Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forbes Energy Services Ltd.NONE · Entity 149749 | Director | April 18, 2017 | April 18, 2017 |
| New Mountain Finance CorpNMFC · Entity 5211 | Director | March 14, 2023 | March 15, 2023 |
| New Mountain Guardian III BDC, L.L.C.NONE · Entity 84827 | Director | September 13, 2019 | September 13, 2019 |
| New Mountain Guardian IV BDC, L.L.C.NONE · Entity 68803 | Director | July 05, 2022 | July 05, 2022 |
| New Mountain Guardian IV Income Fund, L.L.C.NONE · Entity 68785 | Director | July 21, 2023 | July 21, 2023 |
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.
Forbes Energy Services Ltd.
Report date April 18, 2017 · Filed April 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2017-04-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
New Mountain Finance Corp
Report date March 14, 2023 · Filed March 15, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 62,291 |
Reported balance
After 2023-03-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-03-14 · Purchase · Acquired 10,000 · Balance 62,291 F1: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Arnolds's previous beneficial ownership report on Form 4 on December 20, 2022. |
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. Arnolds's previous beneficial ownership report on Form 4 on December 20, 2022.
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.
New Mountain Guardian IV Income Fund, L.L.C.
Report date July 21, 2023 · Filed July 21, 2023
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 |
|---|---|---|---|---|---|---|
| March 14, 2023 Filed Mar 15, 2023 21:25 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 10,000 | $12.02 | $120,183.00 |
DisclosureSEC source: 0001104659-23-032896 · tm239477-4_4seq1.xml · nonDerivative · entry 1 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,291 F1 · balance_after: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Arnolds's previous beneficial ownership report on Form 4 on December 20, 2022. Read SEC document |
| December 16, 2022 Filed Dec 21, 2022 01:08 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 10,000 | $12.05 | $120,481.00 |
DisclosureSEC source: 0001104659-22-128776 · tm2233196-1_4seq1.xml · nonDerivative · entry 1 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,210 F1 · balance_after: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Arnolds's previous beneficial ownership report on Form 4 on September 20, 2021. Read SEC document |
| December 14, 2021 Filed Dec 21, 2022 01:08 UTC | New Mountain Finance Corp NMFC · Entity 5211 | OtherCommon Stock | 18,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-128776 · tm2233196-1_4seq1.xml · nonDerivative · entry 2 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Spouse as Exec. Est. of Henry K. Ochs Disclosed balance after: 0 F2 · kind: The reporting person's spouse is the executor of the Estate of Henry K. Ochs. On December 14, 2021, the reporting person's spouse caused the estate to distribute 18,000 shares of New Mountain Finance Corporation common stock to beneficiaries of the estate. Read SEC document |
| September 16, 2021 Filed Sep 20, 2021 20:39 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 15,000 | $13.15 | $197,194.50 |
DisclosureSEC source: 0001701015-21-000003 · wf-form4_163217032975597.xml · nonDerivative · entry 1 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,423 Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 23:14 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 2,300 | $12.91 | $29,689.32 |
DisclosureSEC source: 0001567619-20-005644 · doc1.xml · nonDerivative · entry 1 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,134 F1 · balance_after: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Arnold's previous beneficial ownership report on Form 4 on December 4, 2019. Read SEC document |
| December 02, 2019 Filed Dec 5, 2019 11:11 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 6,000 | $13.57 | $81,420.00 |
DisclosureSEC source: 0001701015-19-000002 · wf-form4_157554429569795.xml · nonDerivative · entry 1 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,548 F1 · balance_after: Includes shares acquired under the New Mountain Finance Corporation dividend reinvestment plan since the filing of Mr. Arnold's previous beneficial ownership report on Form 3 on March 16, 2017. Read SEC document |
| August 28, 2019 Filed Feb 12, 2021 23:04 UTC | New Mountain Finance Corp NMFC · Entity 5211 | PurchaseCommon Stock | 18,000 | $13.23 | $238,140.00 |
DisclosureSEC source: 0001104659-21-022193 · tm215769-1_5seq1.xml · nonDerivative · entry 1 Arnold Rome G. III · CIK 0001701015 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Spouse as Exec Est of Henry K Ochs Disclosed balance after: 18,000 F1 · ownership.nature: Indirect Ownership through Spouse as the Executor to the Estate of Henry K. Ochs F2 · ownership.nature: The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. 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.