<SEC-DOCUMENT>0001140361-20-029619.txt : 20201228
<SEC-HEADER>0001140361-20-029619.hdr.sgml : 20201228
<ACCEPTANCE-DATETIME>20201228170253
ACCESSION NUMBER:		0001140361-20-029619
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		3
CONFORMED PERIOD OF REPORT:	20201228
ITEM INFORMATION:		Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20201228
DATE AS OF CHANGE:		20201228

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Medley Capital Corp
		CENTRAL INDEX KEY:			0001490349
		IRS NUMBER:				274576073
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0930

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00818
		FILM NUMBER:		201419020

	BUSINESS ADDRESS:	
		STREET 1:		280 PARK AVENUE
		STREET 2:		6TH FLOOR EAST
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10017
		BUSINESS PHONE:		212-759-0777

	MAIL ADDRESS:	
		STREET 1:		280 PARK AVENUE
		STREET 2:		6TH FLOOR EAST
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10017

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Medley Capital BDC LLC
		DATE OF NAME CHANGE:	20100426
</SEC-HEADER>
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    <div style="text-align: center; font-size: 14pt; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; font-size: 14pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; font-size: 12pt; font-weight: bold;">WASHINGTON, D.C. 20549</div>
    <div><br>
    </div>
    <div style="text-align: center; color: rgb(0, 0, 0); font-size: 18pt; font-weight: bold;">FORM 8-K</div>
    <div>&#160;</div>
    <div style="text-align: center; color: #000000; font-weight: bold;">CURRENT REPORT</div>
    <div style="text-align: center; color: #000000; font-weight: bold;">&#160;Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934</div>
    <div>&#160;</div>
    <div style="text-align: center;">Date of Report (Date of earliest event reported):&#160; December 28, 2020</div>
    <div>&#160;</div>
    <div style="text-align: center; font-size: 24pt; font-weight: bold;">MEDLEY CAPITAL CORPORATION</div>
    <div style="text-align: center;">(Exact name of registrant as specified in its charter)</div>
    <div><br>
    </div>
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            <div style="text-align: center; font-weight: bold;">Delaware</div>
          </td>
          <td style="width: 34%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">1-35040</div>
          </td>
          <td style="width: 33.34%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">27-4576073</div>
          </td>
        </tr>
        <tr>
          <td style="width: 33.33%; vertical-align: top;">
            <div style="text-align: center;">(State or other jurisdiction of incorporation or organization)</div>
          </td>
          <td style="width: 34%; vertical-align: top;">
            <div style="text-align: center;">(Commission file number)</div>
          </td>
          <td style="width: 33.34%; vertical-align: top;">
            <div style="text-align: center;">(I.R.S. employer identification no.)</div>
          </td>
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          <td style="width: 49%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">280 Park Avenue</div>
            <div style="text-align: center; font-weight: bold;">6<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Floor East</div>
            <div style="text-align: center;">(Address of principal executive offices)</div>
          </td>
          <td style="width: 2%; vertical-align: top;">&#160;</td>
          <td style="width: 49%; vertical-align: top;">
            <div>&#160;</div>
            <div style="text-align: center; font-weight: bold;">10017</div>
            <div style="text-align: center;">(Zip code)</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="text-align: center;">Registrant&#8217;s telephone number, including area code:&#160; <font style="font-weight: bold;">(212) 759-0777</font></div>
    <div>&#160;</div>
    <div style="text-align: center; color: rgb(0, 0, 0); font-weight: bold;">Not Applicable</div>
    <div style="text-align: center; color: rgb(0, 0, 0);">(Former Name or Former Address, if Changed Since Last Report)</div>
    <div><br>
    </div>
    <div>
      <div style="margin-left: 36pt;">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>
    </div>
    <div><a name="gjdgxs"></a>
      <div><br>
      </div>
      <div>
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            <div style="color: rgb(0, 0, 0);">&#9744;</div>
          </td>
          <td style="width: auto; vertical-align: top;">
            <div>Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
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            <div style="color: rgb(0, 0, 0);">&#9744;</div>
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            <div>Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>
          </td>
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    <div>&#160;</div>
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            <div style="color: rgb(0, 0, 0);">&#9744;</div>
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          <td style="width: auto; vertical-align: top;">
            <div>Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
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            <div style="color: rgb(0, 0, 0);">&#9744;</div>
          </td>
          <td style="width: auto; vertical-align: top;">
            <div>Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div>Securities registered pursuant to Section 12(b) of the Act:</div>
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          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 40%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div><u>Title of each class</u></div>
          </td>
          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 20%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div><u>Trading Symbol(s)</u></div>
          </td>
          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 37%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div><u>Name of exchange on which registered</u></div>
          </td>
        </tr>
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          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 40%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div>Common Stock, par value $0.001 per share</div>
          </td>
          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 20%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div>MCC</div>
          </td>
          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 37%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div>New York Stock Exchange (NYSE)</div>
          </td>
        </tr>
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          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 40%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div>6.125% Notes due 2023</div>
          </td>
          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 20%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div>MCV</div>
          </td>
          <td style="vertical-align: top; border-left: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0); width: 1%;" colspan="1"><br>
          </td>
          <td style="width: 37%; vertical-align: top; border-right: 2px solid rgb(0, 0, 0); border-top: 2px solid rgb(0, 0, 0); border-bottom: 2px solid rgb(0, 0, 0);">
            <div>New York Stock Exchange (NYSE)</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div>Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</div>
    <div><br>
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        <tr>
          <td style="width: 144pt; vertical-align: top;">Emerging growth company</td>
          <td style="width: auto; vertical-align: top;">&#9744;</td>
        </tr>

