Private company

Star Mountain Lower Middle-Market Capital Corp

Star Mountain Lower Middle-Market Capital Corp is an investment fund that raised $253.6 million in 2019 (SEC Form D).1 It is headquartered in New York, New York.1

Last updated Oct 20, 2026.

Overview

  • HeadquartersNew York, New York1
  • Incorporated inDE2
  • Business address140 East 45Th Street, 37Th Floor, New York, Ny 100172
  • Filer category, Emerging growth company2
  • Legal formCorporation
  • Kind of organizationInvestment fund1

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Investment Company Act of 1940, as amended (the “1940 Act”). The Company’s investment objectives are to generate current income and capital appreciation.3 From its latest annual report

Financials

From the company’s reports to the SEC. Every number links to the filing it came from.

Financial statements

Fiscal year202120222023202420252026
Income tax$05-$37.9K5-$79.7K5
Earnings per share$2.296$2.565$2.235$1.355
Earnings per share (diluted)$2.296$2.565$2.235$1.355
Shares (weighted, basic)4.4M shares67.3M shares58.5M shares510.1M shares5
Shares (weighted, diluted)4.4M shares67.3M shares58.5M shares510.1M shares5

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What it owns

What Star Mountain Lower Middle-Market Capital Corp reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Properties, in its own words

The Company’s principal executive office is located at 140 East 45th Street, New York, NY 10017. The Company does not own any real estate. The Company believes its present facilities are adequate to meet the Company’s current needs. If new or additional space is required, the Company believes that adequate facilities are available at competitive prices in the same area.

Item 2 of the 10-K filed Mar 31, 2026.3

Leadership

Who has led Star Mountain Lower Middle-Market Capital Corp, and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Brett A. Hickey2021–2022

President

  1. Brett A. Hickey2021

Chief financial officer

  1. Christopher J. Gimbert2021
2025
Board members and other officers (8)

Former names

  • Star Mountain Credit Opportunities Fund, LPSep 9, 2019 to Sep 7, 20212

Timeline

  1. Aug 19, 20268-K Entered a material agreement19
  2. Aug 12, 20268-K Entered a material agreement; New debt or obligation20
  3. Jul 13, 20268-K Shareholder vote21
  4. May 29, 20268-K Unregistered sale of shares22
  5. Jan 8, 20268-K Entered a material agreement; New debt or obligation23
  6. Dec 19, 20258-K Unregistered sale of shares24
  7. Sep 26, 20258-K Unregistered sale of shares25
  8. Jul 1, 20258-K Entered a material agreement26
  9. Jun 17, 20258-K Unregistered sale of shares; Shareholder vote27
  10. Apr 22, 20258-K Unregistered sale of shares28
  11. Dec 20, 20248-K Unregistered sale of shares29
  12. Sep 20, 20248-K Unregistered sale of shares30
  13. May 13, 2021New chief executive Brett A. Hickey becomes CEO11

Filings

113 filings to the SEC since October 2021: 5 annual reports, 15 quarterly reports, 34 major events, 4 insider forms, 4 private raises, 51 other. The latest 20:

  1. Aug 31, 2026SC TO-I EDGAR
  2. Aug 31, 2026SC TO-I/A EDGAR
  3. Aug 19, 20268-K EDGAR
  4. Aug 13, 202610-Q EDGAR
  5. Aug 12, 20268-K EDGAR
  6. Jul 13, 20268-K EDGAR
  7. Jun 1, 2026SC TO-I/A SCTOIA EDGAR
  8. Jun 1, 2026SC TO-I EDGAR
  9. May 29, 20268-K EDGAR
  10. May 15, 202610-Q EDGAR
  11. Apr 30, 2026DEF 14A EDGAR
  12. Apr 10, 2026PRE 14A EDGAR
  13. Mar 31, 20268-A12G EDGAR
  14. Mar 31, 202610-K EDGAR
  15. Mar 3, 2026SC TO-I EDGAR
  16. Mar 3, 2026SC TO-I/A EDGAR
  17. Jan 8, 20268-K EDGAR
  18. Dec 22, 202540-17G EDGAR
  19. Dec 19, 20258-K EDGAR
  20. Dec 2, 2025SC TO-I/A EDGAR

The 113 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

1 open-market trades by officers, directors and large owners since October 2021: 1 buys and 0 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Nov 22, 2022Hickey Brett A.Chief Executive OfficerBuy4,188$25.25$105.7KForm 4

From Forms 4 filed with the SEC.

Money raised

Private offerings the company reported to the SEC on Form D.

  1. Sep 16, 2019Raised $253.6 million in a private offering of securities Form D: 434 investors so far Form D

SEC filer profile

How Star Mountain Lower Middle-Market Capital Corp is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARStar Mountain Lower Middle-Market Capital Corp1
  • CIK0001786835
  • Employer ID (EIN)86-39248843
  • Filer statusNon-accelerated filer an emerging growth company; not a smaller reporting company; not a shell company3
  • Incorporated inDelaware3
  • Fiscal year endsDecember 311
  • Business address140 East 45Th Street, 37Th Floor, New York, NY 100171
  • Phone646.787.02031
  • Shares outstanding10,262,712 shares as of Mar 31, 20263
  • Public float$0 as of Jun 30, 20255
  • AuditorErnst & Young LLP, New York, New York PCAOB ID 42; no auditor attestation of internal control over financial reporting3
  • On EDGAR sinceSep 9, 20191
  • Filings138 in all: 8-K (37), SC TO-I (17), SC TO-I/A (17), 10-Q (16), 3 (9), 40-17G (6), D/A (6), 10-K (5)1
    All 21 form types

