CIFC / CIFC LLC - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

JOINT FILING AGREEMENT

Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accurac

UNITED STATES

SC 13G 1 a21-67331sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Summit Midstream Partners, LP (Name of Issuer) Common Units (Title of Class of Securities) 866142409 (CUSIP Number) November 17, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de

CIFC S-8 POS

As filed with the Securities and Exchange Commission on November 30, 2016 Registration Nos.

CIFC / CIFC LLC / Bounty Investments, LLC - AMENDMENT NO. 10 TO SCHEDULE 13D Activist Investment

SC 13D/A 1 d72906dsc13da.htm AMENDMENT NO. 10 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 10)* CIFC LLC (Name of Issuer) Common Shares, $0.001 par value per share (Title of Class of S

CIFC / CIFC LLC / Bounty Investments, LLC - AMENDMENT NO. 10 TO SCHEDULE 13D Activist Investment

SC 13D/A 1 d72906dsc13da.htm AMENDMENT NO. 10 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 10)* CIFC LLC (Name of Issuer) Common Shares, $0.001 par value per share (Title of Class of S

JOINT FILING AGREEMENT

EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No.

CIFC Corp. OFFER TO EXCHANGE $40,000,000 8.50% Senior Notes due 2025 and related Guarantees $40,000,000 8.50% Senior Notes due 2025 and related Guarantees that have been registered under the Securities Act of 1933

424B3 1 a2228982z424b3.htm 424B3 Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS 2 Table of Contents Filed pursuant to Rule 424(b)(3) Registration No. 333-210642 PROSPECTUS CIFC Corp. OFFER TO EXCHANGE $40,000,000 8.50% Senior Notes due 2025 and related Guarantees for $40,000,000 8.50% Senior Notes due 2025 and related Guarantees that have been registered under t

CIFC ESP

CORRESP 1 filename1.htm CIFC CORP. 250 Park Avenue 4th Floor New York, NY 10177 June 9, 2016 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F. Street, N.E. Washington, DC 20549 Attention: Christopher Dunham Re: CIFC Corp. Amendment No. 1 to Registration Statement on Form S-4 filed on June 8, 2016 Registration No. 333-210642 Dear Mr. Dunham: Pursuant to Rule 461

2

EX-5.3 5 a2228568zex-53.htm EX-5.3 Exhibit 5.3 Our ref PGH/709385-000001/41656141v1 CIFC Corp. 1251 Avenue of the Americas 6th Floor New York, NY 10020 7 June 2016 Dear Sirs CIFC CLO Opportunity Fund GP Ltd We have acted as counsel as to Cayman Islands law to CIFC CLO Opportunity Fund GP Ltd (the “Company”) in connection with the Company’s entry into of the Transaction Documents (as defined below)

CIFC ESP

CIFC CORP. 250 Park Avenue 4th Floor New York, NY 10177 June 8, 2016 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F. Street, N.E. Washington, DC 20549 Attention: Christopher Dunham Re: CIFC Corp. Amendment No. 1 to Registration Statement on Form S-4 filed on June 8, 2016 Registration No. 333-210642 Dear Mr. Dunham: Pursuant to Rule 461 under the Securities Ac

As filed with the Securities and Exchange Commission on June 7, 2016

S-4/A 1 a2228568zs-4a.htm S-4/A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS 2 Table of Contents As filed with the Securities and Exchange Commission on June 7, 2016 Registration No. 333-210642 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Amendment No. 1 to FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CIFC CORP. (Ex

CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF FORMATION CIFC CLO WAREHOUSE FUND GP LLC A DELAWARE LIMITED LIABILITY COMPANY April 18, 2016

Exhibit 3.22 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF FORMATION OF CIFC CLO WAREHOUSE FUND GP LLC A DELAWARE LIMITED LIABILITY COMPANY April 18, 2016 In accordance with the provisions of Section 18-202 of the Delaware Limited Liability Company Act, the Certificate of Formation (the “Certificate”) of CIFC CLO Warehouse Fund GP LLC (the “LLC”) is hereby amended as follows. FIRST: The name of t

Annual Report - 10-K/A

10-K/A 1 a16-4595210ka.htm 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 10-K/A (Amendment No.1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission f

CERTIFICATE OF FORMATION CIFC PARTHENON LOAN FUNDING GP LLC

Exhibit 3.44 CERTIFICATE OF FORMATION OF CIFC PARTHENON LOAN FUNDING GP LLC This Certificate of Formation of CIFC Parthenon Loan Funding GP LLC, dated as of January 15, 2014, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq.). FIRST. The name of the limited l

CERTIFICATE OF FORMATION SPRINGFIELD ASSET MANAGEMENT, L.L.C.

EX-3.56 50 a2226997zex-356.htm EX-3.56 Exhibit 3.56 CERTIFICATE OF FORMATION OF SPRINGFIELD ASSET MANAGEMENT, L.L.C. This Certificate of Formation of Springfield Asset Management, L.L.C. (the “LLC”), dated December 27, 1996, is being duly executed and filed by Teresa Ramirez, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C. § 1

CERTIFICATE OF FORMATION OF CIFC PRIVATE DEBT ADVISERS LLC

Exhibit 3.46 CERTIFICATE OF FORMATION OF CIFC PRIVATE DEBT ADVISERS LLC This Certificate of Formation of CIFC Private Debt Advisers LLC (the “Company”) is being executed by the undersigned for the purpose of forming a limited liability company pursuant to the Delaware Limited Liability Company Act. 1. The name of the Company is CIFC Private Debt Advisers LLC. 2. The registered agent of the Company

SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC CAPITAL HOLDCO LLC

Exhibit 3.15 SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC CAPITAL HOLDCO LLC This Sixth Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Capital Holdco LLC (the “Company”) is entered into by CIFC Corp., a Delaware corporation, as the sole member of the Company (the “Member”). WHEREAS, this Agreement amends an

CERTIFICATE OF FORMATION DEERFIELD TRIARC CAPITAL LLC

Exhibit 3.14 CERTIFICATE OF FORMATION OF DEERFIELD TRIARC CAPITAL LLC This Certificate of Formation of Deerfield Triarc Capital LLC (the “Company”) to form a limited liability company under the Delaware Limited Liability Company Act is dated as of December 13, 2004. ARTICLE ONE The name of the limited liability company is: Deerfield Triarc Capital LLC ARTICLE TWO The address of the registered offi

CIFC CORP. LETTER OF TRANSMITTAL OFFER TO EXCHANGE all outstanding 8.50% Senior Notes Due 2025 for 8.50% Senior Notes Due 2025 that have been registered under the Securities Act of 1933 144A CUSIP Number: 12547R AA3

Exhibit 99.1 CIFC CORP. LETTER OF TRANSMITTAL for OFFER TO EXCHANGE all outstanding 8.50% Senior Notes Due 2025 for 8.50% Senior Notes Due 2025 that have been registered under the Securities Act of 1933 144A CUSIP Number: 12547R AA3 THE EXCHANGE OFFER WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON , 2016 UNLESS EXTENDED (THE “EXPIRATION DATE”). TENDERS OF OLD NOTES MAY BE WITHDRAWN AT ANY TIME P

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC MASTER FUND ADVISER LLC

Exhibit 3.39 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC MASTER FUND ADVISER LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Master Fund Adviser LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability company, as the sole member of the Company (the “Member”

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC ASSET MANAGEMENT KSA LLC

Exhibit 3.11 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC ASSET MANAGEMENT KSA LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Asset Management KSA LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability company, as the sole member of the Company (the “Membe

SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CYPRESSTREE INVESTMENT MANAGEMENT, LLC

Exhibit 3.55 SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CYPRESSTREE INVESTMENT MANAGEMENT, LLC This Sixth Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CypressTree Investment Management, LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability company, as the sole mem

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC HOLDINGS III SUB LLC

Exhibit 3.33 Execution Version AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of CIFC HOLDINGS III SUB LLC This Amended and Restated Limited Liability Company Agreement (together with the exhibits and annexes attached hereto, this “Agreement”) of CIFC Holdings III Sub LLC, a Delaware limited liability company (the “Company”), is entered into on December 31, 2015, by and among CIFC Holdin

CERTIFICATE OF FORMATION CIFC MEMBER LLC Dated as of October 13, 2015

Exhibit 3.42 CERTIFICATE OF FORMATION OF CIFC MEMBER LLC Dated as of October 13, 2015 This Certificate of Formation of CIFC Member LLC is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq. (the “Act”). 1. Name. The name of the limited liability company formed her

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC PARTHENON LOAN FUNDING GP LLC

Exhibit 3.45 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC PARTHENON LOAN FUNDING GP LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Parthenon Loan Funding GP LLC (the “Company”) is entered into by CIFC Capital PE LLC, a Delaware limited liability company, as the sole member of the Company (the “Member”).