    </table>
    <div><br>
    </div>
    <div>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.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#9744;</div>
    <div>&#160;</div>
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              <div style="text-align: justify;"><font style="font-weight: bold;">Item 5.03</font></div>
            </td>
            <td style="align: left; vertical-align: top; width: auto;">
              <div style="text-align: justify;"><font style="font-weight: bold;">Amendments to Articles of Incorporation or Bylaws.</font></div>
            </td>
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    </div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Medley Capital Corporation (the &#8220;Company&#8221;) today filed a Certificate of Amendment to the Company&#8217;s Certificate of Incorporation with the Secretary of State of the State of Delaware to effect a change
      of the Company&#8217;s name from Medley Capital Corporation to PhenixFIN Corporation, effective January 1, 2021 (the &#8220;Name Change&#8221;), following approval by the Board of Directors of the Company.</div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">The Board of Directors of the Company also approved an Amendment to the Bylaws of the Company to reflect the Name Change.</div>
    <div><br>
    </div>
    <div style="margin-left: 72pt;">The Name Change does not affect the rights of the Company&#8217;s stockholders.</div>
    <div>
      <div><br>
      </div>
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              <div style="text-align: left;"><font style="font-weight: bold;">Item 9.01</font></div>
            </td>
            <td style="align: left; vertical-align: top; width: auto;">
              <div style="text-align: left;"><font style="font-weight: bold;">Financial Statements and Exhibits.</font></div>
            </td>
          </tr>

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    </div>
    <div>&#160;</div>
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          <td style="width: 22.5pt; vertical-align: top; align: right;">(d)</td>
          <td style="width: auto; vertical-align: top;">
            <div>Exhibits</div>
          </td>
        </tr>

