Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NMF SLF I, Inc.NONE · Entity 107817 | Chief Executive Officer | January 21, 2020 | February 04, 2020 |
| New Mountain Finance CorpNMFC · Entity 5211 | Director | July 27, 2023 | August 04, 2023 |
| New Mountain Guardian III BDC, L.L.C.NONE · Entity 84827 | Chief Executive Officer | September 13, 2019 | September 13, 2019 |
| New Mountain Guardian IV BDC, L.L.C.NONE · Entity 68803 | Chief Executive Officer | July 05, 2022 | July 05, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NMF SLF I, Inc.
Report date January 21, 2020 · Filed February 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| No securities are beneficially ownedSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2020-01-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
New Mountain Finance Corp
Report date July 27, 2023 · Filed August 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 549,373.11 |
Reported balance
After 2023-07-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-07-27 · Sale · Disposed 15 · Balance 549,373.11 F1: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Hamwee's previous beneficial ownership report on Form 4 on June 17, 2022. F2: A portion of Mr. Hamwee's shares are directly held in an account that permits the account manager to dispose of securities held therein to cover an annual management fee related to such account. On July 27, 2023, without Mr. Hamwee's knowledge, the sale reflected in this report was initiated by the account manager with the proceeds being used to cover the annual management fee. Mr. Hamwee was unaware of the transaction, and has since taken action to ensure prompt notification of subsequent dispositions by the account manager. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse, Dana L. Hamwee Inherited IRA | 12,000 |
Reported balance
Holding disclosure · report date 2023-07-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 12,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Hamwee's previous beneficial ownership report on Form 4 on June 17, 2022.
F2: A portion of Mr. Hamwee's shares are directly held in an account that permits the account manager to dispose of securities held therein to cover an annual management fee related to such account. On July 27, 2023, without Mr. Hamwee's knowledge, the sale reflected in this report was initiated by the account manager with the proceeds being used to cover the annual management fee. Mr. Hamwee was unaware of the transaction, and has since taken action to ensure prompt notification of subsequent dispositions by the account manager.
New Mountain Guardian III BDC, L.L.C.
Report date September 13, 2019 · Filed September 13, 2019
This filing explicitly reported no securities owned.
New Mountain Guardian IV BDC, L.L.C.
Report date July 05, 2022 · Filed July 05, 2022
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 14, 2017 Filed Nov 16, 2017 18:33 UTC | New Mountain Finance Corp NMFC · Entity 5211 | GrantCommon Stock | 17,109 | $14.19 | $242,752.76 |
DisclosureSEC source: 0001260098-17-000004 · wf-form4_151085708696994.xml · nonDerivative · entry 1 HAMWEE ROBERT · CIK 0001260098 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,863.121 F1 · price: The price reported is the average weighted price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder, upon request, full information regarding the number of shares and the prices at which the shares were purchased Read SEC document |
| November 14, 2017 Filed Dec 18, 2017 22:43 UTC Amendment | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 17,109 | $14.19 | $242,752.76 |
DisclosureSEC source: 0001260098-17-000005 · wf-form4a_151363698239042.xml · nonDerivative · entry 1 HAMWEE ROBERT · CIK 0001260098 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,863.121 F1 · kind: This amendment to the Form 4 filed on November 16, 2017 is being filed to correct a typographical error in Column 3 of Table 1, which previously inadvertently included an incorrect Transaction Code. No other changes are being made hereby. F2 · price: The price reported is the average weighted price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder, upon request, full information regarding the number of shares and the prices at which the shares were purchased. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 17:01 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 7,450 | $13.35 | $99,457.50 |
DisclosureSEC source: 0001260098-16-000002 · wf-form4_147810607506301.xml · nonDerivative · entry 2 HAMWEE ROBERT · CIK 0001260098 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,100.03 F1 · price: The price reported is the average weighted price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder, upon request, full information regarding the number of shares and the prices at which the shares were purchased. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 17:01 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 17,550 | $13.33 | $233,853.75 |
DisclosureSEC source: 0001260098-16-000002 · wf-form4_147810607506301.xml · nonDerivative · entry 1 HAMWEE ROBERT · CIK 0001260098 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,650.03 F1 · price: The price reported is the average weighted price. The shares were purchased in multiple transactions. The reporting person undertakes to provide to the SEC, the issuer and any security holder, upon request, full information regarding the number of shares and the prices at which the shares were purchased. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.