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Delaware
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88-1377220
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(State or other jurisdiction of
incorporation or organization) |
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(I.R.S. Employer
Identification No.) |
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1633 Broadway, 48th Floor
New York, New York |
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10019
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(Address of principal executive offices)
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(Zip Code)
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Large accelerated filer
☐
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Accelerated filer
☐
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Non-accelerated filer
☒
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Smaller reporting company
☐
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Emerging growth company
☒
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Page
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Type of Ownership
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Number of Units Owned
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Percentage
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Interested Directors | | | | | | | | | | | | | | | | | | | |
John R. Kline
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| | | | — | | | | | | — | | | | | | — | | |
Adam B. Weinstein
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Independent Directors | | | | | | | | | | | | | | | | | | | |
Alfred F. Hurley, Jr.
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David Ogens
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Rome G. Arnold III
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Executive Officers Who Are Not Directors | | | | | | | | | | | | | | | | | | | |
Robert A. Hamwee
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Joseph W. Hartswell
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Laura C. Holson
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Shiraz Y. Kajee
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All Directors and Executive Officers as a Group
(8 persons) |
| | | | — | | | | | | — | | | | | | — | | |
Five-Percent Unitholders | | | | | | | | | | | | | | | | | | | |
New Mountain Guardian Investments IV, L.L.C.(1)
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| | | | Record | | | | | | 1,000,000 | | | | | | 62.5% | | |
Pontus Holdings Ltd.(2)
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| | | | Record | | | | | | 600,000 | | | | | | 37.5% | | |
Name
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Age
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Position(s)
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Director Since
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Independent Directors | | | | | | | | | | |
Alfred F. Hurley, Jr. | | | 67 | | | Director | | |
2022
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David Ogens | | | 68 | | | Director | | |
2022
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Rome G. Arnold III | | | 66 | | | Director | | |
2022
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Interested Directors | | | | | | | | | | |
John R. Kline | | | 46 | | | Director, President | | |
2022
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Adam B. Weinstein | | | 43 | | |
Director, Executive Vice President
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2022
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Name
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Age
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Position(s)
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Robert A. Hamwee | | | 52 | | | Chief Executive Officer | |
Joseph W. Hartswell | | | 44 | | | Chief Compliance Officer and Corporate Secretary | |
Laura C. Holson | | | 36 | | | Chief Operating Officer | |
Shiraz Y. Kajee | | | 42 | | | Chief Financial Officer and Treasurer | |
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PAGE
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| | | | F-2 | | | |
| | | | F-3 | | | |
| | | | F-4 | | |
| 3.1 | | | | |
| 4.1 | | | | |
| 10.1 | | | | |
| 10.2 | | | | |
| 10.3 | | | | |
| 10.4 | | | | |
| 10.5 | | | | |
| 10.6 | | | | |
| 10.7 | | | | |
| 10.8 | | | | |
| 14.1 | | | | |
| 21.1 | | | List of Subsidiaries — None | |
| | | | NEW MOUNTAIN GUARDIAN IV BDC, L.L.C. | | |||
| | | | By: | | |
/s/ John R. Kline
Name: John R. Kline
Title: President |
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PAGE
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| | | | F-2 | | | |
| | | | F-3 | | | |
| | | | F-4 | | |
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As of
April 26, 2022 |
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Assets | | | | | | | |
Cash and cash equivalents
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| | | $ | 1,000 | | |
Total assets
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| | | $ | 1,000 | | |
Commitments and contingencies (see Note 4) | | | | | | | |
Members’ Capital
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| | | $ | 1,000 | | |
Total members’ capital
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| | | $ | 1,000 | | |
Outstanding common membership units
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| | | | 100 | | |
Members’ capital per unit
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| | | $ | 10.00 | | |