CERTIFICATE OF FORMATION CIFC TACTICAL INCOME FUND GP LLC

Exhibit 3.50 CERTIFICATE OF FORMATION OF CIFC TACTICAL INCOME FUND GP LLC This Certificate of Formation of CIFC Tactical Income Fund GP LLC, dated as of October 25, 2013, is being duly executed and filed by the undersigned as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq.). FIRST. The name of the limited liabil

STATE OF DELAWARE LIMITED LIABILITY COMPANY CERTIFICATE OF FORMATION August 18, 2009

Exhibit 3.54 STATE OF DELAWARE LIMITED LIABILITY COMPANY CERTIFICATE OF FORMATION August 18, 2009 This Certificate of Formation of CypressTree Investment Management, LLC (the “Company”) is being executed by the undersigned for the purpose of forming a limited liability company pursuant to the Delaware Limited Liability Company Act. FIRST: The name of the limited liability company is CypressTree In

CERTIFICATE OF FORMATION CIFC ASSET MANAGEMENT HOLDINGS LLC

EX-3.8 4 a2226997zex-38.htm EX-3.8 Exhibit 3.8 CERTIFICATE OF FORMATION OF CIFC ASSET MANAGEMENT HOLDINGS LLC This Certificate of Formation of CIFC Asset Management Holdings LLC (the “LLC”), dated as of April 14, 2015, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C § 18-101,

NOTICE OF GUARANTEED DELIVERY CIFC Corp. Offer for all outstanding 8.50% Senior Notes due 2025, in exchange for 8.50% Senior Notes due 2025 which have been registered under the Securities Act of 1933, as amended Pursuant to the Prospectus, dated , 20

Exhibit 99.2 NOTICE OF GUARANTEED DELIVERY CIFC Corp. Offer for all outstanding 8.50% Senior Notes due 2025, in exchange for 8.50% Senior Notes due 2025 which have been registered under the Securities Act of 1933, as amended Pursuant to the Prospectus, dated , 2016 The exchange offer will expire at 5:00 p.m., New York City time, on , 2016, unless extended. Tenders of old notes may be withdrawn at

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC CLO CO-INVESTMENT FUND GP LLC

Exhibit 3.17 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC CLO CO-INVESTMENT FUND GP LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CFIC CLO Co-Investment Fund GP LLC (the “Company”) is entered into by CIFC Capital PE LLC, a Delaware limited liability company, as the sole member of the Company (the “Member”).

CERTIFICATE OF FORMATION CIFC CLO CO-INVESTMENT FUND II GP LLC

Exhibit 3.18 CERTIFICATE OF FORMATION OF CIFC CLO CO-INVESTMENT FUND II GP LLC This Certificate of Formation of CIFC CLO CO-Investment Fund II GP LLC (the “LLC”), dated as of January 16, 2015, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C §18-101, et seq.). FIRST: The name

Certificate Of Incorporation

Exhibit 3.20 MC-305048 Certificate Of Incorporation I, JOY A. RANKINE Assistant Registrar of Companies of the Cayman Islands DO HEREBY CERTIFY, pursuant to the Companies Law CAP. 22, that all requirements of the said Law in respect of registration were complied with by CIFC CLO Opportunity Fund GP Ltd an Exempted Company incorporated in the Cayman Islands with Limited Liability with effect from th

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC CLO WAREHOUSE FUND GP LLC

Exhibit 3.23 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC CLO WAREHOUSE FUND GP LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC CLO Warehouse Fund GP LLC (the “Company”) is entered into by CIFC Capital PE LLC, a Delaware limited liability company, as the sole member of the Company (the “Member”). WHEREAS,

State of Delaware

Exhibit 3.30 State of Delaware Secretary of State Division of Corporations Delivered 11:16 AM 01/05/2012 FILED 11:01 AM 01/05/2012 SRV 120013671 - 5091049 FILE CERTIFICATE OF FORMATION OF CIFC INVESTMENT HOLDINGS LLC FIRST: The name of the limited liability company is CIFC Investment Holdings LLC (the “Company”). SECOND: The address of the Company’s registered office in the State of Delaware is Co

State of Delaware

Exhibit 3.34 State of Delaware Secretary of State Division of Corporations Delivered 03:32 PM 10/13/2015 FILED 03:32 PM 10/13/2015 SR 20150488683 - File Number 5849494 CERTIFICATE OF FORMATION OF CIFC HOLDINGS III MEMBER LLC Dated as of October 13, 2015 This Certificate of Formation of CIFC Holdings III Member LLC is being duly executed and filed by the undersigned, as an authorized person, to for

CIFC CORP. Offer for all outstanding 8.50% Senior Notes due 2025, in exchange for 8.50% Senior Notes due 2025 which have been registered under the Securities Act of 1933, as amended Pursuant to the Prospectus, dated , 2016

Exhibit 99.4 CIFC CORP. Offer for all outstanding 8.50% Senior Notes due 2025, in exchange for 8.50% Senior Notes due 2025 which have been registered under the Securities Act of 1933, as amended Pursuant to the Prospectus, dated , 2016 The exchange offer will expire at 5:00 p.m., New York City time, on , 2016, unless extended. Tenders of old notes may be withdrawn at any time prior to 5:00 p.m., N

As filed with the Securities and Exchange Commission on April 7, 2016

Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on April 7, 2016 Registration No.

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC ASSET MANAGEMENT HOLDINGS LLC

Exhibit 3.9 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC ASSET MANAGEMENT HOLDINGS LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Asset Management Holdings LLC (the “Company”) is entered into by CIFC Corp., a Delaware corporation, as the sole member of the Company (the “Member”). WHEREAS, this Agreement

SECOND AMENDED & RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC TACTICAL INCOME FUND GP LLC

Exhibit 3.51 SECOND AMENDED & RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC TACTICAL INCOME FUND GP LLC This Second Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Tactical Income Fund GP LLC (the “Company”) is entered into by CIFC Capital HF LLC, a Delaware limited liability company, as the sole member of the Company (the “Me

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC SENIOR SECURED CORPORATE LOAN FUND GP LLC

Exhibit 3.49 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC SENIOR SECURED CORPORATE LOAN FUND GP LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Senior Secured Corporate Loan Fund GP LLC (the “Company”) is entered into by CIFC Capital HF LLC, a Delaware limited liability company, as the sole member of the

SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC PRIVATE DEBT ADVISERS LLC

Exhibit 3.47 SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC PRIVATE DEBT ADVISERS LLC This Second Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Private Debt Advisers LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability company, as the sole member of the Com

CERTIFICATE OF FORMATION CIFC HOLDINGS I LLC Dated as of December 8, 2015

Exhibit 3.24 Execution Version CERTIFICATE OF FORMATION OF CIFC HOLDINGS I LLC Dated as of December 8, 2015 This Certificate of Formation of CIFC Holdings I LLC is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq. (the “Act”). 1. Name. The name of the limited li

CIFC CORP. Offer for all outstanding 8.50% Senior Notes due 2025, in exchange for 8.50% Senior Notes due 2025 which have been registered under the Securities Act of 1933, as amended Pursuant to the Prospectus, dated , 2016

Exhibit 99.3 CIFC CORP. Offer for all outstanding 8.50% Senior Notes due 2025, in exchange for 8.50% Senior Notes due 2025 which have been registered under the Securities Act of 1933, as amended Pursuant to the Prospectus, dated , 2016 The exchange offer will expire at 5:00 p.m., New York City time, on , 2016, unless extended. Tenders of old notes may be withdrawn at any time prior to 5:00 p.m., N

SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT DEERFIELD CAPITAL MANAGEMENT LLC

Exhibit 3.57 SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF DEERFIELD CAPITAL MANAGEMENT LLC This Seventh Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of Deerfield Capital Management LLC (the “Company”) is entered into by Deerfield & Company LLC, a Delaware limited liability company, as the sole member of the Company

FIFTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC HOLDINGS III LLC

Exhibit 3.31 FIFTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC HOLDINGS III LLC This Fifth Amended and Restated Limited Liability Company Agreement (together with the schedules attached hereto, this “Agreement”) of CIFC Holdings III LLC (f/k/a CIFC Investment Holdings LLC), a Delaware limited liability company (the “Company”), is entered into as of November 1, 2015, by and amo

CERTIFICATE OF FORMATION OF CIFC CAPITAL PE LLC

Exhibit 3.26 CERTIFICATE OF FORMATION OF CIFC CAPITAL PE LLC FIRST: The name of the limited liability company is CIFC Capital PE LLC. SECOND: The address of its registered office in the State of Delaware is Corporation Service Company, 2711 Centerville Road, Suite 400, in the City of Wilmington, County of New Castle, Delaware 19808. The name of its Registered agent at such address is Corporation S

EXEMPTED Company Registered and

Exhibit 3.21 EXEMPTED Company Registered and filed as No. 305048 On 20-Oct-2015 Assistant Registrar THE COMPANIES LAW (2013 REVISION) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES MEMORANDUM AND ARTICLES OF ASSOCIATION OF CIFC CLO OPPORTUNITY FUND GP LTD Auth Code: C48038602723 www.verify.gov.ky THE COMPANIES LAW (2013 REVISION) OF THE CAYMAN ISLANDS COMPANY LIMITED BY SHARES MEMORANDUM OF ASSOC

