Proposed sale of NMFC common shares filed under Form 144 (NMFC)

Rhea-AI Filing Summary

J.P. Morgan Securities LLC submitted a Form 144 notice proposing the sale of Common shares, including 25,935 shares associated with 05/10/2021, 31,565 shares associated with 05/11/2021, and 20,000 shares associated with 05/24/2022. The entries list Open Market as the planned method.

Insights

Securities Compliance Analyst

Form 144 lists proposed open-market sales tied to specific prior purchase dates and share counts.

The filing records proposed dispositions of Common shares with explicit purchase dates: 05/10/2021 (25,935 shares), 05/11/2021 (31,565 shares), and 05/24/2022 (20,000 shares). Each line labels the planned distribution method as Open Market.

Timing and purchaser identity for the eventual sales are not included in the excerpt; subsequent SEC filings will show whether the proposed sales were completed and the actual transaction dates.

Key Figures

Proposed sale: 25,935 shares Proposed sale: 31,565 shares Proposed sale: 20,000 shares +1 more

4 metrics

Proposed sale 25,935 shares acquired 05/10/2021

Proposed sale 31,565 shares acquired 05/11/2021

Proposed sale 20,000 shares acquired 05/24/2022

Broker-dealer J.P. Morgan Securities LLC listed in filer information

Key Terms

Open Market, Common, Form 144

3 terms

Open Market regulatory

"Lines listing method of sale: "Open Market""

An open market is a system where buying and selling of goods, services, or financial assets happen freely without restrictions or special controls. For investors, it means they can trade assets easily and quickly, which helps determine fair prices based on supply and demand. This environment encourages transparency and competition, making it easier to buy or sell with confidence.

Common financial

"Securities Information and Securities To Be Sold rows: "Common""

Form 144 regulatory

"Provided form_type metadata: "144: Filer Information""

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

FAQ

What does the Form 144 filed for NMFC mean?

A Form 144 notifies the SEC of a proposed sale of restricted or control stock. The excerpt lists proposed open-market sales of 25,935, 31,565, and 20,000 Common shares tied to purchase dates in 2021 and 2022.

Who is listed as the filer on the NMFC Form 144?

The excerpt shows J.P. Morgan Securities LLC as the broker-dealer address line. The filing lists the securities and proposed sale method but does not identify the underlying beneficial owner in the provided lines.

How were the NMFC shares acquired that are being proposed for sale?

The excerpt shows the shares were acquired by purchase on 05/10/2021 (25,935), 05/11/2021 (31,565), and 05/24/2022 (20,000). Each acquisition row is labeled Purchase and Open Market.

Does this Form 144 mean the shares have already been sold?

No. A Form 144 indicates an intention to sell under Rule 144; it does not confirm a completed sale. The excerpt provides proposed sale lines but does not show settlement or execution details.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 06/15/2026 - 04:37 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001794312
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	New Mountain Finance Corporation
SEC File Number	814-00832
Address of Issuer	1633 Broadway, 48th Floor New York NEW YORK 10019
Phone	212-720-0300
Name of Person for Whose Account the Securities are To Be Sold	John P Malfettone
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Affiliate

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	J.P. Morgan Securities LLC 270 Park Avenue - 10th Floor New York NY 10017	77500	616125	94452390	06/15/2026	Nasdaq

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/10/2021	Purchase	Open Market			25935	05/10/2021	Cash
Common	05/11/2021	Purchase	Open Market			31565	05/11/2021	Cash
Common	05/24/2022	Purchase	Open Market			20000	05/24/2022	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	06/15/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ J.P. Morgan Securities LLC as agent and attorney-in-fact for John P Malfettone
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)