<SEC-DOCUMENT>0001534254-16-000277.txt : 20160601
<SEC-HEADER>0001534254-16-000277.hdr.sgml : 20160601
<ACCEPTANCE-DATETIME>20160601110141
ACCESSION NUMBER:		0001534254-16-000277
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20160601
ITEM INFORMATION:		Results of Operations and Financial Condition
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20160601
DATE AS OF CHANGE:		20160601

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CION Investment Corp
		CENTRAL INDEX KEY:			0001534254
		IRS NUMBER:				453058280
		STATE OF INCORPORATION:			MD
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00941
		FILM NUMBER:		161688319

	BUSINESS ADDRESS:	
		STREET 1:		3 PARK AVENUE
		STREET 2:		36TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10016
		BUSINESS PHONE:		212 - 418 - 4700

	MAIL ADDRESS:	
		STREET 1:		3 PARK AVENUE
		STREET 2:		36TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10016

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	C&#298;ON Investment Corp
		DATE OF NAME CHANGE:	20111104
</SEC-HEADER>
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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">CURRENT REPORT</div>

<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">Pursuant to Section 13 or 15(d) of the</div>

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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt"><font style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Date of Report</font> (Date of earliest event reported):&#160;<font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">June 1, 2016</font><font style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: normal">&#160;(May 27, 2016)</font></div>

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<font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">&#160;(Exact Name of Registrant as Specified in Charter)</font></div>

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<td style="BORDER-BOTTOM: black 2px solid; TEXT-ALIGN: center; WIDTH: 38%"><font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">3 Park Avenue, 36<font style="DISPLAY: inline; FONT-SIZE: 70%; VERTICAL-ALIGN: text-top">th</font> Floor</font>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">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:</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>

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<div style="FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">[&#160;&#160;] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>

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<div style="TEXT-ALIGN: left; LINE-HEIGHT: 11.4pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 2.02. Results of Operations and Financial Condition.</div>

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<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: normal">On&#160;May 31, 2016<font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">, C&#298;ON&#160;Investment Corporation ("C&#298;ON"</font>)&#160;increased its public offering price from $9.75 per share to $9.80 per share, based on a net offering price of $8.82 per share (net of selling commissions and dealer manager fees), which closely approximates an estimated net asset value per share of $8.80.&#160; This increase in the public offering price will b<font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">ecome effective on C&#298;ON's&#160;June 1</font>, 2016 weekly closing and will be first applied to subscriptions received from&#160;May 25, 2016 through&#160;May 31<font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">, 2016.&#160; In accordance with C&#298;ON's previously disclosed share pricing policy, certain of C&#298;ON's directors determined that an&#160;increase in the public offering price per share was warranted following an&#160;increase in C&#298;ON's net asset value per share to an amount that exceeds C&#298;ON's then-current net offering price.</font></div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: normal">&#160;</div>

<div style="TEXT-ALIGN: justify; LINE-HEIGHT: 11.4pt; TEXT-INDENT: 36pt; FONT-FAMILY: 'Times New Roman', serif; FONT-SIZE: 10pt; FONT-WEIGHT: normal"><font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt">Although C&#298;ON increased its</font> public offering price on&#160;May 31, 2016 from $9.75 per share to $9.80<font style="FONT-FAMILY: 'Times New Roman Baltic', serif; FONT-SIZE: 10pt"> per share, C&#298;ON will maintain </font>the amount of weekly cash distributions payable to shareholders of $0.014067 per share resulting in an annual distribution rate of 7.46% (based on the $9.80 per share public offering price).</div>

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<div style="TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item&#160;5.07. Submission of Matters to a Vote of Security Holders.</div>

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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">C&#298;ON</font><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">&#160;</font>held its Annual Meeting of Shareholders (the &#8220;Annual Meeting&#8221;) on May 27, 2016.&#160;&#160;As of April 1, 2016, the record date for the determination of shareholders entitled to notice of, and to vote at, the Annual Meeting,&#160;104,723,038<font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">&#160;</font>shares of common stock were eligible to be voted, and&#160;52,221,456 of those shares were voted in person or by proxy at the Annual Meeting. Shareholders were asked to consider and act upon:</div>

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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Proposal No. 1 &#8211; the election of&#160;one member of the board of directors of <font style="DISPLAY: inline; FONT-FAMILY: times new roman">C&#298;ON</font> to serve until the 2019 annual meeting of shareholders or until&#160;his successor&#160;is duly elected and qualified; and</div>
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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Proposal No. 2 &#8211; the ratification of the selection of Ernst &amp; Young LLP to serve as <font style="DISPLAY: inline; FONT-FAMILY: times new roman">C&#298;ON</font>&#8217;s independent registered public accounting firm for the fiscal year ending December 31, 2016.</div>
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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">The&#160;director nominee listed in <font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">C&#298;ON</font>&#8217;s 2016 proxy statement was elected by <font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">C&#298;ON</font>&#8217;s shareholders at the Annual Meeting.&#160;&#160;The votes for, votes withheld and broker non-votes for&#160;the director nominee are set forth below:</div>

