Other Information
+Added: Overall, New Mountain Capital's team now exceeds 175 people vs.
+Added: 84 people at the time of NMFC's IPO in 2011.
+Added: New Mountain Capital now has seven Managing Director level team members dedicated to its credit activities vs.
+Added: one at the time of NMFC’s IPO in 2011.
+Added: Going forward, Robert A.
+Added: Hamwee is expected to remain as NMFC's CEO and the most senior Managing Director in the credit area, but with the freedom to allocate half of his time to activities outside of credit and NMFC.
+Added: As part of his responsibilities, Mr.
+Added: Hamwee will continue to:
+Added: (i) serve as the Company’s Chief Executive Officer, (ii) serve as a senior member of the Investment Committee of the Company’s investment adviser, and (iii) be involved in other parts of leadership, which the Company’s board of directors considers core to the Company’s performance.
+Added: Meanwhile, John Kline will become co-portfolio manager of the Company in addition to already being its President and Chief Operating Officer.
+Added: Kline joined New Mountain in 2008 and has been a senior manager within New Mountain Capital's credit effort since its beginning.
+Added: The Company’s investment adviser believes that its management team, with the overall support of New Mountain Capital’s team, is adequately staffed to support the Company’s Co-Portfolio Managers, Messrs.
+Added: Hamwee and Kline, in managing the Company’s investment portfolio.
+Added: Table o f Contents
The following exhibits are filed as part of this report or hereby incorporated by reference to exhibits previously filed with the United States Securities and Exchange Commission:
5 unchanged sentences
4.1 Form of Stock Certificate of New Mountain Finance Corporation(1)
−Removed: 10.1 Form of Fourth Amendment to Loan and Security Agreement, dated as of September 30, 2020, 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(5)
−Removed: 10.2 Amended and Restated Dividend Reinvestment Plan*
+Added: 10.1 Form of Amendment No.
+Added: 6 to Loan Financing and Servicing Agreement, dated as of March 25, 2021, by and among New Mountain Finance Corporation, as the equityholder, New Mountain Finance DB, L.L.C., as the borrower, U.S.
+Added: Bank National Association, as the collateral Agent and collateral custodian, and Deutsche Bank AG, New York Branch, as the facility agent, an agent and a lender, and the other agents and lenders party thereto( 5 )
+Added: 10.2 Form of Fifth Amendment to Loan and Security Agreement, dated as of April 20, 2021, 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( 6 )
+Added: 10.3 Fee Waiver Agreement, dated May 4, 2021, by and between New Mountain Finance Corporation and New Mountain Finance Advisers BDC, L.L.C.(7)
31.1 Certification of Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended*
7 unchanged sentences
(4) Previously filed in connection with New Mountain Finance Corporation's report on Form 8-K filed on April 3, 2019.
−Removed: (5) Previously filed in connection with New Mountain Finance Corporation's report on Form 8-K filed on October 6, 2020.
+Added: (5) Previously filed in connection with New Mountain Finance Corporation's report on Form 8-K filed on March 31, 2021.
+Added: (6) Previously filed in connection with New Mountain Finance Corporation's report on Form 8-K filed on April 26, 2021.
+Added: (7) Previously filed in connection with New Mountain Finance Corporation's report on Form 8-K filed on May 5, 2021.
*Filed herewith.
−Removed: Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized on November 4, 2020.
+Added: Table o f Contents
+Added: Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized on May 5, 2021.
NEW MOUNTAIN FINANCE CORPORATION
6 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.