What SEC filings does New Mountain Finance Corporation submit to the SEC?

New Mountain Finance Corporation (NMFC) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about NMFC?

A Form 4 for NMFC discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from New Mountain Finance Corporation?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for NMFC?

The 10-K is New Mountain Finance Corporation's annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all NMFC SEC filings directly on EDGAR?

You can view all historical New Mountain Finance Corporation filings on the SEC EDGAR company page for NMFC. Each filing card on this page links directly to the original SEC document.

How often does New Mountain Finance Corporation file with the SEC?

New Mountain Finance Corporation files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling NMFC shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

NMFC SEC Filing News — New Mountain Finance Corporation

Latest SEC filings for New Mountain Finance Corporation (NMFC) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-11.

New Mountain Finance Corporation (Nasdaq: NMFC), a business development company, is a private equity/buyouts and loan fund that specializes in directly investing and lending to middle market companies in defensive growth industries. The fund prefers investing in buyout and middle market companies. It also makes investments in debt securities at all levels of the capital structure, including first and second lien debt, unsecured notes, and mezzanine securities. In some cases, its investments ma…

Sector: Financial Services Industry: Asset Management Market Cap: $624.3M CIK: 1496099

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for NMFC currently lean bullish. Of the 20 displayed SEC filing records, 8 carry bullish classifications versus 1 bearish classifications. These labels summarize filing attributes; they are not recommendations, probabilities, or evidence of future price direction. There were 10 insider transactions (Form 4) in this period.

NMFC Filing Activity Snapshot 2026-03-02 — 2026-09-11

Insider Transactions (Form 4)

8 buys vs 1 sell

Net insider buying in this period — more purchases than sales reported.

Largest Form 144 Filing

$4.03M

KLINSKY STEVEN B (Director, 10% Owner) · 2026-03-12

500,000 shares · Form 4

Form 144 Notices

Proposed insider sale filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 10 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 10 filings in this group are Form 4s for New Mountain Finance Corporation.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 10 insider filings shown, the breakdown is 8 open-market purchase, 1 open-market sale and 1 unclassified. 9 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market purchase ×8: The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.
Open-market sale ×1: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Unclassified ×1: The transaction code on this filing is not one of the standard categories.

Form 4 Unclassified Tax / Compensation Filing 2026-09-11

NMFC insider Form 4 filed for equity award, exercise, or tax withholding

KLINE JOHN R (Director, CEO, President and Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The transaction code on this filing is not one of the standard categories.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`W`	Code W	2,000	—	—

Filing: Form 4 (Insider Transaction) Insider: KLINE JOHN R (Director, CEO, President and Director) Shares: 2,000

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-06-16

NMFC insider Malfettone John P (Director) sold 77,500 shares (~$611.7K)

Malfettone John P, listed as Director at New Mountain Finance Corp, reported an open-market sale of 77,500 NMFC shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	77,500	$7.89	$611.7K

Filing: Form 4 (Insider Transaction) Insider: Malfettone John P (Director) Shares: 77,500 Est. Value: $611.7K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-18

NMFC insider Weinstein Adam B. (Director, EVP, CAO and Director) bought 12,900 shares (~$98.2K)

Weinstein Adam B., listed as Director, EVP, CAO and Director at New Mountain Finance Corp, reported an open-market purchase of 12,900 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	12,900	$7.61	$98.2K

Filing: Form 4 (Insider Transaction) Insider: Weinstein Adam B. (Director, EVP, CAO and Director) Shares: 12,900 Est. Value: $98.2K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-12

NMFC insider KLINSKY STEVEN B (Director, 10% Owner) bought 500,000 shares (~$4.03M)

KLINSKY STEVEN B, listed as Director, 10% Owner at New Mountain Finance Corp, reported an open-market purchase of 500,000 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	74,586	$8.05	$600.4K
`P`	Open-market purchase	92,080	$8.05	$741.2K
`P`	Open-market purchase	149,172	$8.05	$1.20M
`P`	Open-market purchase	184,162	$8.05	$1.48M

Filing: Form 4 (Insider Transaction) Insider: KLINSKY STEVEN B (Director, 10% Owner) Shares: 500,000 Est. Value: $4.03M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-06

NMFC insider KLINSKY STEVEN B (Director, 10% Owner) bought 237,873 shares (~$1.93M)