CERTIFICATE OF FORMATION CIFC CLO CO-INVESTMENT FUND GP LLC

Exhibit 3.16 CERTIFICATE OF FORMATION OF CIFC CLO CO-INVESTMENT FUND GP LLC This Certificate of Formation of CIFC CLO CO-Investment Fund GP LLC (the “LLC”), dated as of July 18, 2013, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C §18-101, et seq.). FIRST: The name of the li

SUPPLEMENTAL INDENTURE

EX-4.6 52 a2226997zex-46.htm EX-4.6 Exhibit 4.6 EXECUTION VERSION SUPPLEMENTAL INDENTURE This SUPPLEMENTAL INDENTURE, dated as of April 4th, 2016 (the “Supplemental Indenture”), is among CIFC Corp., a Delaware corporation (the “Issuer”); CIFC Holdings I LLC, a Delaware limited liability company, CIFC Holdings II Sub LLC, a Delaware limited liability company, and CIFC Holdings III Sub LLC, a Delawa

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC ASSET MANAGEMENT ESA LLC

Exhibit 3.7 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC ASSET MANAGEMENT ESA LLC This Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Asset Management ESA LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability company, as the sole member of the Company (the “Member

SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT COLUMBUS NOVA CREDIT INVESTMENTS MANAGEMENT, LLC

Exhibit 3.53 SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF COLUMBUS NOVA CREDIT INVESTMENTS MANAGEMENT, LLC This Seventh Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of Columbus Nova Credit Investments Management, LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability

CERTIFICATE OF FORMATION CIFC MASTER FUND ADVISER LLC

Exhibit 3.38 CERTIFICATE OF FORMATION OF CIFC MASTER FUND ADVISER LLC This Certificate of Formation of CIFC Master Fund Adviser LLC (the “LLC”), dated as of May 14, 2015, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C § 18-101, et seq.). FIRST: The name of the limited liabil

AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC HOLDINGS II SUB LLC

Exhibit 3.29 Execution Version AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of CIFC HOLDINGS II SUB LLC This Amended and Restated Limited Liability Company Agreement (together with the exhibits and annexes attached hereto, this “Agreement”) of CIFC Holdings II Sub LLC, a Delaware limited liability company (the “Company”), is entered into on December 31, 2015, by and among CIFC Holdings

THIRD AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC HOLDINGS II LLC

Exhibit 3.27 Execution Version THIRD AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of CIFC HOLDINGS II LLC This Third Amended and Restated Limited Liability Company Agreement (together with the schedules attached hereto, this “Agreement”) of CIFC Holdings II LLC (f/k/a CIFC Capital PE LLC), a Delaware limited liability company (the “Company”), is entered into as of November 1, 2015, by

CERTIFICATE OF FORMATION CIFC ASSET MANAGEMENT KSA LLC

Exhibit 3.10 CERTIFICATE OF FORMATION OF CIFC ASSET MANAGEMENT KSA LLC This Certificate of Formation of CIFC Asset Management KSA LLC (the “LLC”), dated as of April 15, 2015, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C § 18-101, et seq.). FIRST: The name of the limited li

CERTIFICATE OF FORMATION BULLS II ACQUISITION LLC

Exhibit 3.12 CERTIFICATE OF FORMATION OF BULLS II ACQUISITION LLC This Certificate of Formation of Bulls II Acquisition LLC (the “LLC”) is being duly executed and filed to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C. § 18-101, et seq.). FIRST: The name of the limited liability company formed hereby is Bulls II Acquisition LLC. SECOND: The address of t

SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT CIFC ASSET MANAGEMENT LLC

Exhibit 3.13 SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF CIFC ASSET MANAGEMENT LLC This Sixth Amended and Restated Limited Liability Company Agreement, dated as of August 7, 2015 (this “Agreement”), of CIFC Asset Management LLC (the “Company”) is entered into by CIFC Asset Management Holdings LLC, a Delaware limited liability company, as the sole member of the Company (the “M

LIMITED LIABILITY COMPANY AGREEMENT CIFC CLO CO-INVESTMENT FUND II GP LLC

Exhibit 3.19 LIMITED LIABILITY COMPANY AGREEMENT OF CIFC CLO CO-INVESTMENT FUND II GP LLC THIS LIMITED LIABILITY COMPANY AGREEMENT (this “Agreement”) is made as of January 16, 2015, by CIFC Capital PE LLC, a Delaware limited liability company (the “Member”). RECITALS: WHEREAS, CIFC CLO Co-Investment Fund II GP LLC (the “Company”) has been formed as a limited liability company under the Delaware Li

LIMITED LIABILITY COMPANY AGREEMENT CIFC HOLDINGS I LLC

Exhibit 3.25 Execution Version LIMITED LIABILITY COMPANY AGREEMENT of CIFC HOLDINGS I LLC THE UNDERSIGNED is executing this LIMITED LIABILITY COMPANY AGREEMENT (this “Agreement”), dated as of December 11, 2015, for the purpose of forming, and does hereby form, a limited liability company (the “Company”) pursuant to the provisions of the Delaware Limited Liability Company Act, 6 Del. C. §§ 18-101 e

CERTIFICATE OF FORMATION CIFC HOLDINGS II SUB LLC Dated as of December 16, 2015

Exhibit 3.28 CERTIFICATE OF FORMATION OF CIFC HOLDINGS II SUB LLC Dated as of December 16, 2015 This Certificate of Formation of CIFC Holdings II Sub LLC is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq. (the “Act”). 1. Name. The name of the limited liability

CERTIFICATE OF FORMATION CIFC HOLDINGS III SUB LLC Dated as of December 16, 2015

Exhibit 3.32 CERTIFICATE OF FORMATION OF CIFC HOLDINGS III SUB LLC Dated as of December 16, 2015 This Certificate of Formation of CIFC Holdings III Sub LLC is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq. (the “Act”). 1. Name. The name of the limited liabili

LIMITED LIABILITY COMPANY AGREEMENT CIFC HOLDINGS III MEMBER LLC

Exhibit 3.35 Execution Version LIMITED LIABILITY COMPANY AGREEMENT of CIFC HOLDINGS III MEMBER LLC THE UNDERSIGNED is executing this LIMITED LIABILITY COMPANY AGREEMENT (this “Agreement”), dated as of October 13, 2015, for the purpose of forming, and does hereby form, a limited liability company (the “Company”) pursuant to the provisions of the Delaware Limited Liability Company Act, 6 Del. C. §§

Certificate of Registration of Exempted Limited Partnership

Exhibit 3.40 MC-81159 Certificate of Registration of Exempted Limited Partnership I, MELANIE E. RIVERS Assistant Registrar of Exempted Limited Partnership in the Cayman Islands DO HEREBY CERTIFY, pursuant to the Exempted Limited Partnership Law, 2014 that all the requisitions of the said Law in respect of registration were complied with by CIFC Master Fund LP an Exempted Limited Partnership regist

AMENDED AND RESTATED EXEMPTED LIMITED PARTNERSHIP AGREEMENT CIFC MASTER FUND LP

Exhibit 3.41 Execution Version AMENDED AND RESTATED EXEMPTED LIMITED PARTNERSHIP AGREEMENT OF CIFC MASTER FUND LP AMENDED AND RESTATED EXEMPTED LIMITED PARTNERSHIP AGREEMENT of CIFC MASTER FUND LP (the “Partnership”), dated December 31, 2015, by and among CIFC Holdings II LLC, a Delaware limited liability company (as successor by merger to CIFC Capital HF LLC) (the “Initial General Partner”), CIFC

LIMITED LIABILITY COMPANY AGREEMENT CIFC MEMBER LLC

Exhibit 3.43 LIMITED LIABILITY COMPANY AGREEMENT of CIFC MEMBER LLC THE UNDERSIGNED is executing this LIMITED LIABILITY COMPANY AGREEMENT (this “Agreement”), dated as of October 13, 2015, for the purpose of forming, and does hereby form, a limited liability company (the “Company”) pursuant to the provisions of the Delaware Limited Liability Company Act, 6 Del. C. §§ 18-101 et seq. (the “Act”) and

CERTIFICATE OF FORMATION CIFC SENIOR SECURED CORPORATE LOAN FUND GP, LLC

Exhibit 3.48 CERTIFICATE OF FORMATION OF CIFC SENIOR SECURED CORPORATE LOAN FUND GP, LLC This Certificate of Formation of CIFC Senior Secured Corporate Loan Fund GP LLC, dated as of October 5, 2012, is being duly executed and filed by the undersigned as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act, 6 Del. C. §18-101, et seq.). FIRST. Th

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE Check if an Application to Determine Eligibility of a Trustee Pursuant to

Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) o U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 31-0841368 I.R.S. Employer Identif

