Every 8-K that ArrowMark Financial Corp. (BANX) has filed with the SEC in the last 24 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A 8-K covers material events a company has to report between its quarterly reports, so if you follow BANX and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full BANX filings page.
ArrowMark Financial Corp. announced significant leadership changes. Patrick Farrell has retired as Chief Financial Officer, and the company has appointed Katherine (Katie) Jones, 41, as the new Chief Financial Officer, effective June 30, 2026. Jones has been a key member of the ArrowMark team since it assumed management of the fund in 2019 and has played an important role in fund operations over the past seven years.
The company also disclosed that Dana Staggs has resigned as President, effective June 30, 2026. ArrowMark highlighted Farrell’s and Staggs’s long-standing contributions and noted that Jones is not expected to receive any direct compensation from the company for her CFO role. A press release detailing these executive officer changes was issued the same day and attached as an exhibit.
ArrowMark Financial Corp. is conducting a rights offering that allows existing shareholders to subscribe for up to 2,604,156 new common shares. Holders of record on January 22, 2026 receive one transferable Right for each share owned, and every three Rights permit the purchase of one new common share.
Shareholders who fully exercise their Rights may request additional shares through an oversubscription privilege, and those owning fewer than three shares can still buy one full share. The company engaged UBS Securities LLC as dealer manager, Equiniti Trust Company, LLC as subscription agent, and EQ Fund Solutions, LLC as information agent to administer the offer under its effective shelf registration.
ArrowMark Financial Corp. entered into a new equity distribution agreement that allows it to issue and sell up to $25,000,000 of its common stock in at-the-market transactions. The company appointed ALPS Distributors, Inc. as its agent for these sales, and ALPS has a sub-placement agent agreement with UBS Securities LLC to help place the shares.
The shares will be sold under an existing Form N-2/A registration statement, using a base prospectus dated February 18, 2025 and a prospectus supplement dated December 15, 2025. ArrowMark filed the distribution and sub-placement agreements, along with a legal opinion from Troutman Pepper Locke LLP and a press release announcing the pricing of the offering, as exhibits to this report.