    </table>
    <div>&#160;</div>
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          <td style="width: 11%; vertical-align: top;">
            <div><u>Exhibit No.</u></div>
          </td>
          <td style="width: 89%; vertical-align: top;">
            <div><u>Description</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 11%; vertical-align: top;" rowspan="1">&#160;</td>
          <td style="width: 89%; vertical-align: top;" rowspan="1">&#160;</td>
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          <td style="width: 11%; vertical-align: top;">
            <div>3.1</div>
          </td>
          <td style="width: 89%; vertical-align: top;">
            <div><a href="brhc10018424_ex3-1.htm">Certificate of Amendment of the Certificate of Incorporation of Medley Capital Corporation,
                effective January 1, 2021.</a></div>
          </td>
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          <td style="width: 11%; vertical-align: top;" rowspan="1">&#160;</td>
          <td style="width: 89%; vertical-align: top;" rowspan="1">&#160;</td>
        </tr>
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          <td style="width: 11%; vertical-align: top;">
            <div>3.2</div>
          </td>
          <td style="width: 89%; vertical-align: top;">
            <div><a href="brhc10018424_ex3-2.htm">Amendment to the Bylaws of Medley Capital Corporation, effective January 1, 2021.</a></div>
          </td>
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      <div><br>
      </div>
    </div>
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    <div style="text-align: center; font-weight: bold;">SIGNATURE</div>
    <div>&#160;</div>
    <div style="text-indent: 54pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, Medley Capital Corporation has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</div>
    <div>&#160;</div>
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            <div style="color: #000000;">DATE:&#160; December 28, 2020</div>
          </td>
          <td style="width: 50%; vertical-align: top;">
            <div style="color: #000000; font-weight: bold;">MEDLEY CAPITAL CORPORATION</div>
          </td>
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    <div><br>
    </div>
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          <td style="width: 50%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
          <td style="width: 20%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div>/s/ David Lorber</div>
          </td>
          <td style="width: 30%; vertical-align: top; padding-bottom: 2px;"><br>
          </td>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top;">
            <div>Name: David Lorber</div>
          </td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top;">
            <div>Title: Director and Authorized Signatory</div>
          </td>
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    <div><br>
    </div>
    <div><br>
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    <div style="text-align: center;">&#160;<font style="font-size: 8pt; font-weight: normal; font-style: normal;" id="DSPFPageNumber">-3-</font></div>
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<DOCUMENT>
<TYPE>EX-3.1
<SEQUENCE>2
<FILENAME>brhc10018424_ex3-1.htm
<DESCRIPTION>EXHIBIT 3.1
<TEXT>
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  <div style="text-align: right;"><font style="font-weight: bold;">Exhibit 3.1</font><br>
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    <div style="text-align: center; font-weight: bold;">CERTIFICATE OF AMENDMENT</div>
    <div style="text-align: center; font-weight: bold;">OF</div>
    <div style="text-align: center; font-weight: bold;">CERTIFICATE OF INCORPORATION</div>
    <div style="text-align: center; font-weight: bold;">OF</div>
    <div style="text-align: center; font-weight: bold;">MEDLEY CAPITAL CORPORATION</div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt; margin-left: 36pt;">Medley Capital Corporation (the &#8220;<u>Corporation</u>&#8221;), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (&#8220;<u>DGCL</u>&#8221;)