CERTIFICATE OF FORMATION CIFC CLO WAREHOUSE FUND GP LLC

Exhibit 3.22 CERTIFICATE OF FORMATION OF CIFC CLO WAREHOUSE FUND GP LLC This Certificate of Formation of CIFC CLO Warehouse Fund GP LLC (the “LLC”), dated as of October 22, 2014, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C §18-101, et seq.). FIRST: The name of the limited

CERTIFICATE OF FORMATION CIFC ASSET MANAGEMENT ESA LLC

Exhibit 3.6 CERTIFICATE OF FORMATION OF CIFC ASSET MANAGEMENT ESA LLC This Certificate of Formation of CIFC Asset Management ESA LLC (the “LLC”), dated as of April 15, 2015, is being duly executed and filed by the undersigned, as an authorized person, to form a limited liability company under the Delaware Limited Liability Company Act (6 Del.C § 18-101, et seq.). FIRST: The name of the limited lia

STATE of DELAWARE LIMITED LIABILITY COMPANY CERTIFICATE of FORMATION

Exhibit 3.52 STATE of DELAWARE LIMITED LIABILITY COMPANY CERTIFICATE of FORMATION FIRST: The name of the limited liability company is Columbus Nova Credit Investments Management, LLC. SECOND: The address of the registered office of the LLC in the State of Delaware is c/o Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington, Delaware 19808. THIRD: The name and address of the re

2

Exhibit 5.3 Our ref PGH/701859-000001/40942101v1 CIFC Corp. 1251 Avenue of the Americas 6th Floor New York, NY 10020 7 April 2016 Dear Sirs CIFC Master Fund LP We have acted as counsel as to Cayman Islands law to CIFC Master Fund LP (the “Partnership”), a Cayman Islands exempted limited partnership, and to CIFC Holdings II Sub LLC, a foreign company established in the State of Delaware and registe

Annual Report - 10-K

10-K 1 cifc123115.htm 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fil

List of Subsidiaries

List of Subsidiaries Name of Entity Jurisdiction of Incorporation or Organization CIFC Asset Management ESA LLC Delaware CIFC Asset Management Holdings LLC Delaware CIFC Asset Management KSA LLC Delaware CIFC Asset Management LLC Delaware CIFC Capital HoldCo LLC Delaware CIFC CLO Co-Investment Fund GP LLC Delaware CIFC CLO Co-Investment Fund II GP LLC Delaware CIFC CLO Opportunity Fund GP Ltd.

CIFC LLC Announces Fourth Quarter and Full Year of 2015 Results and a $0.34 Distribution

EX-99.1 2 ex-991123115.htm EXHIBIT 99.1 Exhibit 99.1 CIFC LLC Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC LLC Announces Fourth Quarter and Full Year of 2015 Results and a $0.34 Distribution NEW YORK, March 21, 2016 - CIFC LLC (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the fourth quarter and year ended Decemb

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20158-kcoverx123115.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 21, 2016 CIFC LLC CIFC Corp. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation)

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.2 5 a15-256773ex10d2.htm EX-10.2 Exhibit 10.2 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT This Amended and Restated Restricted Stock Unit Award Agreement (“Agreement”) is entered into on December 31, 2015 (the “Effective Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Stephen Vaccaro (the “Participa

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.3 6 a15-256773ex10d3.htm EX-10.3 Exhibit 10.3 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT This Amended and Restated Restricted Stock Unit Award Agreement (“Agreement”) is entered into on December 31, 2015 (the “Effective Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Oliver Wriedt (the “Participant

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT

Exhibit 10.1 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT This Amended and Restated Restricted Stock Unit Award Agreement (?Agreement?) is entered into on December 31, 2015 (the ?Effective Date?), and is between CIFC Corp., a Delaware corporation (the ?Company?), and Oliver Wriedt (the ?Participant?). This Agreement amends and restates

CIFC CORP. AMENDED AND RESTATED BY-LAWS ARTICLE I MEETINGS OF STOCKHOLDERS

Exhibit 3.3 CIFC CORP. AMENDED AND RESTATED BY-LAWS ARTICLE I MEETINGS OF STOCKHOLDERS Section 1. Place of Meeting. Meetings of the stockholders of CIFC Corp. (the ?Corporation?) shall be held at such place either within or without the State of Delaware as the Board of Directors may determine. Section 2. Annual and Special Meetings. Annual meetings of stockholders shall be held, at a date, time an

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CIFC CORP.

EX-3.2 2 a15-256773ex3d2.htm EX-3.2 Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CIFC CORP. FIRST: The name of the Corporation is CIFC Corp. (the “Corporation”). SECOND: The registered office of the Corporation in the State of Delaware is 2711 Centerville Road, Suite 400, Wilmington, Delaware 19808, New Castle County; and the name of the Corporation’s registered agent at such a

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets

8-K 1 a15-2567738k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2015 CIFC CORP. (Exact name of Registrant as specified in its governing document) Delaware (State or other jurisdiction of incorporation) 001-3

CIFC 15-12B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-32551 CIFC Corp. (Exact name of registrant as specified in its charter)

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT

Exhibit 10.4 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN AMENDED AND RESTATED RESTRICTED STOCK UNIT AWARD AGREEMENT This Amended and Restated Restricted Stock Unit Award Agreement (“Agreement”) is entered into on December 31, 2015 (the “Effective Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Stephen Vaccaro (the “Participant”). This Agreement amends and restate

Submission of Matters to a Vote of Security Holders

8-K 1 a15-2511618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2015 CIFC CORP. (Exact name of Registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction of (Commission

CIFC DEFM14A

Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

CIFC CORP. AGREEMENT AND PLAN OF MERGER NOVEMBER 11, 2015

Exhibit 2.1 CIFC CORP. AGREEMENT AND PLAN OF MERGER NOVEMBER 11, 2015 1 Table of Contents Page ARTICLE ONE 1 1. The Merger 1 1.1 The Merger 1 1.2 Closing; Effective Time 1 1.3 Effect of the Merger 2 1.4 Surviving Corporation 2 ARTICLE TWO 2 2. Effect on Capital Stock 2 2.1 Effect on Capital Stock 2 2.2 Effect on Corporation Equity Incentive Plan 3 2.3 Certificates 4 2.4 Dissenting Shares 4 ARTICLE

Quarterly Report - 10-Q

10-Q 1 cifc093015.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commi

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20158-kcoverx093015.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 12, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-325

CIFC Corp. Announces Third Quarter of 2015 Results and a Quarterly Dividend

Exhibit Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Third Quarter of 2015 Results and a Quarterly Dividend NEW YORK, November 12, 2015 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the third quarter ended September 30, 2015 . Highlights • Fee Earning Assets U

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorporati

CIFC Corp., as Issuer, the Guarantors party hereto, as Guarantors 8.50% Senior Notes due 2025 Dated as of November 2, 2015 U.S. Bank National Association, as Trustee, Paying Agent, Registrar and Transfer Agent

EX-4.1 2 a15-221431ex4d1.htm EX-4.1 Exhibit 4.1 CIFC Corp., as Issuer, the Guarantors party hereto, as Guarantors 8.50% Senior Notes due 2025 INDENTURE Dated as of November 2, 2015 U.S. Bank National Association, as Trustee, Paying Agent, Registrar and Transfer Agent CROSS-REFERENCE TABLE Trust Indenture Act Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) 13.5 (a)(5) 7.10 (b) 7.3, 7.8, 7.10

REGISTRATION RIGHTS AGREEMENT Dated as of November 2, 2015 CIFC CORP., THE GUARANTORS NAMED HEREIN SANDLER O’NEILL + PARTNERS, L.P., as the Initial Purchaser

Exhibit 4.2 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT Dated as of November 2, 2015 Among CIFC CORP., THE GUARANTORS NAMED HEREIN and SANDLER O’NEILL + PARTNERS, L.P., as the Initial Purchaser REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (the “Agreement”) dated as of November 2, 2015 between CIFC CORP., a Delaware corporation (the “Company”), the guarantors listed on Schedule I

CIFC Corp. (a Delaware corporation) 8.50% Senior Notes due 2025 PURCHASE AGREEMENT

Exhibit 99.1 EXECUTION VERSION CIFC Corp. (a Delaware corporation) $40,000,000 8.50% Senior Notes due 2025 PURCHASE AGREEMENT October 28, 2015 SANDLER O?NEILL + PARTNERS, L.P. 1251 Avenue of the Americas 6th Floor New York, New York 10020 Ladies and Gentlemen: CIFC Corp., a Delaware corporation (the ?Company?), confirms its agreement with Sandler O?Neill + Partners, L.P. (the ?Initial Purchaser?),

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

8-K 1 a15-2191418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or Other Jurisdiction (Commission (I.R

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

8-K 1 a15-2105218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or Other Jurisdiction (Commission (I.R

DISCLOSURE REGARDING FORWARD-LOOKING STATEMENTS

EX-99.1 2 a15-210521ex99d1.htm EX-99.1 Exhibit 99.1 DISCLOSURE REGARDING FORWARD-LOOKING STATEMENTS Certain statements in this offering memorandum and in the information incorporated by reference herein are forward-looking statements within the meanings of the Securities Act, the Exchange Act, and the Private Securities Litigation Reform Act of 1995. These include, but are not limited to, statemen

CIFC / CIFC LLC / Bounty Investments, LLC - AMENDMENT NO. 9 TO SCHEDULE 13D Activist Investment

Amendment No. 9 to Schedule 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 9) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater D

JOINT FILING AGREEMENT

EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 a15-2020018k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 24, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008

FIRST AMENDMENT TO TO PURCHASE COMMON STOCK OF CIFC CORP.

