New Mountain Finance Corp (NMFC): Nasdaq/NYSE listing notice — NMFC receives Nasdaq notice for board independence noncompliance after director resignation

New Mountain Finance Corp

Notice received May 12, 2023 due to loss of majority independent directors following Alice W. Handy's resignation.
Cure period extends until earlier of next annual shareholders' meeting or April 25, 2024.
If next annual meeting is held before October 23, 2023, compliance must be evidenced by October 23, 2023.
Noncompliance with Nasdaq Listing Rule 5605(b)(1); no immediate delisting threat.

item 3.01 item 5.02 item 9.01

Executive movements

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Departed

Alice W. Handy

Director

NMFC · New Mountain Finance Corp

Filed: May 15, 2023, 7:59 PM ET

the previously disclosed resignation of Alice W. Handy from the Company's Board of Directors

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

New Mountain Finance Corp received a nasdaq deficiency notice notice regarding audit committee.

Exchange: nasdaq
Notice: deficiency notice
Deficiency: audit committee

Exact text from the filing

May 12, 2023, New Mountain Finance Corporation (the “Company”) received a notice (the “Notice”) from the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”) stating that the previously disclosed resignation of Alice W. Handy from the Company’s Board of Directors (the “Board”) (as described in

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Executive change SEC 8-K Item 5.02 confidence 0.95

Alice W. Handy resigned as Director at New Mountain Finance Corp.

Action: resigned
Role: Director

Exact text from the filing

the previously disclosed resignation of Alice W. Handy from the Company's Board of Directors

View on SEC.gov

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New Mountain Finance Corp filing history →

Source: SEC EDGAR

accession 0001104659-23-060866

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