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Section 1: 8-K (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): May 10, 2012 (May 8, 2012)

 

New Mountain Finance Corporation

(Exact name of co-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)

 

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

 

New Mountain Finance Holdings, L.L.C.

(Exact name of co-registrant as specified in its charter)

 

Delaware

 

814-00839

 

26-3633318

(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)

 

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

 

New Mountain Finance AIV Holdings Corporation

(Exact name of co-registrant as specified in its charter)

 

Delaware

 

814-00902

 

80-0721242

(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)

 

Co-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 5.07.      Submission of Matters to a Vote of Security Holders

 

New Mountain Finance Corporation, New Mountain Finance Holdings, L.L.C. and New Mountain Finance AIV Holdings Corporation held their Joint 2012 Annual Meeting of Stockholders and Unit holders on May 8, 2012 and submitted two (2) matters to the vote of stockholders/unit holders.  A summary of the matters voted upon by the stockholders and unit holders is set forth below.

 

Election of Director:

 

Stockholders of New Mountain Finance Corporation elected one nominee for director, to serve for a three-year term to expire at the 2015 Annual Meeting of Stockholders based on the following votes:

 

Name

 

Votes For

 

Votes Withheld

 

Broker-Non-Votes

 

David Ogens

 

7,374,066

 

70,707

 

 

 

Unit holders of New Mountain Finance Holdings, L.L.C. elected one nominee for director, to serve for a three-year term to expire at the 2015 Annual Meeting of Unit holders based on the following votes:

 

Name

 

Votes For

 

Votes Withheld

 

Broker-Non-Votes

 

David Ogens

 

27,596,004

 

70,707

 

 

 

Stockholders of New Mountain Finance AIV Holdings Corporation elected one nominee for director, to serve for a three-year term to expire at the 2015 Annual Meeting of Stockholders based on the following votes:

 

Name

 

Votes For

 

Votes Withheld

 

Broker-Non-Votes

 

David Ogens

 

100

 

 

 

 

Approval of Amended and Restated Investment Advisory and Management Agreement by and between New Mountain Finance Holdings, L.L.C. and New Mountain Finance Advisers BDC, L.L.C.:

 

Stockholders of New Mountain Finance Corporation approved on a pass-through basis an Amended and Restated Investment Advisory and Management Agreement by and between New Mountain Finance Holdings, L.L.C. and New Mountain Finance Advisers BDC, L.L.C. based on the following votes:

 

 

 

For

 

Against

 

Abstain

 

Broker Non-Votes

 

Total Votes

 

7,426,339

 

5,321

 

13,113

 

 

 

Unit holders of New Mountain Finance Holdings, L.L.C. approved an Amended and Restated Investment Advisory and Management Agreement by and between New Mountain Finance Holdings, L.L.C. and New Mountain Finance Advisers BDC, L.L.C. based on the following votes:

 

 

 

For

 

Against

 

Abstain

 

Broker Non-Votes

 

Total Votes

 

27,648,277

 

5,321

 

13,113

 

 

 

Stockholders of New Mountain Finance AIV Holdings Corporation approved on a pass-through basis an Amended and Restated Investment Advisory and Management Agreement by and between New Mountain Finance Holdings, L.L.C. and New Mountain Finance Advisers BDC, L.L.C. based on the following votes:

 

 

 

For

 

Against

 

Abstain

 

Broker Non-Votes

 

Total Votes

 

100

 

 

 

 

 

2



 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrants have 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
NEW MOUNTAIN FINANCE HOLDINGS, L.L.C.
NEW MOUNTAIN FINANCE AIV HOLDINGS CORPORATION

 

 

 

 

Date: May 10, 2012

By:

/s/ Paula A. Bosco

 

 

Name:

Paula A. Bosco

 

 

Title:

Secretary

 

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