EX-10.1 2 a15-202001ex10d1.htm EX-10.1 Exhibit 10.1 FIRST AMENDMENT TO WARRANT TO PURCHASE COMMON STOCK OF CIFC CORP. This is a First Amendment, dated September 24, 2015 (this “Amendment”), to the Warrant to Purchase Common Stock of CIFC Corp. issued by CIFC Corp. (“CIFC”) to DFR Holdings, LLC (“DFR Holdings”), originally dated December 31, 2013 and amended and restated on September 22, 2014 (the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

CIFC Corp. Announces Second Quarter of 2015 Results and a Quarterly Dividend

EX-99.1 06.30.15 Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Second Quarter of 2015 Results and a Quarterly Dividend NEW YORK, August 7, 2015 - CIFC Corp. (NASDAQ: CIFC) (?CIFC? or the ?Company?) today announced its results for the second quarter ended June 30, 2015 . Highlights ? Fee Earning Asset

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20158-kcoverx063015.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 7, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551

CIFC 8-K (Prospectus)

425 1 a15-1628318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2015 CIFC CORP. (Exact name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 (Commission

Other Events

8-K 1 a15-1628318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2015 CIFC CORP. (Exact name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 (Commission

/s/ Robert C. Milton, III

Exhibit 10.1 CONFIDENTIAL Robert C. Milton, III 101 Warren Street, Apt. 540 New York, NY 10007 Re: Transition Agreement Dear Rob: This letter (?Agreement?) sets forth the agreement reached concerning your resignation from employment with CIFC Asset Management LLC, including its current and former parents, subsidiaries and affiliated entities, and their respective current and former successors, ass

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

8-K 1 a15-1482018k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 26, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (

CIFC DEF 14A

DEF 14A 1 a2224477zdef14a.htm DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

CIFC Corp. Announces First Quarter of 2015 Results and a Quarterly Dividend

EX-99.1 03.31.15 Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces First Quarter of 2015 Results and a Quarterly Dividend NEW YORK, May 6, 2015 - CIFC Corp. (NASDAQ: CIFC) (?CIFC? or the ?Company?) today announced its results for the first quarter ended March 31, 2015 . Highlights ? Fee Earning Assets Un

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20158-kcoverx033115.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 6, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-

CIFC INVESTMENT MANAGEMENT LLC NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT

Exhibit 10.33 EXECUTION VERSION CIFC INVESTMENT MANAGEMENT LLC NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT This NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT (this “Agreement”) is made and entered into as of April 14, 2011 between CIFC Investment Management LLC, (together with its Affiliates, as defined below, the “C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 1-32551 CIFC Corp. (Exact name of

AMENDED AND RESTATED NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT

Exhibit 10.11 EXECUTION COPY AMENDED AND RESTATED NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT This AMENDED AND RESTATED NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT (this “Agreement”) is made and entered into as of December 2, 2013 among CIFC Corp., a Delaware corporation (together with its Affiliates, as defined be

CIFC / CIFC LLC / Bounty Investments, LLC - AMENDMENT NO. 8 TO SCHEDULE 13D Activist Investment

Amendment No. 8 to Schedule 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 8) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater D

JOINT FILING AGREEMENT

EX-99.1 2 d906726dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No. 8 to Schedule 13D relating to the beneficial ownership of Common Stock, $0.001 par value per share, of CIFC Corp. is being filed with the Securities and Exchange Commission on behalf of e

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 o TRANSITION REPORT PURSUANT TO SECTI

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC CORP

CIFC Corp. Announces Fourth Quarter and Full Year 2014 Results and a Quarterly Dividend

EX-99.1 2 ex-991123114.htm EARNINGS RELEASE Q4 2014 Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Fourth Quarter and Full Year 2014 Results and a Quarterly Dividend NEW YORK, March 18, 2015 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the fourth quarter and ye

List of Subsidiaries

Exhibit 21.1 List of Subsidiaries Name of Entity Jurisdiction of Incorporation or Organization CIFC Asset Management LLC Delaware CIFC Capital HF LLC Delaware CIFC Capital PE LLC Delaware CIFC CLO Co-Investment Fund GP LLC Delaware CIFC Investment Holdings LLC Delaware CIFC Senior Secured Corporate Loan Fund GP, LLC Delaware CIFC Tactical Income Fund GP LLC Delaware Columbus Nova Credit Investment

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20148-kcoverx123114.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 18, 2015 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551

CIFC Corp.

Exhibit 18 CIFC Corp. 250 Park Avenue 4th Floor New York, NY 10177 Dear Sirs/Madams: We have audited the financial statements of CIFC Corp. as of December 31, 2014 and 2013, and for each of the periods ended December 31, 2014 and 2013, included in your Annual Report on Form 10-K to the Securities and Exchange Commission and have issued our report thereon dated March 18, 2015, which expresses an un

CIFC / CIFC LLC S-8 - - FORM S-8

S-8 1 d835324ds8.htm FORM S-8 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 20-2008622 (State or Other Jurisdiction of Incorporation or Organization) (I.R.S. Employer Identification No.) 250 Park Avenue, 4th Floo

SECOND AMENDMENT TO CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN

EX-99.3 4 d835324dex993.htm EX-99.3 Exhibit 99.3 SECOND AMENDMENT TO CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN WHEREAS, CIFC Corp. (the “Company”) desires to amend the CIFC Corp. 2011 Stock Option and Incentive Plan (the “Plan”) to increase the aggregate number of shares authorized for issuance under the Plan by 2,000,000 shares of common stock, par value $0.001 per share, of the Company (th

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSU

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20148-kcoverx093014.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 14, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-325

CIFC Corp. Announces Third Quarter of 2014 Results and a Quarterly Dividend

EX-99.1 2 ex-991093014.htm EARNINGS RELEASE Q3 2014 Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Third Quarter of 2014 Results and a Quarterly Dividend NEW YORK, November 14, 2014 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the third quarter ended September

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 4, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Numb

WARRANT to Purchase Common Stock of CIFC Corp.

EX-10.1 2 ex101-cifcdfrholdingsarwar.htm EXHIBIT THE SECURITIES OF THE ISSUER REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE STATE SECURITIES LAWS OF ANY STATE. WITHOUT SUCH REGISTRATION, SUCH SECURITIES MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED AT ANY TIME WHATSOEVER, EXCEPT PURSUANT TO AN EXEMPTION FROM SUCH RE

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 23, 2014 (September 22, 2014) CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (C

CIFC / CIFC LLC CORRESP - -

CORRESP August 22, 2014 VIA EDGAR Mr. Gus Rodriguez Accounting Branch Chief Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: CIFC Corp. Form 10-K for the Year Ended December 31, 2013 Filed March 28, 2014 File No. 001-32551 Dear Mr. Rodriguez: On behalf of CIFC Corp. (the “Company,” “we” or “our”), set forth below are responses to the

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 21, 2014 (August 20,2014) CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commissi

CIFC APPOINTS NEW MEMBER TO BOARD OF DIRECTORS

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC APPOINTS NEW MEMBER TO BOARD OF DIRECTORS NEW YORK, August 21, 2014-CIFC Corp. (NASDAQ: CIFC) (“CIFC”) today announced the appointment of Jeffrey S. Serota to its Board of Directors (the “Board”). Mr. Serota is a senior executive with significant principal investing and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o TRANSITION REPORT PURSUANT T

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

CIFC Corp. Announces Second Quarter of 2014 Results and a Quarterly Dividend

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Second Quarter of 2014 Results and a Quarterly Dividend NEW YORK, August 7, 2014 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the second quarter ended June 30, 2014. Highlights • Economic Net Income (“ENI”, a non-G

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 7, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number) (I

CIFC / CIFC LLC / Bounty Investments, LLC - AMENDMENT NO. 7 TO SCHEDULE 13D Activist Investment

Amendment No. 7 to Schedule 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 7) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater D

JOINT FILING AGREEMENT

EX-99.1 2 d758809dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No. 7 to Schedule 13D relating to the beneficial ownership of Common Stock, $0.001 par value per share, of CIFC Corp. is being filed with the Securities and Exchange Commission on behalf of e

JOINT FILING AGREEMENT

EX-99.1 2 d748765dex991.htm EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No. 6 to Schedule 13D relating to the beneficial ownership of Common Stock, $0.001 par value per share, of CIFC Corp. is being filed with the Securities and Exchange Commission on behalf of each

CIFC / CIFC LLC / Bounty Investments, LLC - AMENDMENT NO. 6 Activist Investment

Amendment No. 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 6) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater DFR Holdings, LLC

