Source-grounded facts extracted from ArrowMark Financial Corp.'s SEC 8-K filings across all families, newest first. Each cites a verbatim SEC excerpt.
ArrowMark Financial Corp. entered into Dealer Manager Agreement with UBS Securities LLC (effective 2026-01-22).
“On January 22, 2026, ArrowMark Financial Corp. (NASDAQ: BANX) (the “Fund”) entered into a dealer manager agreement (the “Dealer Manager Agreement”) by and among the Fund, ArrowMark Asset Management, LLC and UBS Securities LLC”
ArrowMark Financial Corp. entered into Securities Purchase Agreement with certain investors named therein (effective 2025-12-18).
“On December 18, 2025, ArrowMark Financial Corp. (NASDAQ: BANX) (the “Company”), a closed-end investment company, entered into a securities purchase agreement (the “Securities Purchase Agreement”) with certain investors named therein (the “Investors”), relating to a direct public offering (the “Offering”) of 673,249 shares of the Company’s common stock (“Common Stock”).”
ArrowMark Financial Corp. entered into Sub-Placement Agent Agreement with UBS Securities LLC (effective 2025-12-15).
“The Distributor has entered into a sub-placement agent agreement, dated December 15, 2025 (the “Sub-Placement Agent Agreement”), with UBS Securities LLC (the “Sub-Placement Agent”) relating to the Common Shares to be offered under the Distribution Agreement.”
ArrowMark Financial Corp. entered into Distribution Agreement with ALPS Distributors, Inc. valued at up to $25,000,000 (effective 2025-12-15).
“On December 15, 2025, ArrowMark Financial Corp. entered into a distribution agreement (the “Distribution Agreement”) with ALPS Distributors, Inc. (the “Distributor”) in connection with the issuance and sale of up to $25,000,000 of the Company’s shares of common stock, from time to time, through the Distributor as the Company’s agent, in transactions deemed to be “at the market” as defined in Rule 415 under the Securities Act of 1933, as amended (the “Offering”).”
ArrowMark Financial Corp. received a nasdaq deficiency notice notice regarding audit committee (rules 5605(c), 5605(c)(4)).
“March 25, 2025, ArrowMark Financial Corp. (the “Company”) received a letter from Nasdaq in response to the Company’s notification to Nasdaq that Mr. Michael Stolper, who was an independent director and member of the Company’s Audit Committee, had passed away on March 21, 2025. As a result, the Company has only two independent directors serving on its Audit Committee and is not in compliance with Nasdaq’s audit committee composition requirement of three independent directors as set forth in Nasdaq Listing Rule 5605(c). Consistent with Listing Rule 5605(c)(4), Nasdaq has provided the Company a”
ArrowMark Financial Corp. reported the third quarter ended September 30, 2022 results: net income $3.3 million or $0.46 per share, EPS $0.46 per share.
“ArrowMark Financial Corp. (Nasdaq: BANX) (“ArrowMark Financial” or the “Company”), an investment company registered with the Securities and Exchange Commission (“SEC”), today announced results for the third fiscal quarter ended September 30, 2022.”
Facts are extracted by an LLM and gated to those whose source quote is present verbatim in the filing text. Coverage is best-effort while backfill and monitoring mature; this is not yet a full-market index. See methodology.