    DEF 14A (5), 40-APP (4), 10-12G/A (2), 4 (2), 40-APP/A (2), APP NTC (2), APP ORDR (2), 10-12G (1), 8-A12G (1), CORRESP (1), D (1), N-54A (1), PRE 14A (1)

  • Latest filingsAnnual report (10-K) Mar 31, 2026
    Quarterly report (10-Q) Aug 13, 2026
    Proxy statement (DEF 14A) Apr 30, 2026
    Latest 8-K (8-K) Aug 19, 2026

Risk factors and legal proceedings

The risks Star Mountain Lower Middle-Market Capital Corp names in Item 1A of its 10-K filed Mar 31, 2026: 28 risks under these headings, as written.3

  • General Investment Risks
  • Risks Related to the Company’s Investments
  • Illiquid Nature of Investment Portfolio
  • Investing in Private Companies Involves a High Degree of Risk
  • Illiquid Nature of the Company’s Common Stock
  • Limited Collaboration History of the Members of the Management Team
  • No Guarantee to Replicate Historical Results Achieved by Star Mountain or its Affiliates
  • Negative Impact on Portfolio Companies from Economic Recessions or Downturns
  • Potential Adverse Effects of New or Modified Laws or Regulations
  • Tariffs, Trade Policy and Import/Export Restrictions May Adversely Affect Portfolio Company Operations and Financial Condition
  • General Credit Risks
  • Changes in the General Interest Rate Environment May Affect Net Investment Income
The other 22 risks
  • Inflation Could Adversely Affect the Business, Results of Operations, and Financial Condition of our Portfolio Companies
  • Potential for Volatile Markets
  • Availability of Suitable Investments
  • Uncertainty as to the Value of Certain Portfolio Investments
  • Syndication and/or Transfer of Investments
  • Investments in Leveraged Portfolio Companies
  • Small Business Company License
  • SBA Fees and SBIC Debenture Rate
  • Possibility of the Need to Raise Additional Capital
  • Conflicts of Interest
  • Direct Investing Risks in SMBs
  • Second-Lien, or Other Subordinated Loans or Debt Risk
  • Unsecured Loans or Debt
  • Risks Associated with Covenant-Lite Loans
  • Sub-investment Grade and Unrated Debt Obligations Risk
  • Equity Securities Risk
  • Borrowing Risk
  • PIK Interest Payments
  • Prepayment Risk
  • Collateral Risk
  • Volatility of Loans and Debt Securities of Leveraged Companies
  • Counterparty Risk
  • Non-U.S. Currencies and Investments
  • Risks of Engaging in Hedging Transactions
  • Potential Failure to Make Follow-On Investments in Portfolio Companies
  • Potential Impact of Not Holding Controlling Equity Interests in Portfolio Companies
  • Defaults by Portfolio Companies
  • Unspecified Use of Proceeds
  • Dependence on Key Personnel
  • Dependence on Information Systems and Potential Systems Failures
  • Impact of Evolving Privacy and Cybersecurity Regulations
  • Board Participation
  • Other Activities of Company Management
  • Limited Liability and Indemnification of the Advisor
  • Third Party Litigation
  • Credit Investigation
  • Timing of Investment Returns
  • Failure to Fund Commitments
  • Severe Economic Consequences of Defaulting Stockholders
  • Changes to Government Policies and Regulations
  • Limited Recourse
  • Risk Associated with Portfolio Company Assets
  • Public Health Emergencies, Epidemics or Pandemics, Terrorist Attacks, Acts of War, and Natural Disasters may Impact Our Portfolio Companies and Our Adviser and Harm Our Business, Operating Results and Financial Condition
  • Political, Social and Economic Uncertainty
  • Use of Artificial Intelligence
  • Risks Related to the Company’s Business and Structure
  • Regulations Governing the Company’s Operation as a BDC
  • Restricted Ability to Enter Into Transactions with Affiliates
  • Potential Deterrence of Takeover Attempts
  • Potential Fluctuations in the Company’s Net Asset Value
  • Investing a Sufficient Portion of Assets in Qualifying Assets
  • Incurrence of Significant Costs as a Result of Being an Exchange Act Reporting Company
  • Potential Changes in Investment Objectives, Operating Policies or Strategies Without Prior Notice or Stockholder Approval
  • Allocation of Investment Opportunities and Related Conflicts
  • Proportion of Assets that May Be Invested in Securities of a Single Issuer
  • Risks Regarding Distributions
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Compliance with Anti-Money Laundering Requirements
  • Potential Failures in the Financial Services Industry

Legal proceedings

The Company is not currently subject to any material legal proceedings, nor, to the Company’s knowledge, is any material legal proceeding threatened against us. From time to time, the Company may be a party to certain legal proceedings in the ordinary course of business, including proceedings relating to the enforcement of the Company’s rights under loans to or other contracts with the Company’s portfolio companies. While the outcome of these legal proceedings cannot be predicted with certainty, the Company does not expect that these proceedings will have a material effect upon the Company’s financial condition or results of operations.

The opening of Item 3, Legal Proceedings.3

Sources

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