<SEC-DOCUMENT>0000922423-21-000002.txt : 20210121
<SEC-HEADER>0000922423-21-000002.hdr.sgml : 20210121
<ACCEPTANCE-DATETIME>20210121172607
ACCESSION NUMBER:		0000922423-21-000002
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210121
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20210121
DATE AS OF CHANGE:		20210121

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			PhenixFIN 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:		21543014

	BUSINESS ADDRESS:	
		STREET 1:		445 PARK AVENUE
		STREET 2:		9TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022
		BUSINESS PHONE:		212-759-0777

	MAIL ADDRESS:	
		STREET 1:		445 PARK AVENUE
		STREET 2:		9TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Medley Capital Corp
		DATE OF NAME CHANGE:	20110118

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Medley Capital BDC LLC
		DATE OF NAME CHANGE:	20100426
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>kl47004_8k.htm
<DESCRIPTION>FORM 8-K
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    <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">UNITED STATES<br>
      SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; color: #000000; font-size: 12pt;">WASHINGTON, D.C. 20549</div>
    <div><br>
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    <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">FORM 8-K</div>
    <div><br>
    </div>
    <div style="text-align: center; color: #000000; font-weight: bold;">CURRENT REPORT</div>
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    <div style="text-align: center; color: #000000; font-weight: bold;">PURSUANT TO SECTION 13 OR 15(d)</div>
    <div style="text-align: center; color: #000000; font-weight: bold;">OF THE SECURITIES EXCHANGE ACT OF 1934</div>
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    <div style="text-align: center; color: #000000; font-weight: bold;">Date of Report (Date of earliest event reported)</div>
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    <div style="text-align: center; color: #000000;">January 21, 2021</div>
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    <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">PHENIXFIN CORPORATION</div>
    <div style="text-align: center; color: #000000;">&#160;(Exact name of registrant as specified in its charter)</div>
    <div><br>
    </div>
    <div style="text-align: center; color: #000000;"><font style="font-weight: bold;">DELAWARE, 001-35040,</font>&#160;<font style="font-weight: bold;">27-4576073</font></div>
    <div style="text-align: center; color: #000000;">(Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification Number)</div>
    <div><br>
    </div>
    <div style="text-align: center; color: #000000; font-weight: bold;">445 Park Avenue</div>
    <div style="text-align: center; color: #000000; font-weight: bold;">9<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Floor</div>
    <div style="text-align: center; color: #000000; font-weight: bold;">New York, NY 10022</div>
    <div style="text-align: center; color: #000000;">(Address of registrant&#8217;s principal executive office)</div>
    <div><br>
    </div>
    <div style="text-align: center; font-weight: bold;">212-859-0390</div>
    <div style="text-align: center; color: #000000;">(Registrant&#8217;s telephone number)</div>
    <div style="text-align: center; color: #000000; font-weight: bold;">_______________________________________</div>
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    </div>
    <div style="text-align: center; color: #000000; font-weight: bold;">(Former Name or Former Address, if Changed Since Last Report)</div>
    <div><br>
    </div>
    <div>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><br>
    </div>
    <div>&#9744; Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
    <div><br>
    </div>
    <div>&#9744; Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>
    <div><br>
    </div>
    <div>&#9744; Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
      240.14d-2(b))</div>
    <div><br>
    </div>
    <div>&#9744; Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
      240.13e-4(c))</div>
    <div><br>
    </div>
    <div>Securities registered pursuant to Section 12(b) of the Act:</div>
    <div>&#160;</div>
    <table cellspacing="0" cellpadding="0" border="0" id="z35065f43c8fe4a3ba68f0b42c69b0c30" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

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            <div style="text-align: center;">Title of each class</div>
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            <div style="text-align: center;">Trading Symbol(s)</div>
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            <div style="text-align: center;">Name of each exchange on which registered</div>
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            <div style="text-align: center;">Common Stock</div>
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            <div style="text-align: center;">PFX</div>
          </td>
          <td style="width: 50%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">The NASDAQ Global Market</div>
          </td>
        </tr>
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          <td style="width: 25%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">6.125% Notes due 2023</div>
          </td>
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            <div style="text-align: center;">PFXNL</div>
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          <td style="width: 50%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">The NASDAQ Global Market</div>
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    <div style="text-align: justify;">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>
    </div>
    <div style="text-align: right;">Emerging growth company &#9744;</div>
    <div style="text-align: justify; font-size: 12pt;"><font style="font-size: 10pt;"> <br>
      </font></div>
    <div style="text-align: justify; font-size: 12pt;"><font style="font-size: 10pt;">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. </font><font style="font-size: 10pt;">&#9744;</font></div>
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    <div style="font-size: 12pt; font-weight: bold;">ITEM 5.02.&#160; DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN
      OFFICERS.</div>
    <div><br>
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    <div style="text-indent: 36pt; font-size: 12pt;">Effective as of January 21, 2021, Brook and Seth Taube, who are associated with the former investment adviser of PhenixFIN Corporation (the &#8220;Company&#8221;),
      submitted their resignations as directors of the Board of Directors of the Company.&#160; Messrs. Taube&#8217;s resignations were not the result of any disagreement with the Company on any matter relating to the operations, policies or practices of the
      Company.&#160; The Board of Directors has determined not to fill the resulting vacancies at this time.</div>
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    <div>&#160;</div>
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    <div style="font-size: 12pt; font-weight: bold;">SIGNATURES</div>
    <div>&#160;</div>
    <div style="text-indent: 72pt; font-size: 12pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant 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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          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="vertical-align: top;" colspan="2">
            <div style="color: #000000; font-size: 12pt; font-weight: bold;">PHENIXFIN CORPORATION</div>
            <div>&#160;</div>
            <div>&#160;</div>
            <div>&#160;</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
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          <td style="width: 50%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
          <td style="width: 5%; vertical-align: top; padding-bottom: 2px;">
            <div style="color: #000000; font-size: 12pt;">By:</div>
          </td>
          <td style="width: 35%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div style="font-size: 12pt;"><font style="color: #000000;">/s/ </font>&#160;<font style="color: #000000;">David Lorber</font></div>
          </td>
          <td style="width: 10%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 5%; vertical-align: top;">&#160;</td>
          <td style="width: 35%; vertical-align: top;">
            <div style="color: #000000; font-size: 12pt;">David Lorber</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 5%; vertical-align: top;">&#160;</td>
          <td style="width: 35%; vertical-align: top;">
            <div style="color: #000000; font-size: 12pt;">Chief Executive Officer</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
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    <div style="font-size: 12pt;">Dated:&#160; January 21, 2021</div>
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