Current Report Filing (8-k)
December 16 2022 - 6:53AM
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):
December 16, 2022
PHENIXFIN CORPORATION
(Exact name of registrant as specified in its charter)
| Delaware |
|
814-00818 |
|
27-4576073 |
(State or other jurisdiction of
incorporation or organization) |
|
(Commission file number) |
|
(I.R.S. employer
identification no.) |
| 445 Park Avenue, 10th Floor, New York, NY |
|
10022 |
| (Address of principal executive offices) |
|
(Zip code) |
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:
| ☐ | Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities
registered pursuant to Section 12(b) of the Act:
| Title
of each class |
|
Trading
Symbol(s) |
|
Name
of exchange on which registered |
| Common
Stock, par value $0.001 per share |
|
PFX |
|
The
NASDAQ Global Market |
| 6.125%
Notes due 2023 |
|
PFXNL |
|
The
NASDAQ Global Market |
| 5.25%
Notes due 2028 |
|
PFXNZ |
|
The
NASDAQ Global Market |
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.
On December 16, 2022, PhenixFIN Corporation issued
a press release announcing its financial results for the period ended September 30, 2022. The press release is included as Exhibit 99.1
to this Form 8-K.
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.
| |
PHENIXFIN CORPORATION |
| |
|
| DATE: December 16, 2022 |
/s/ David Lorber |
| |
Name: |
David Lorber |
| |
Title: |
Chief Executive Officer |
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