Unregistered Sales of Equity Securities

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 18, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE

EX-10.10 Exhibit 10.10 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE This Stock Option Award Certificate (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Oliver Wriedt (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning set forth in

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.8 Exhibit 10.8 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Oliver Wriedt (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning s

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.4 Exhibit 10.4 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Oliver Wriedt (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning s

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.7 8 d741255dex107.htm EX-10.7 Exhibit 10.7 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Stephen J. Vaccaro (the “Participant”). Any term capitalized but not defined in this

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE

EX-10.11 Exhibit 10.11 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE This Stock Option Award Certificate (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Oliver Wriedt (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning set forth in

CIFC CORP. AMENDED AND RESTATED NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT

EX-10.1 Exhibit 10.1 CIFC CORP. AMENDED AND RESTATED NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT This AMENDED AND RESTATED NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT (this “Agreement”) is made and entered into as of June 13, 2014 between CIFC Corp., (together with its Affiliates, as defined below, the “Company”) a

CIFC CORP. NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT

EX-10.2 Exhibit 10.2 CIFC CORP. NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT This NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT (this “Agreement”) is made and entered into as of June 13, 2014 between CIFC Corp., (together with its Affiliates, as defined below, the “Company”) and Oliver Wriedt (the “Employee”): RECITAL

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.6 Exhibit 10.6 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Oliver Wriedt (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning s

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.5 Exhibit 10.5 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Stephen J. Vaccaro (the “Participant”). Any term capitalized but not defined in this Agreement will have the mean

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE

EX-10.9 Exhibit 10.9 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE This Stock Option Award Certificate (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Stephen J. Vaccaro (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning set forth

CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT

EX-10.3 Exhibit 10.3 CIFC CORP. 2011 STOCK OPTION AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (“Agreement”) is made effective June 13, 2014 (the “Grant Date”), and is between CIFC Corp., a Delaware corporation (the “Company”), and Stephen J. Vaccaro (the “Participant”). Any term capitalized but not defined in this Agreement will have the mean

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 13, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

Submission of Matters to a Vote of Security Holders - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 5, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number) (I.R

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR o TRANSITION REPORT PURSUANT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

CIFC Corp. Announces First Quarter of 2014 Results and a Quarterly Dividend

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces First Quarter of 2014 Results and a Quarterly Dividend NEW YORK, May 13, 2014 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the first quarter ended March 31, 2014. Highlights • Economic Net Income (“ENI”, a non-GAAP

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 13, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number) (I.R

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Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 o TRANSITION REPORT PURSUANT TO SECTI

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC CORP

List of Subsidiaries

Exhibit 21.1 List of Subsidiaries Name of Entity Jurisdiction of Incorporation or Organization CIFC Asset Management LLC Delaware CIFC Capital HF LLC Delaware CIFC Capital PE LLC Delaware CIFC CLO Co-Investment Fund GP LLC Delaware CIFC Investment Holdings LLC Delaware CIFC Senior Secured Corporate Loan Fund GP, LLC Delaware CIFC Tactical Income Fund GP LLC Delaware CIFC Warehouse I LLC Delaware C

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 24, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number) (I

CIFC Corp. Announces Fourth Quarter and Full Year 2013 Results and a Quarterly Dividend

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Fourth Quarter and Full Year 2013 Results and a Quarterly Dividend NEW YORK, March 24, 2014 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the fourth quarter and year ended December 31, 2013. Highlights • Economic Ne

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 25, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

CIFC CORP. 250 Park Avenue New York, NY 10177 Investor Relations [email protected] (646) 367-6633 NASDAQ: CIFC CIFC Completes Previously Announced Succession Process Company Appoints Stephen Vaccaro and Oliver Wriedt as Co-Presidents

CIFC CORP. 250 Park Avenue New York, NY 10177 Investor Relations [email protected] (646) 367-6633 NASDAQ: CIFC CIFC Completes Previously Announced Succession Process Company Appoints Stephen Vaccaro and Oliver Wriedt as Co-Presidents NEW YORK, February 25, 2014 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced today that Stephen Vaccaro, the Company’s Chief Investment Officer,

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 28, 2014 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

JOINT FILING AGREEMENT

EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No.

CIFC / CIFC LLC / Bounty Investments, LLC - SCHEDULE 13D AMENDMENT NO. 5 Activist Investment

Schedule 13D Amendment No. 5 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 5) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater DFR

JOINT FILING AGREEMENT

EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No.

CIFC / CIFC LLC / Bounty Investments, LLC - SCHEDULE 13D AMENDMENT NO. 4 Activist Investment

Schedule 13D Amendment No. 4 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 4) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater DFR

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 cifc8k-12182013.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 18, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-20

SECURITIES PURCHASE AGREEMENT

EX-2 Exhibit 2 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”) is made as of December 18, 2013 by and among DFR Holdings, LLC, a Delaware limited liability company (the “Purchaser”) and GE Capital Equity Investments, Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 10, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

CIFC / CIFC LLC / Bounty Investments, LLC - SCHEDULE 13D AMENDMENT NO. 3 Activist Investment

Schedule 13D Amendment No. 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3) CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUSIP Number) Andrew Intrater DFR

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits

8-K 1 cifc8k-12022013.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 2, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-200

JOINT FILING AGREEMENT

EX-99.1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No. 3 to Schedule 13D relating to the beneficial ownership of Common Stock, $0.001 par value per share, of CIFC Corp. is being filed with the Securities and Exchange Commission on behalf of each of them. This Agreement

JOINT FILING AGREEMENT

EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Amendment No.

STOCK PURCHASE AGREEMENT

EX-99.2 3 d637293dex992.htm EX-99.2 Exhibit 2 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of December 2, 2013 by and between DFR Holdings, LLC, a Delaware limited liability company (the “Purchaser”), and CIFC Parent Holdings LLC, a Delaware limited liability company (the “Seller”). Capitalized terms used but not otherwise defined herein have the respective m

Columbus Nova Acquires Controlling Interest in CIFC

EX-99.1 3 exhibit991.htm EXHIBIT Exhibit 99.1 CIFC CORP. 250 Park Avenue New York, NY 10177 Investor Relations [email protected] (646) 367-6633 NASDAQ: CIFC Columbus Nova Acquires Controlling Interest in CIFC NEW YORK, December 3, 2013 — CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) announced today a definitive agreement pursuant to which Columbus Nova, one of the Company’s largest current s

STOCK PURCHASE AGREEMENT

EX-2 Exhibit 2 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (the “Agreement”) is made as of December 2, 2013 by and between DFR Holdings, LLC, a Delaware limited liability company (the “Purchaser”), and CIFC Parent Holdings LLC, a Delaware limited liability company (the “Seller”).

THIRD AMENDED AND RESTATED STOCKHOLDERS AGREEMENT BY AND BETWEEN CIFC CORP. DFR HOLDINGS, LLC Dated as of December 2, 2013

Exhibit 10.1 THIRD AMENDED AND RESTATED STOCKHOLDERS AGREEMENT BY AND BETWEEN CIFC CORP. AND DFR HOLDINGS, LLC Dated as of December 2, 2013 NY\6038815.13 TABLE OF CONTENT Table of Contents Page Article I GENERAL 1 Section 1.1Effective Date 2 Section 1.2Definitions 2 Section 1.3Construction 8 Section 1.4Disclaimer of “Group” Status 8 Article II REPRESENTATIONS AND WARRANTIES 9 Section 2.1Representa

CIFC / CIFC LLC / CIFC Parent Holdings LLC - SCHEDULE 13D AMENDMENT NO. 1 Activist Investment

SC 13D/A 1 d637141dsc13da.htm SCHEDULE 13D AMENDMENT NO. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)* CIFC CORP. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 12547R105 (CUS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 o TRANSITION REPORT PURSUANT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551

CIFC Corp. Announces Third Quarter 2013 Results and a Quarterly Dividend

EX-99.1 2 ex-991093013.htm EXHIBIT 99.1 Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Third Quarter 2013 Results and a Quarterly Dividend NEW YORK, November 7, 2013 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the third quarter ended September 30, 2013. Highli

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20138-kcover093013.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 7, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 o TRANSITION REPORT PURSUANT TO S

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20138-kcover063013.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 6, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 2

CIFC Corp. Announces Second Quarter 2013 Results and a Quarterly Dividend

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Second Quarter 2013 Results and a Quarterly Dividend NEW YORK, August 6, 2013 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the second quarter ended June 30, 2013. Highlights • Economic Net Income (“ENI”, a non-GAAP

Submission of Matters to a Vote of Security Holders

8-K 1 cifc8k-06262013.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 26, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-200862

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 o TRANSITION REPORT PURSUANT TO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

CIFC Corp. Announces First Quarter 2013 Results

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue - 4th Floor [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces First Quarter 2013 Results NEW YORK, May 13, 2013 - CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) today announced its results for the first quarter ended March 31, 2013. Highlights for the First Quarter 2013 • Economic Net Income (“ENI”,

