Initial Statement of Trust Indenture (305b2)
08 Novembro 2021 - 7:18PM
Edgar (US Regulatory)
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) ☒
_______________________________________________________
U.S. BANK NATIONAL ASSOCIATION
(Exact name of Trustee as specified in its charter)
31-0841368
I.R.S. Employer Identification No.
|
800 Nicollet Mall
Minneapolis, Minnesota
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55402
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(Address of principal executive offices)
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(Zip Code)
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Steven J. Gomes
U.S. Bank National Association
One Federal Street
Boston, MA 02110
(617) 603-6549
(Name, address and telephone number of agent for
service)
PhenixFIN Corporation
(Issuer with respect to the Securities)
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Delaware
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27-4576073
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(State or other jurisdiction of incorporation or organization)
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(I.R.S. Employer Identification No.)
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445 Park Avenue, 10th Floor
New York, NY
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10022
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(Address of Principal Executive Offices)
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(Zip Code)
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Debt Securities
(Title of the
Indenture Securities)
FORM T-1
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Item 1.
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GENERAL INFORMATION. Furnish the following information
as to the Trustee.
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a)
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Name and address of each examining or supervising authority to which it is subject.
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Comptroller of the Currency
Washington, D.C.
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b)
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Whether it is authorized to exercise corporate trust powers.
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Yes
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Item 2.
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AFFILIATIONS WITH THE OBLIGOR. If the obligor is an
affiliate of the Trustee, describe each such affiliation.
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None
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Items 3-15
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Items 3-15 are not applicable because to the best of the Trustee's
knowledge, the obligor is not in default under any Indenture for which the Trustee acts as Trustee.
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Item 16.
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LIST OF EXHIBITS: List below all exhibits filed as a
part of this statement of eligibility and qualification.
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1.
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A copy of the Articles of Association of the Trustee.*
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2.
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A copy of the certificate of authority of the Trustee to commence
business, attached as Exhibit 2.
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3.
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A copy of the certificate of authority of the Trustee to exercise corporate trust powers, attached as Exhibit 3.
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4.
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A copy of the existing bylaws of the Trustee.**
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5.
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A copy of each Indenture referred to in Item 4. Not applicable.
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6.
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The consent of the Trustee required by Section 321(b) of the Trust Indenture Act of 1939, attached as Exhibit 6.
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7.
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Report of Condition of the Trustee as of June 30, 2021 published pursuant to law or the requirements of its supervising or examining
authority, attached as Exhibit 7.
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* Incorporated by reference to Exhibit 25.1
to Amendment No. 2 to registration statement on S-4, Registration Number 333-128217 filed on November 15, 2005.
** Incorporated
by reference to 305(b)(2), Registration Number 333-229783 filed on June 21, 2021.
SIGNATURE
Pursuant to the requirements of the Trust Indenture
Act of 1939, as amended, the Trustee, U.S. BANK NATIONAL ASSOCIATION, a national banking association
organized and existing under the laws of the United States of America, has duly caused this statement of eligibility and qualification
to be signed on its behalf by the undersigned, thereunto duly authorized, all in the City of Boston, Massachusetts on the 8th
day of November, 2021.
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By:
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/s/ Steven J. Gomes
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Steven J. Gomes
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Vice President
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Exhibit 2
Exhibit 3
Exhibit 6
CONSENT
In accordance with Section 321(b)
of the Trust Indenture Act of 1939, the undersigned, U.S. BANK NATIONAL ASSOCIATION hereby consents that reports of examination of the
undersigned by Federal, State, Territorial or District authorities may be furnished by such authorities to the Securities and Exchange
Commission upon its request therefor.
Dated: November 8, 2021
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By:
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/s/ Steven J. Gomes
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Steven J. Gomes
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Vice President
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Exhibit 7
U.S. Bank National Association
Statement of Financial Condition
As of 6/30/2021
($000’s)
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6/30/2021
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Assets
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Cash and Balances Due From
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$
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44,435,957
|
|
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Depository Institutions
|
|
|
|
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Securities
|
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158,894,854
|
|
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Federal Funds
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2,376
|
|
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Loans & Lease Financing Receivables
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296,741,901
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Fixed Assets
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6,294,698
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Intangible Assets
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13,278,545
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Other Assets
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28,204,350
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Total Assets
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$
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547,852,681
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|
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Liabilities
|
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Deposits
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$
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442,902,823
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|
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Fed Funds
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1,412,092
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Treasury Demand Notes
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0
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Trading Liabilities
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1,119,485
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Other Borrowed Money
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31,883,676
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|
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Acceptances
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0
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Subordinated Notes and Debentures
|
|
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3,600,000
|
|
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Other Liabilities
|
|
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14,222,155
|
|
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Total Liabilities
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$
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495,140,231
|
|
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Equity
|
|
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Common and Preferred Stock
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18,200
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|
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Surplus
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14,266,915
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Undivided Profits
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|
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37,622,248
|
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Minority Interest in Subsidiaries
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805,087
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Total Equity Capital
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$
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52,712,450
|
|
|
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Total Liabilities and Equity Capital $547,852,681
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