KLINSKY STEVEN B, listed as Director, 10% Owner at New Mountain Finance Corp, reported an open-market purchase of 237,873 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	79,291	$8.10	$642.3K
`P`	Open-market purchase	158,582	$8.10	$1.28M

Filing: Form 4 (Insider Transaction) Insider: KLINSKY STEVEN B (Director, 10% Owner) Shares: 237,873 Est. Value: $1.93M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-05

NMFC insider KLINSKY STEVEN B (Director, 10% Owner) bought 437,400 shares (~$3.52M)

KLINSKY STEVEN B, listed as Director, 10% Owner at New Mountain Finance Corp, reported an open-market purchase of 437,400 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	83,498	$7.94	$663.2K
`P`	Open-market purchase	62,301	$8.17	$508.8K
`P`	Open-market purchase	166,997	$7.94	$1.33M
`P`	Open-market purchase	124,604	$8.17	$1.02M

Filing: Form 4 (Insider Transaction) Insider: KLINSKY STEVEN B (Director, 10% Owner) Shares: 437,400 Est. Value: $3.52M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-04

NMFC insider Ogens David (Director) bought 12,500 shares (~$98.4K)

Ogens David, listed as Director at New Mountain Finance Corp, reported an open-market purchase of 12,500 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	10,100	$7.87	$79.5K
`P`	Open-market purchase	2,400	$7.86	$18.9K

Filing: Form 4 (Insider Transaction) Insider: Ogens David (Director) Shares: 12,500 Est. Value: $98.4K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-03

NMFC insider KLINSKY STEVEN B (Director) bought 324,727 shares (~$2.52M)

KLINSKY STEVEN B, listed as Director at New Mountain Finance Corp, reported an open-market purchase of 324,727 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	46,001	$7.69	$353.9K
`P`	Open-market purchase	62,242	$7.79	$484.6K
`P`	Open-market purchase	92,001	$7.69	$707.7K
`P`	Open-market purchase	124,483	$7.79	$969.1K

Filing: Form 4 (Insider Transaction) Insider: KLINSKY STEVEN B (Director) Shares: 324,727 Est. Value: $2.52M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-03

NMFC insider Weinstein Adam B. (Director, EVP, CAO and Director) bought 41,707 shares (~$323.7K)

Weinstein Adam B., listed as Director, EVP, CAO and Director at New Mountain Finance Corp, reported an open-market purchase of 41,707 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	38,400	$7.76	$298.1K
`P`	Open-market purchase	3,307	$7.73	$25.6K

Filing: Form 4 (Insider Transaction) Insider: Weinstein Adam B. (Director, EVP, CAO and Director) Shares: 41,707 Est. Value: $323.7K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-03-02

NMFC insider Boswerger Laura C. Holson (COO) bought 12,500 shares (~$96.8K)

Boswerger Laura C. Holson, listed as COO at New Mountain Finance Corp, reported an open-market purchase of 12,500 NMFC shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	12,500	$7.74	$96.8K

Filing: Form 4 (Insider Transaction) Insider: Boswerger Laura C. Holson (COO) Shares: 12,500 Est. Value: $96.8K

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 1 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. New Mountain Finance Corporation has 1 such notice in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-06-15

NMFC Form 144 filed for proposed insider sale by John P Malfettone (77,500 shares) ~$616.1K

John P Malfettone filed a Form 144 with the SEC indicating intent to sell NMFC (New Mountain Finance Corp) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: John P Malfettone Shares: 77,500 Est. Value: $616.1K

View on SEC EDGAR → Open Filing Document →

Material Events 7 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 7 in this period for New Mountain Finance Corporation. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-08-03

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-06-18

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-06-05

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-05-15

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-05-04

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-03-24

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-03-13

NMFC filed 8-K — material company event

New Mountain Finance Corp filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Periodic Reports 2 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 2 quarterly reports (10-Q) for New Mountain Finance Corporation.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-08-03

NMFC filed Quarterly Report (10-Q)

New Mountain Finance Corp filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

Form 10-Q Quarterly Report 2026-05-04

NMFC filed Quarterly Report (10-Q)

New Mountain Finance Corp filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

How we classify New Mountain Finance Corporation's filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on NMFC. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — NMFC SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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