{"schema_version":"secwatch.filing_event.v1","accession":"0001104659-23-060866","form_type":"8-K","ticker":"NMFC","cik":"0001496099","company_name":"New Mountain Finance Corp","filed_at":"2023-05-15T23:59:59+00:00","discovered_at":"2026-05-14T18:03:39.055558+00:00","generated_at":"2026-06-15T01:01:52.230646+00:00","sec_items":["3.01","5.02","9.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.35,"calibrated_materiality_score":0.35,"confidence":"high","headline":"NMFC receives Nasdaq notice for board independence noncompliance after director resignation","bullets":["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."],"urls":{"canonical":"https://secwatch.observer/filing/0001104659-23-060866","json":"https://secwatch.observer/filing/0001104659-23-060866.json","markdown":"https://secwatch.observer/filing/0001104659-23-060866.md","text":"https://secwatch.observer/filing/0001104659-23-060866.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1496099/000110465923060866/0001104659-23-060866-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1496099/000110465923060866/tm2315821d1_8k.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-06-15T01:01:52.230646+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"aeb2285f8c35a1721f49aed6ae55049cd28d10d5","claim":"New Mountain Finance Corp received a nasdaq deficiency notice notice regarding audit committee.","evidence_excerpt":"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","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1496099/000110465923060866/0001104659-23-060866-index.htm","confidence":0.9,"family_label":"Listing & Compliance Notices","details":[{"label":"Exchange","value":"nasdaq"},{"label":"Notice","value":"deficiency notice"},{"label":"Deficiency","value":"audit committee"}],"fact_type":"exchange_compliance_notice"},{"claim_id":"6122af7a25","claim":"Alice W. Handy resigned as Director at New Mountain Finance Corp.","evidence_excerpt":"the previously disclosed resignation of Alice W. Handy from the Company's Board of Directors","evidence_source":"SEC 8-K Item 5.02","evidence_url":"https://www.sec.gov/Archives/edgar/data/1496099/000110465923060866/0001104659-23-060866-index.htm","confidence":0.95,"family_label":"Executive change","details":[{"label":"Action","value":"resigned"},{"label":"Role","value":"Director"}],"fact_type":"executive_change"}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}