      does hereby certify:</div>
    <div>&#160;</div>
    <div style="text-align: justify; margin-left: 36pt;">1.&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#160;&#160; This Certificate of Amendment (this &#8220;<u>Certificate of Amendment</u>&#8221;) amends the Corporation&#8217;s Certificate of Incorporation (the &#8220;<u>Certificate</u>&#8221;) solely to reflect a change in the
      name of the Corporation.</div>
    <div>&#160;</div>
    <div style="text-align: justify; margin-left: 36pt;">2.&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#160;&#160; The first sentence of Section 1.1 of Article One of the Certificate is hereby deleted and replaced in its entirety with the following:</div>
    <div>&#160;</div>
    <div style="text-align: justify; margin-left: 72pt;">&#8220;The name of the Corporation is PhenixFIN Corporation (the &#8220;Corporation&#8221;).&#8221;</div>
    <div>&#160;</div>
    <div style="text-align: justify; margin-left: 36pt;">3.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#160; This Certificate of Amendment has been duly adopted in accordance with Section 242 of the DGCL.</div>
    <div>&#160;</div>
    <div style="text-align: justify; margin-left: 36pt;">5.&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#160; This Certificate of Amendment shall become effective at 12:01 a.m. (Eastern Time) on January 1, 2021.</div>
    <div>&#160;</div>
    <div style="text-align: justify; text-indent: 36pt; margin-left: 36pt;"><font style="font-weight: bold;">IN WITNESS WHEREOF</font>, said corporation has caused this Certificate of Amendment to be signed this 28th day of December, 2020.</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" id="z3cd2ed7205d747c3a5e0c29d5686b10f" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="vertical-align: top;">
            <div style="font-weight: bold;">Medley Capital Corporation</div>
          </td>
          <td style="width: 30%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td colspan="2" style="vertical-align: top;">&#160;</td>
          <td style="width: 30%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
          <td style="width: 3%; vertical-align: top; padding-bottom: 2px;">
            <div>By: <br>
            </div>
          </td>
          <td style="width: 17%; vertical-align: top; border-bottom: 2px solid black;">/s/ David Lorber</td>
          <td style="width: 30%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
        </tr>

    </table>
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        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top; width: 5%;">
            <div>Title:&#160;&#160; <br>
            </div>
          </td>
          <td rowspan="1" style="vertical-align: top; width: 45%;">Director&#160;</td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top; width: 5%;">
            <div>Name:<font style="font-weight: bold;">&#160;</font></div>
          </td>
          <td rowspan="1" style="vertical-align: top; width: 45%;">David Lorber&#160;</td>
        </tr>

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<DOCUMENT>
<TYPE>EX-3.2
<SEQUENCE>3
<FILENAME>brhc10018424_ex3-2.htm
<DESCRIPTION>EXHIBIT 3.2
<TEXT>
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  <div style="text-align: right;"><font style="font-weight: bold;">Exhibit 3.2</font><br>
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    <div>
      <div style="text-align: center; color: rgb(0, 0, 0); font-weight: bold;">Amendment to Bylaws of Medley Capital Corporation</div>
    </div>
    <div>
      <div><br>
      </div>
      <div style="text-align: justify; text-indent: 24.5pt; color: #000000;">This Amendment to the bylaws (the &#8220;<u>Bylaws</u>&#8221;) of Medley
        Capital Corporation, a Delaware corporation, (the &#8220;<u>Corporation</u>&#8221;) was approved and adopted by the Board of Directors of the Corporation in accordance with Article 10 of the
        Bylaws, and is effective as of January 1, 2021 (the &#8220;<u>Effective Date</u>&#8221;).</div>
      <div>&#160;</div>
      <div style="text-align: justify; text-indent: 24.5pt; color: #000000;">1.&#160; As of the Effective Date, Section 1.1 of the Bylaws is hereby deleted and replaced in its entirety with the following:</div>
    </div>
    <div>
      <div><br>
      </div>
      <div style="text-indent: 36pt; color: #000000;">&#8220;<font style="font-weight: bold;">Section 1.1 Registered Office</font></div>
    </div>
    <div>
      <div><br>
      </div>
      <div style="text-align: justify; text-indent: 36pt;"><font style="color: #000000;">The registered office of </font>PhenixFIN Corporation<font style="color: #000000;"> (the &#8220;Corporation&#8221;) in the State of Delaware shall be established and maintained at c/o Corporation Service Company, 2711 Centerville Road, Suite&#160;400, Wilmington, County of
          New Castle, Delaware 19808 and Corporation Service Company shall be the registered agent of the Corporation in charge thereof.&#8221;</font></div>
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      <div style="text-align: justify; text-indent: 24.5pt;"><font style="color: #000000;">2.&#160; As of the Effective Date, all other references in the Bylaws to
          &#8220;Medley Capital Corporation&#8221; are hereby replaced with the words &#8220;</font>PhenixFIN Corporation<font style="color: #000000;">&#8221;.</font></div>
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