Filing by Certain Investment Companies of Rule 482 Advertising in Accordance With Rule 497 and the Note to Rule 482(e) (497ad)
08 Novembro 2021 - 7:26PM
Edgar (US Regulatory)
Filed pursuant to Rule 497
File No. 333-258913
Rule 482ad
PHENIXFIN CORPORATION
November 8, 2021
PhenixFIN Corporation Announces Notes Offering
NEW YORK, NY (November 8, 2021) - PhenixFIN
Corporation (NASDAQ: PFX) (the “Company” or “PhenixFIN”) today announced that it plans to make a public
offering of Notes due 2028 (the “Notes”). The Company expects to list the Notes on the Nasdaq Global Market under the
trading symbol “PFXNZ” within 30 days of issuance.
Oppenheimer & Co. Inc., B. Riley Securities, Inc., BTIG, LLC,
Janney Montgomery Scott LLC and Ladenburg Thalmann & Co. Inc. are acting as joint book-running managers for this offering.
The Company intends to use the net
proceeds from this offering to redeem a portion of the outstanding principal amount of its 6.125% Notes due 2023.
Investors are advised to carefully consider
the investment objectives, risks and charges and expenses of the Company before investing. The preliminary prospectus supplement, dated
November 8, 2021, and the accompanying prospectus, dated October 19, 2021, which have been filed with the U.S. Securities and Exchange
Commission (the “SEC”), contain this and other information about the Company and should be read carefully before investing.
The offering is being conducted as a public offering
under the Company’s effective shelf registration filed with the SEC (File No. 333–258913).
To obtain a copy of the preliminary prospectus
supplement for this offering and the accompanying prospectus, please contact: Oppenheimer & Co. Inc., Attention: Syndicate Prospectus
Department, 85 Broad Street, 23rd Floor, New York, NY 10004 or by email at FixedIncomeProspectus@opco.com.
The information in the preliminary prospectus
supplement, the accompanying prospectus and this press release is not complete and may change. This communication shall not constitute
an offer to sell or the solicitation of an offer to buy nor shall there be any sale of these securities in any state or other jurisdiction
in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such
state or other jurisdiction.
ABOUT PHENIXFIN CORPORATION
PhenixFIN is a non-diversified, internally managed
closed-end management investment company incorporated in Delaware that has elected to be regulated as a business development
company under the Investment Company Act of 1940, as amended. We completed our initial public offering and commenced operations on January
20, 2011. The Company has elected, and intends to qualify annually, to be treated for U.S. federal income tax purposes as a
regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended. Effective January 1, 2021, the
Company operates under an internalized management structure.
Forward-Looking Statements
This press release contains statements as to the
Company’s intentions and expectations of the outcome of future events that are forward-looking statements. You can identify these
statements by the fact that they do not relate strictly to historical or current facts. Forward-looking statements are not guarantees
of future performance and involve known and unknown risks, uncertainties and other factors that may cause the actual results to differ
materially from those anticipated at the time the forward-looking statements are made. These statements relate to the offering of Notes
and the anticipated use of the net proceeds by the Company. No assurance can be given that the transaction discussed above will be completed
on the terms described, or at all. Completion of the offering on the terms described are subject to numerous conditions, many of which
are beyond the control of the Company. The Company undertakes no obligation to publicly update or revise any forward-looking statements,
whether as a result of new information, future events or otherwise, except as required by law. For a description of certain risks to which
the Company is or may be subject, please refer to the factors discussed under the captions “Forward-Looking Statements”
and “Risk Factors” included in the Company’s filings with the SEC (accessible at www.sec.gov).
For PhenixFIN investor
relations, please call 212-859-0390. For media inquiries, please contact info@phenixfc.com.
PhenixFIN (NASDAQ:PFX)
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