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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">Director Nominee</div>
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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">Votes For</div>
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<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">Votes Withheld</div>
</td>
<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 19%; BORDER-TOP: black 2px solid; BORDER-RIGHT: black 2px solid" valign="middle">
<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold; MARGIN-RIGHT: 0pt">Broker Non-Votes</div>
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<td style="BORDER-BOTTOM: black 2px solid; TEXT-ALIGN: center; BORDER-LEFT: black 2px solid; WIDTH: 20%; VERTICAL-ALIGN: middle; BORDER-RIGHT: black 2px solid">
<div style="TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Peter I. Finlay</div>
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<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 20%; BORDER-RIGHT: black 2px solid" valign="middle">
<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">28,006,914</div>
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<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 20%; BORDER-RIGHT: black 2px solid" valign="middle">
<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">1,004,331</div>
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<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 19%; BORDER-RIGHT: black 2px solid" valign="middle">
<div style="TEXT-ALIGN: center; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">23,210,211</div>
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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">&#160;</div>

<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">The proposal to ratify the selection of Ernst &amp; Young LLP to serve as <font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">C&#298;ON</font>&#8217;s independent registered public accounting firm for the fiscal year ending December 31, 2016 was also approved by <font style="DISPLAY: inline; FONT-FAMILY: Times New Roman">C&#298;ON</font>&#8217;s shareholders at the Annual Meeting.&#160;&#160;The votes for, votes against, abstentions and broker non-votes are set forth below:</div>

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<td style="BORDER-BOTTOM: black 2px solid; BORDER-LEFT: black 2px solid; WIDTH: 67%; BORDER-TOP: black 2px solid; BORDER-RIGHT: black 2px solid" valign="top" align="left">
<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Votes For</div>
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<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 33%; BORDER-TOP: black 2px solid; BORDER-RIGHT: black 2px solid" valign="top" align="right">
<div style="TEXT-ALIGN: right; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">51,146,398</div>
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<td style="BORDER-BOTTOM: black 2px solid; BORDER-LEFT: black 2px solid; WIDTH: 67%; BORDER-RIGHT: black 2px solid" valign="top" align="left">
<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Votes Against</div>
</td>
<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 33%; BORDER-RIGHT: black 2px solid" valign="top" align="right">
<div style="TEXT-ALIGN: right; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">251,463</div>
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<td style="BORDER-BOTTOM: black 2px solid; BORDER-LEFT: black 2px solid; WIDTH: 67%; BORDER-RIGHT: black 2px solid" valign="top" align="left">
<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Abstentions</div>
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<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 33%; BORDER-RIGHT: black 2px solid" valign="top" align="right">
<div style="TEXT-ALIGN: right; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">823,595</div>
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<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Broker Non-Votes</div>
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<td style="BORDER-BOTTOM: black 2px solid; WIDTH: 33%; BORDER-RIGHT: black 2px solid" valign="top" align="right">
<div style="TEXT-ALIGN: right; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">0 </div>
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<div>&#160;</div>
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<td style="TEXT-ALIGN: center; WIDTH: 33%; FONT-FAMILY: times new roman; FONT-SIZE: 10pt">&#160;<font style="DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt; FONT-WEIGHT: bold; TEXT-DECORATION: underline">SIGNATURES</font></td>
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<div style="TEXT-ALIGN: justify; TEXT-INDENT: 36pt; DISPLAY: block; FONT-FAMILY: Times New Roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</div>

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<td style="WIDTH: 40%; DISPLAY: inline; FONT-FAMILY: times new roman; FONT-SIZE: 10pt" valign="middle" colspan="2">&#160; </td>
<td style="WIDTH: 49%" valign="top" align="left">
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<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">Date:</div>
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<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">June 1, 2016</div>
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<div style="TEXT-ALIGN: left; TEXT-INDENT: 0pt; DISPLAY: block; FONT-FAMILY: times new roman; MARGIN-LEFT: 0pt; FONT-SIZE: 10pt; MARGIN-RIGHT: 0pt">By: <font style="FONT-FAMILY: times new roman; FONT-SIZE: 10pt; TEXT-DECORATION: underline">/s/ Michael A. Reisner</font></div>
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<td style="TEXT-INDENT: 18pt; WIDTH: 4%; FONT-FAMILY: times new roman; FONT-SIZE: 10pt" valign="top">Co-President and Co-Chief Executive Officer</td>
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