Current Report Filing (8-k)
08 Novembro 2021 - 7:24PM
Edgar (US Regulatory)
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 8, 2021
PHENIXFIN
CORPORATION
(Exact
name of registrant as specified in its charter)
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Delaware
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814-00818
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27-4576073
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(State
or other jurisdiction of
incorporation
or organization)
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(Commission
file number)
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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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Registrant’s
telephone number, including area code: (212) 859-0390
Not
Applicable
(Former
Name or Former Address, if Changed Since Last Report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
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☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
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Title
of each class
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Trading
Symbol(s)
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Name
of exchange on which registered
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Common
Stock, par value $0.001 per share
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PFX
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The
NASDAQ Global Market
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6.125%
Notes due 2023
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PFXNL
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The
NASDAQ Global Market
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item
2.02 Results of Operations and Financial Condition.
Preliminary
Estimates of Certain Financial Results for the Quarter and Year Ended September 30, 2021
PhenixFIN
Corporation (the “Company”) hereby incorporates by reference into this Item 2.02 the section entitled “Prospectus
Supplement Summary – Recent Developments – Preliminary Estimates of Certain Financial Information” of its prospectus
supplement to its base prospectus dated October 19, 2021, (File No. 333-258913) filed on November 8, 2021 (the “Prospectus Supplement”).
The full text of the Prospectus Supplement is incorporated by reference as Exhibit 99.1 to this Current Report on Form 8-K.
The
information disclosed under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to
the liabilities of that section, nor shall it be deemed incorporated by reference into any filing made under the Securities Act of 1933,
as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, PhenixFIN Corporation has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
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DATE: November 8, 2021
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PHENIXFIN CORPORATION
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/s/ David Lorber
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Name: David Lorber
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Title: Chief Executive Officer
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