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 cifc20138-kcover.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 13, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-200862

10 May 2013

EX-99.1 Exhibit 99.1 10 May 2013 NEW YORK and BOSTON, HarbourVest and CIFC Announce Plan to Enter Into Strategic Relationship • Demand for yielding investment strategies is driving increased interest in private debt • HarbourVest, a leading, global private markets investment firm for over 30 years and an established investor in mezzanine and European senior loans, intends to expand its private deb

Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 10, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Num

- DEF 14A

DEF 14A 1 a2214610zdef14a.htm DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary P

List of Subsidiaries

Exhibit 21.1 List of Subsidiaries Name of Entity Jurisdiction of Incorporation or Organization CIFC Asset Management LLC Delaware CIFC Investment Holdings LLC Delaware CIFC Senior Secured Corporate Loan Fund GP, LLC Delaware CIFC Warehouse I LLC Delaware Columbus Nova Credit Investments Management, LLC Delaware CypressTree Investment Management, LLC Delaware Deerfield & Company LLC Illinois Deerfi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 o TRANSITION REPORT PURSUANT TO SECTI

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC CORP

CIFC Corp. Announces Fourth Quarter and Fiscal Year 2012 Results

Exhibit 99.1 CIFC CORP. Investor Relations 250 Park Avenue – 4th Floor [email protected] New York, NY 10177 (646) 367-6633 NASDAQ: CIFC CIFC Corp. Announces Fourth Quarter and Fiscal Year 2012 Results NEW YORK, March 26, 2013 — CIFC Corp. (NASDAQ: CIFC) (“CIFC” or the “Company”) announced its results of operations for its fourth quarter and year ended December 31, 2012. Highlights for the Fourth Q

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 a13-624818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 26, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (

Regulation FD Disclosure, Financial Statements and Exhibits

CIFC CORP. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 22, 2013 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Em

CIFC CORP. ANNOUNCES STOCK TICKER SYMBOL CHANGE TO “CIFC”

EX-99.1 Exhibit 99.1 CIFC CORP. ANNOUNCES STOCK TICKER SYMBOL CHANGE TO “CIFC” NEW YORK, March 25, 2013 — CIFC Corp. (“CIFC” or the “Company”) today announced a change of the Company’s stock ticker symbol. Effective today, the Company’s common shares will commence trading on the Nasdaq Stock Market under the trading symbol “CIFC” (NASDAQ: CIFC). The previous trading symbol was “DFR” (NASDAQ: DFR).

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 cifc8k-12122012.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 12, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-20

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 20, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 o TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC CORP. (Exact

CIFC CORP. ANNOUNCES THIRD QUARTER 2012 RESULTS

EX-99.1 2 a12-272971ex99d1.htm EX-99.1 Exhibit 99.1 CIFC Corp. Contact: Brunswick Group Contact: Nga Tran Andrew Roth (212) 624-1204 (212) 333-3810 CIFC CORP. ANNOUNCES THIRD QUARTER 2012 RESULTS NEW YORK, November 16, 2012 — CIFC Corp. (NASDAQ: DFR) (“CIFC” or the “Company”) announced its results of operations for its third quarter ended September 30, 2012. Third Quarter 2012 Highlights · Adjuste

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 a12-2729718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 16, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-20086

WARRANT to Purchase Common Stock or Preferred Stock of CIFC Corp.

EX-10.4 6 exhibit5.htm EX-10.4 Exhibit 10.4 THE SECURITIES OF THE ISSUER REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE STATE SECURITIES LAWS OF ANY STATE. WITHOUT SUCH REGISTRATION, SUCH SECURITIES MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED AT ANY TIME WHATSOEVER, EXCEPT PURSUANT TO AN EXEMPTION FROM SUCH REGISTR

SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT BY AND AMONG CIFC CORP. DFR HOLDINGS, LLC CIFC PARENT HOLDINGS LLC GE CAPITAL EQUITY INVESTMENTS, INC. Dated as of September 24, 2012 TABLE OF CONTENTS Page Section 1. Definitions 4 Section 2.

EX-10.1 3 exhibit2.htm EX-10.1 Exhibit 10.1 SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT BY AND AMONG CIFC CORP. DFR HOLDINGS, LLC CIFC PARENT HOLDINGS LLC AND GE CAPITAL EQUITY INVESTMENTS, INC. Dated as of September 24, 2012 1 TABLE OF CONTENTS Page Section 1. Definitions 4 Section 2. Demand Registration and Piggyback Rights on Demand 8 Registrations Section 3. Piggyback Rights on C

CIFC CORP. ANNOUNCES THE CLOSE OF ITS STRATEGIC TRANSACTION WITH GE CAPITAL’S BANK LOAN BUSINESS

EX-99.1 7 exhibit6.htm EX-99.1 Exhibit 99.1 CIFC CORP. ANNOUNCES THE CLOSE OF ITS STRATEGIC TRANSACTION WITH GE CAPITAL’S BANK LOAN BUSINESS NEW YORK, September 24, 2012 — CIFC Corp. (NASDAQ: DFR) (“CIFC”) entered into a 5 year strategic relationship with GE Capital’s Bank Loan business, pursuant to which: • A commercial council comprised of senior members of both GE Capital and CIFC was formed an

SECOND AMENDED AND RESTATED STOCKHOLDERS AGREEMENT BY AND AMONG CIFC CORP., DFR HOLDINGS, LLC AND CIFC PARENT HOLDINGS LLC Dated as of September 24, 2012 TABLE OF CONTENTS Page Article I GENERAL 2 Section 1.1 Effective Date 2 Section 1.2 Definitions

EX-10.2 4 exhibit3.htm EX-10.2 Exhibit 10.2 SECOND AMENDED AND RESTATED STOCKHOLDERS AGREEMENT BY AND AMONG CIFC CORP., DFR HOLDINGS, LLC AND CIFC PARENT HOLDINGS LLC Dated as of September 24, 2012 1 2 TABLE OF CONTENTS Page Article I GENERAL 2 Section 1.1 Effective Date 2 Section 1.2 Definitions 2 Section 1.3 Construction 10 Section 1.4 Disclaimer of “Group” Status 11 Article II REPRESENTATIONS A

CIFC CORP. CERTIFICATE OF DESIGNATION OF SERIES A CONVERTIBLE NON-VOTING PREFERRED STOCK

EX-3.1 2 exhibit1.htm EX-3.1 Exhibit 3.1 CIFC CORP. CERTIFICATE OF DESIGNATION OF SERIES A CONVERTIBLE NON-VOTING PREFERRED STOCK The undersigned, Robert C. Milton, III, the Secretary of CIFC Corp., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), does hereby certify that the following resolutions were duly adopted by the Board of Directors of the C

Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

8-K 1 htm46066.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 24, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commissio

INVESTMENT AGREEMENT BY AND BETWEEN CIFC CORP. GE CAPITAL EQUITY INVESTMENTS, INC. Dated as of September 24, 2012 TABLE OF CONTENTS ARTICLE I GENERAL 1 Section 1.1 Effective Date 1 Section 1.2 Definitions 2 Section 1.3 Construction 7 Section 1.4 Disc

EX-10.3 EXHIBIT 10.3 INVESTMENT AGREEMENT BY AND BETWEEN CIFC CORP. AND GE CAPITAL EQUITY INVESTMENTS, INC. Dated as of September 24, 2012 1 TABLE OF CONTENTS ARTICLE I GENERAL 1 Section 1.1 Effective Date 1 Section 1.2 Definitions 2 Section 1.3 Construction 7 Section 1.4 Disclaimer of “Group” Status 7 ARTICLE II REPRESENTATIONS AND WARRANTIES 7 Section 2.1 Representations and Warranties of the Co

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 a12-1829118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 14, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622

CIFC CORP. ANNOUNCES SECOND QUARTER 2012 RESULTS

EX-99.1 2 a12-182911ex99d1.htm EX-99.1 Exhibit 99.1 CIFC Corp. Contact: Brunswick Group Contact: Nga Tran Andrew Roth (212) 624-1204 (212) 333-3810 CIFC CORP. ANNOUNCES SECOND QUARTER 2012 RESULTS NEW YORK, August 14, 2012 — CIFC Corp. (NASDAQ: DFR) (“CIFC” or the “Company”) announced its results of operations for its second quarter ended June 30, 2012. Second Quarter 2012 Highlights · Adjusted Ea

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

8-K 1 a12-1733018k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2012 CIFC CORP. (Exact name of registrant as specified in charter) Delaware 1-32551 20-2008622 (State or Other Jurisdiction of Incorporation) (Comm

ASSET PURCHASE AGREEMENT BY AND AMONG GE CAPITAL DEBT ADVISORS LLC, GENERAL ELECTRIC CAPITAL CORPORATION, CIFC ASSET MANAGEMENT LLC, CIFC CORP. Dated as of July 30, 2012

