Welcome to our dedicated page for ArrowMark Financial SEC filings (Ticker: BANX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
ArrowMark Financial Corp. filings document the governance, capital structure, and public-company obligations of a non-diversified closed-end fund. Proxy materials cover annual meeting matters such as director elections and board oversight, while 8-K reports record material agreements tied to common-share issuance programs, rights offerings, dealer-manager arrangements, distribution agreements, and related offering documents.
The filing record also includes Form N-2 registration references for closed-end fund share offerings and exchange notices concerning listed rights. These disclosures frame the fund’s common shares, shareholder voting mechanics, Nasdaq-listed securities, adviser relationships, and capital-raising activity within its income-oriented investment mandate.
ArrowMark Financial Corp. plans an at-the-market offering of up to $25,000,000 of common stock, sold from time to time through ALPS Distributors under a distribution agreement. Shares will only be issued at or above the then-current net asset value per share plus the selling commission, so the company cannot sell new stock below NAV.
ArrowMark is a non-diversified, closed-end fund focused on current income from banking-related securities, especially regulatory capital relief instruments, preferred and subordinated debt, and CLO interests tied to banks and other financial institutions. It uses leverage via a credit facility and generally targets borrowings of about 30% of Managed Assets, with a management fee of 1.75% of Managed Assets paid to its adviser.
For the current fiscal year, total annual expenses are estimated at 7.40% of net assets, reflecting management fees, interest on borrowings and other operating costs. The distributor will receive a 1.00% commission on gross proceeds from ATM sales, with a portion payable to UBS Securities as sub-placement agent. Net proceeds are expected to be invested in line with the fund’s income-focused banking strategy within roughly three months after completion of the offering.
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.
ArrowMark Financial Corp., a NASDAQ-listed closed-end fund, focuses on generating current income mainly from regulatory capital relief securities, which made up 83% of total assets as of 6/30/2025. Total gross assets were $224 million, with approximately 83% of holdings in floating-rate assets, positioning the fund for elevated interest rate environments.
The fund reported a 10.0% historical distribution rate based on the last four quarters, and Q2 2025 EPS of $0.57 exceeded the declared distribution of $0.45 per share. Q2 2025 portfolio investment yield was 13.2%. Net asset value per share was $22.22 versus a market price of $20.93, a 5.8% discount. Over 1, 3, 5 and 10 years, total returns based on NAV were 13.99%, 13.71%, 12.21% and 9.25%.
The fund uses leverage, with a $64.5 million revolving credit facility outstanding as of 6/30/2025. Management highlights low historical correlation of NAV to major asset classes and emphasizes risks including credit, leverage, interest rate, regulatory and concentration in the banking and financial sectors.