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CARLYLE GMS FINANCE, INC. FILES (8-K) Disclosing Unregistered Sale of Equity Securities

February 11, 2014

Item 3.02. Unregistered Sales of Equity Securities.

On February 6, 2014, Carlyle GMS Finance, Inc. (the "Company") delivered a capital drawdown notice to investors relating to the issuance of 491,849 shares of the Company's common stock, par value $0.01 per share (the "Common Stock"), for an aggregate offering price of approximately $9.7 million. The shares are expected to be issued on or around February 21, 2014.

The issuance of Common Stock is being made pursuant to subscription agreements ("Subscription Agreement") entered into by the Company and its investors. Under the terms of the Subscription Agreement, investors are required to fund drawdowns to purchase shares of Common Stock up to the amount of their respective capital commitments on an as-needed basis with a minimum of 10 business days' prior notice to investors.

The issuance and sale of the Common Stock is exempt from the registration requirements of the Securities Act of 1933, as amended, pursuant to Section 4(2) thereof and Regulation D and Regulation S thereunder.



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Source: Edgar Glimpses

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