EX-10.1 2 a12-173301ex10d1.htm EX-10.1 Exhibit 10.1 EXECUTION VERSION ASSET PURCHASE AGREEMENT BY AND AMONG GE CAPITAL DEBT ADVISORS LLC, GENERAL ELECTRIC CAPITAL CORPORATION, CIFC ASSET MANAGEMENT LLC, AND CIFC CORP. Dated as of July 30, 2012 The Asset Purchase Agreement contains certain customary representations and warranties by each party. The representations and warranties in the Asset Purcha

CIFC CORP. ANNOUNCES STRATEGIC TRANSACTION WITH GE CAPITAL’S BANK LOAN BUSINESS

EX-99.1 2 exhibit1.htm EX-99.1 Exhibit 99.1 CIFC CORP. ANNOUNCES STRATEGIC TRANSACTION WITH GE CAPITAL’S BANK LOAN BUSINESS NEW YORK, July 30, 2012 — CIFC Corp. (NASDAQ: DFR) (“CIFC”) announced plans to enter into a 5 year strategic relationship with GE Capital’s Bank Loan business, pursuant to which: • A commercial council comprised of senior members of both GE Capital and CIFC will be formed and

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 htm45674.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 30, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - LIVE FILING

CIFC CORP. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 19, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Emp

- S-8

S-8 1 a12-146011s8.htm S-8 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 20-2008622 (State or Other Jurisdiction of Incorporation or Organization) (I.R.S. Employer Identification No.) 250 Park Avenue, 5th Floor N

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 29, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Employer of incorporation)

CIFC CORP. ANNOUNCES FIRST QUARTER 2012 RESULTS

Exhibit 99.1 CIFC Corp. Contact: Brunswick Group Contact: Nga Tran April Kabahar-Emspak (212) 624-1204 (212) 333-3810 CIFC CORP. ANNOUNCES FIRST QUARTER 2012 RESULTS NEW YORK, May 15, 2012 — CIFC Corp. (NASDAQ: DFR) (“CIFC” or the “Company”) announced its results of operations for its first quarter ended March 31, 2012. First Quarter 2012 Highlights · On January 19, 2012 the Company successfully c

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 a12-1212418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 15, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - LIVE FILING

CIFC CORP. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 2, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Emplo

- DEF 14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Defi

COMMERCIAL INDUSTRIAL FINANCE CORP. NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT

Exhibit 10.20 EXECUTION COPY COMMERCIAL INDUSTRIAL FINANCE CORP. NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT This NON-DISCLOSURE, NON-COMPETITION, NON-HIRING, NON-SOLICITATION AND SEVERANCE AGREEMENT (this “Agreement”) is made and entered into as of June 14, 2006 between Commercial Industrial Finance Corp., (together with its Affiliates, as defined below,

Jurisdiction of Incorporation or Organization

Exhibit 21.1 Name of Entity Jurisdiction of Incorporation or Organization CIFC Investment Holdings LLC Delaware CIFC Asset Management LLC Delaware CypressTree Investment Management, LLC Delaware Columbus Nova Credit Investments Management, LLC Delaware DFR Middle Market Holdings, Ltd. Cayman Islands DFR Middle Market CLO Ltd. Cayman Islands DFR Pinetree Holding LLC Delaware DFR TRS I Corp. Delawar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

10-K 1 a2208514z10-k.htm 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

8-K 1 a12-800618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 29, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (

CIFC CORP. ANNOUNCES FOURTH QUARTER AND FULL YEAR 2011 RESULTS AND SHARE REPURCHASE PROGRAM

EX-99.1 2 a12-80061ex99d1.htm EX-99.1 Exhibit 99.1 CIFC Corp. Contact: Brunswick Group Contact: Nga Tran April Kabahar-Emspak (212) 624-1204 (212) 333-3810 CIFC CORP. ANNOUNCES FOURTH QUARTER AND FULL YEAR 2011 RESULTS AND SHARE REPURCHASE PROGRAM NEW YORK, March 29, 2012 — CIFC Corp. (NASDAQ: DFR) (“CIFC” or the “Company”) announced its results of operations for its fourth quarter and full year e

Termination of a Material Definitive Agreement - LIVE FILING

CIFC CORP. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 16, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Em

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 htm44287.htm LIVE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 16, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission

CIFC CORP. ANNOUNCES SALE OF CERTAIN NON-CORE ASSETS

EX-99.1 3 exhibit2.htm EX-99.1 CIFC CORP. ANNOUNCES SALE OF CERTAIN NON-CORE ASSETS NEW YORK, February 7, 2011 — CIFC Corp. (NASDAQ: DFR) (the “Company”) is pleased to announce that its wholly-owned indirect subsidiaries, DFR Middle Market Holdings Ltd. and Deerfield Capital Management LLC (together, the “Sellers”), today entered into and consummated the sale of 100% of each of the unrated Subordi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 7, 2012 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Employer of incorporati

MASTER PURCHASE AGREEMENT dated as of February 7, 2012 by and among DWM MANAGEMENT LLC, as Purchaser, DFR MIDDLE MARKET HOLDINGS LTD. DEERFIELD CAPITAL MANAGEMENT LLC, as Sellers

EX-10.1 2 exhibit1.htm EX-10.1 MASTER PURCHASE AGREEMENT dated as of February 7, 2012 by and among DWM MANAGEMENT LLC, as Purchaser, and DFR MIDDLE MARKET HOLDINGS LTD. and DEERFIELD CAPITAL MANAGEMENT LLC, as Sellers CHI:2597528.11 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE TRANSACTIONS; CLOSING 1.1 Purchase and Sale Transactions; Consideration. 1.2 Closing 1.3 Deliveries 1.4 Allocation o

CIFC CORP. ANNOUNCES THIRD QUARTER 2011 RESULTS

Exhibit 99.1 CIFC Corp. Contact: Brunswick Group Contact: Nga Tran April Kabahar-Emspak (212) 624-1204 (212) 333-3810 FOR IMMEDIATE RELEASE MONDAY, November 14, 2011 CIFC CORP. ANNOUNCES THIRD QUARTER 2011 RESULTS NEW YORK, November 14, 2011 — CIFC Corp. (NASDAQ: DFR) (“CIFC” or “the Company”) announced its results of operations for its third quarter ended September 30, 2011. Third Quarter 2011 Hi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 14, 2011 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

CIFC CORP. (Form: 8-K) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 1, 2011 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S.

As filed with the Securities and Exchange Commission on September 21, 2011

As filed with the Securities and Exchange Commission on September 21, 2011 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 15, 2011 CIFC CORP. (Ex

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 15, 2011 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number

CIFC DEERFIELD CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE

EXHIBIT 10.2 CIFC DEERFIELD CORP. 2011 STOCK OPTION AND INCENTIVE PLAN STOCK OPTION AWARD CERTIFICATE This Stock Option Award Certificate (“Agreement”) is made effective [date] (the “Grant Date”), and is between CIFC Deerfield Corp., a Delaware corporation (the “Company”), and [ name ] (the “Participant”). Any term capitalized but not defined in this Agreement will have the meaning set forth in th

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 16, 2011 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware 1-32551 20-2008622 (State or other jurisdiction (Commission (I.R.S. Employer of incorpora

LEASE BETWEEN 250 PARK AVENUE, LLC, as Landlord CIFC CORP., as Tenant PREMISES: The entire rentable portion of the fourth (4th) floor at 250 Park Avenue New York, New York

EX-10.1 EXHIBIT 10.1 LEASE BETWEEN 250 PARK AVENUE, LLC, as Landlord and CIFC CORP., as Tenant PREMISES: The entire rentable portion of the fourth (4th) floor at 250 Park Avenue New York, New York This draft lease, any other draft lease, and/or any correspondence, writings, communications or other documents delivered or exchanged between Landlord and Tenant shall in no event be deemed to be an off

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-32551 CIFC

CIFC CORP. ANNOUNCES SECOND QUARTER 2011 RESULTS

Exhibit 99.1 CIFC Corp. Contact: Brunswick Group Contact: Nga Tran April Kabahar-Emspak (212) 624-1204 (212) 333-3810 FOR IMMEDIATE RELEASE MONDAY, AUGUST 15, 2011 CIFC CORP. ANNOUNCES SECOND QUARTER 2011 RESULTS NEW YORK, August 15, 2011 — CIFC Corp. (NASDAQ: DFR) (“CIFC” or “the Company”) announced its results of operations for its second quarter ended June 30, 2011. Second Quarter 2011 Highligh

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 15, 2011 CIFC CORP. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 1-32551 20-2008622 (Commission File Number) (

CIFC CORP. Restricted Stock Unit Award Agreement—Directors

Exhibit 10.6 CIFC CORP. Restricted Stock Unit Award Agreement—Directors This Agreement (the “Agreement”), dated (the “Effective Date”), between CIFC Corp., a Delaware corporation (the “Company”), and [ ] (the “Participant”), is made pursuant and subject to the Company’s First Amended and Restated Stock Incentive Plan (the “Plan”), a copy of which is attached hereto. All terms used herein that are

UNITED STATES

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin