On December 27, 2012, the Company had announced, on a Current Report on Form 8-K, that its board of directors established a payment date of January 31, 2013 for the payment of the Company’s special dividend distribution, payable to stockholders of record at the close of business on December 31, 2012.  Notice was not given to the NYSE of the record date until December 26, 2012 which should have been received no later than December 21, 2012.

 

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SIGNATURE

 

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

 

 

 

NEW MOUNTAIN FINANCE CORPORATION

 

 

Date: January 7, 2013

 

 

 

 

 

 

By:

/s/ Paula A. Bosco

 

 

Name:

Paula A. Bosco

 

 

Title:

Secretary

 

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