BANX Form 3: New Director Melissa Marano Thompson Reports Zero Beneficial Ownership

Rhea-AI Filing Summary

Melissa Marano Thompson filed an Initial Form 3 reporting her relationship to ArrowMark Financial Corp. (BANX) as a Director. The event date triggering the filing was 09/12/2025. The filing states that no securities are beneficially owned by the reporting person as of the report. The form lists her business address at ArrowMark Financial Corp., 100 Fillmore Street, Suite 325, Denver, CO 80206. The filing is an individual submission (Form filed by One Reporting Person) and is signed by Melissa Marano Thompson on 09/30/2025. This document discloses appointment and confirms the reporting person does not currently hold direct or indirect ownership of the issuer's equity securities.

Insights

Corporate Governance Expert

TL;DR: A newly reported director with no disclosed ownership; neutral governance signal absent share alignment.

The filing documents that Melissa Marano Thompson is a director of ArrowMark Financial Corp. and that she does not beneficially own any securities of the issuer at the time of reporting. From a governance perspective, initial Form 3s that show zero ownership simply confirm status and timing of appointment without revealing alignment via share ownership. This is routine for newly appointed directors or for individuals who have not yet received equity-based compensation or completed purchases. The filing contains no information on options, restricted stock units, or forthcoming grants; therefore, material implications for corporate control, ownership concentration, or insider trading are minimal based solely on this form.

Securities Compliance Analyst

TL;DR: Compliance filing meets Section 16 initial-disclosure requirements and shows no reportable holdings.

The Form 3 satisfies the initial reporting obligation under Section 16 for a person identified as a director. It lists the reporting person’s address, the issuer (BANX), the event date (09/12/2025), and confirms individual filing status. Crucially, Table I and Table II indicate no non-derivative or derivative securities beneficially owned. For compliance monitoring, this raises a flag only insofar as future Form 4 or Form 5 filings may disclose acquisitions or compensatory awards. There is no evidence in this document of late reporting or corrective amendments.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Marano Thompson Melissa

(Last) (First) (Middle)

C/O ARROWMARK FINANCIAL CORP.

100 FILLMORE STREET, SUITE 325

(Street)

DENVER CO 80206

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/12/2025

3. Issuer Name and Ticker or Trading Symbol
ArrowMark Financial Corp. [ BANX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	Melissa Marano Thompson	09/30/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

Who filed the Form 3 for ArrowMark Financial Corp. (BANX)?

Melissa Marano Thompson filed the Form 3 and is identified as a Director of ArrowMark Financial Corp.

Does the Form 3 filed by Melissa Marano Thompson show any beneficial ownership in BANX?

No. The filing explicitly states no securities are beneficially owned by the reporting person.

What is the event date and filing date on the Form 3 for BANX?

The event date triggering the statement is 09/12/2025, and the form is signed on 09/30/2025.

What address is listed for the reporting person on the Form 3?

The address listed is c/o ArrowMark Financial Corp., 100 Fillmore Street, Suite 325, Denver, CO 80206.

Was this Form 3 filed individually or jointly?

The Form indicates it was filed by one reporting person (individual filing).