Washington, D.C. 20549





Pursuant to Section 13 OR 15(d) of 

The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported) May 27, 2022


ArrowMark Financial Corp. 

(Exact Name of Registrant as Specified in Charter)


Delaware   333-189307   90-0934878
(State or other jurisdiction
of incorporation)
File Number)
  (IRS Employer
Identification No.)


100 Fillmore Street, Suite 325, Denver, Colorado   80206
(Address of principal executive offices)   (Zip Code)


Registrant’s telephone number, including area code (303) 398-2929 

(Former name or former address, if changed since last report.)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):


¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class Trading Symbol(s) Name of each exchange on which registered


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨






Item 8.01 Other Events.


On May 27, 2022, ArrowMark Financial Corp., a registered closed-end investment company (the “Company”) entered into an Amended and Restated Credit Agreement (the “Agreement”) with Texas Capital Bank (the “Administrative Agent”), as administrative agent, and the lenders thereto, amending the terms of the Company’s existing Credit Agreement dated June 9, 2014 (as the same was amended from time to time, the “Existing Agreement”).


The Agreement modifies the Existing Agreement by, among other things, (i) increasing the maximum available revolving credit amount to $70,000,000 from $62,000,000, (ii) providing for an interest rate based on the Secured Overnight Financing Rate, and (iii) extending the facility’s maturity until May 27, 2025 (which may be extended until May 27, 2026 at the option of the Company). At closing, two additional lenders joined the lending group. The Company intends to use the borrowing proceeds in furtherance of its investment objective by investing in banking related investments and other securities, and to support its working capital needs.





Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: June 3, 2022  
  By: /s/ Patrick J. Farrell
  Name: Patrick J. Farrell
  Title: Chief Financial Officer