Company: NMFCZ
Filing Date: 2025-05-05
Form Type: 10-Q
Source: 0001496099-25-000018
Chunk: 15

Company: New Mountain Finance Corp
Filing Date: 2025-05-05
Form: 10-Q
Item: Part II, Item 3
Chunk 15
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Item 3.     Defaults Upon Senior Securities

None.

Item 4.    Mine Safety Disclosures

Not applicable.

Item 5.    Other Information

(a)None.

(b)None.

(c)For the period covered by this Quarterly Report on Form 10-Q, no director or officer has entered into or terminated any (i) contract, instruction or written plan for the purchase or sale of securities intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act or (ii) any non-Rule 10b5-1 trading arrangement. 

We have adopted insider trading policies and procedures governing the purchase, sale, and disposition of the our securities by our officers and directors that are reasonably designed to promote compliance with insider trading laws, rules and regulations. 

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Table of Contents

Item 6.     Exhibits

(a)Exhibits

The following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the U.S. Securities and Exchange Commission:

ExhibitNumberDescription3.1(a)Amended and Restated Certificate of Incorporation of New Mountain Finance Corporation(2)3.1(b)Certificate of Change of Registered Agent and/or Registered Office of New Mountain Finance Corporation(3)3.2Amended and Restated Bylaws of New Mountain Finance Corporation(2)3.3Certificate of Amendment to the Amended and Restated Certificate of Incorporation New Mountain Finance Corporation(4)4.1Form of Stock Certificate of New Mountain Finance Corporation(1)10.1 Thirteenth Amended and Restated Loan and Security Agreement, dated as of March 28, 2025, by and among New Mountain Finance Corporation, as the collateral manager, New Mountain Finance Holdings, L.L.C., as the borrower, Wells Fargo Bank, National Association, as the administrative agent, the lenders party thereto and Wells Fargo Bank, National Association, as the collateral custodian*31.1Certification of Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended*31.2Certification of Chief Financial Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended* 32.1Certification of Chief Executive Officer pursuant to Section 906 of The Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350)*32