<SEC-DOCUMENT>0000922423-21-000019.txt : 20210316
<SEC-HEADER>0000922423-21-000019.hdr.sgml : 20210316
<ACCEPTANCE-DATETIME>20210316170004
ACCESSION NUMBER:		0000922423-21-000019
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20210316
ITEM INFORMATION:		Other Events
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20210316
DATE AS OF CHANGE:		20210316

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:		21746695

	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>kl186949_8k.htm
<DESCRIPTION>CURRENT REPORT
<TEXT>
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    <div style="text-align: center; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; font-weight: bold;">WASHINGTON, D.C. 20549</div>
    <div><br>
    </div>
    <div style="text-align: center; color: #000000; 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; March 16, 2021</div>
    <div>&#160;</div>
    <div style="text-align: center; font-weight: bold;">PHENIXFIN CORPORATION</div>
    <div style="text-align: center;">(Exact name of registrant as specified in its charter)</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="0" id="z56f852689d394a1b94470d921cf35ede" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

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          <td style="width: 33.33%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">Delaware</div>
          </td>
          <td style="width: 33.34%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">814-00818</div>
          </td>
          <td style="width: 33.34%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">27-4576073</div>
          </td>
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          <td style="width: 33.33%; vertical-align: top;">
            <div style="text-align: center;">(State or other jurisdiction of</div>
            <div style="text-align: center;">incorporation or organization)</div>
          </td>
          <td style="width: 33.34%; 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</div>
            <div style="text-align: center;">identification no.)</div>
          </td>
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          <td style="width: 33.33%; vertical-align: middle;">
            <div style="text-align: center; font-weight: bold;">445 Park Avenue, 9<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Floor,<br>
              New York, NY</div>
            <div style="text-align: center;">(Address of principal executive offices)</div>
          </td>
          <td style="width: 33.34%; vertical-align: top;">&#160;</td>
          <td style="width: 33.34%; vertical-align: middle;">
            <div style="text-align: center; font-weight: bold;">10022</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) 859-0390</font></div>
    <div>&#160;</div>
    <div style="text-align: center; color: #000000; font-weight: bold;"><font style="background-color: #FFFFFF;">Not Applicable</font></div>
    <div style="text-align: center; color: #000000;"><font style="background-color: #FFFFFF;">(Former Name or Former Address, if Changed Since Last Report)</font></div>
    <div><br>
    </div>
    <div style="text-align: center;">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:
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    <div><br>
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    <div>&#9744; Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
    <div>&#160;</div>
    <div>&#9744; Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>
    <div>&#160;</div>
    <div>&#9744; Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
    <div>&#160;</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>
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          <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div><u>Title of each class</u></div>
          </td>
          <td style="width: 20%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div><u>Trading Symbol(s)</u></div>
          </td>
          <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div><u>Name of exchange on which registered</u></div>
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          <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div>Common Stock, par value $0.001 per share</div>
          </td>
          <td style="width: 20%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div>PFX</div>
          </td>
          <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div>The NASDAQ Global Market</div>
          </td>
        </tr>
        <tr>
          <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div>6.125% Notes due 2023</div>
          </td>
          <td style="width: 20%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div>PFXNL</div>
          </td>
          <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div>The NASDAQ Global Market</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>
    </div>
    <div>Emerging growth company&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; &#9744;</div>
    <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>&#160;&#160;&#160;&#160; <br>
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          <td style="width: 72pt; vertical-align: top; align: right; font-weight: bold;">Item 8.01</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-weight: bold;">Other Events.</div>
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          </td>
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            <div>On March 16, 2021, PhenixFIN Corporation (the &#8220;Company&#8221;) issued a press release disclosing its entry into a Rule 10b5-1 Purchase Plan that qualifies for the safe harbors provided by Rules 10b5-1 and 10b-18 under the Securities Exchange Act
              of 1934, as amended. A copy of the Company&#8217;s press release is included as Exhibit 99.1 to this Form 8-K and is incorporated herein by reference.&#160;</div>
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          <td style="width: 72pt; vertical-align: top; align: right; font-weight: bold;">Item 9.01</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-weight: bold;">Financial Statements and Exhibits.</div>
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    <div>(d)&#160;&#160; Exhibits</div>
    <div>&#160;</div>
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          <td style="width: 72pt; vertical-align: top; align: right;"><u>Exhibit No.</u></td>
          <td style="width: auto; vertical-align: top;">
            <div><u>Description</u></div>
          </td>
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          <td style="width: 72pt; vertical-align: top; align: right;"><a href="kl186949_ex9901.htm">99.1</a></td>
          <td style="width: auto; vertical-align: top;">
            <div>Press Release dated March 16, 2021</div>
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    <div style="font-weight: bold;">SIGNATURE</div>
    <div>&#160;</div>
    <div style="text-indent: 54pt;">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.</div>
    <div>&#160;</div>
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            <div>DATE:&#160; March 16, 2020</div>
          </td>
          <td style="width: 40%; vertical-align: top;">
            <div style="font-weight: bold;">PHENIXFIN CORPORATION</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
        </tr>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
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          <td style="width: 50%; vertical-align: top; padding-bottom: 2px;">&#160;</td>
          <td style="width: 40%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div>/s/ David Lorber</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: 40%; vertical-align: top;">
            <div>Name: David Lorber</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
        </tr>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 40%; vertical-align: top;">
            <div>Title: Chief Executive Officer</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
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    <div>&#160;</div>
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<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>kl186949_ex9901.htm
<DESCRIPTION>PRESS RELEASE
<TEXT>
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    <div style="text-align: center; color: #000000; font-size: 12pt; font-weight: bold;">PHENIXFIN CORPORATION ADOPTS 10b5-1 PURCHASE PLAN</div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt;">NEW YORK<font style="font-weight: bold;">,</font> March 16, 2021 (GLOBE NEWSWIRE) &#8211; PhenixFIN Corporation (NASDAQ: PFX) (&#8220;PhenixFIN&#8221; or the &#8220;Company&#8221;) announced today that it has
      entered into a 10b5-1 Purchase Plan that qualifies for the safe harbors provided by Rules 10b5-1 and 10b-18 under the Securities Exchange Act of 1934, as amended (the &#8220;Plan&#8221;).&#160; Pursuant to the Plan, an independent broker will make purchases of shares
      of the common stock (the &#8220;Shares&#8221;) of the Company, an internally managed business development company, on the open market on behalf of the Company in accordance with purchase guidelines specified in the Plan.</div>
    <div>&#160;</div>
    <div style="text-align: justify; font-size: 12pt;"><font style="color: #000000;">The Plan is designed to allow the Company to repurchase its common stock at times when it otherwise might be prevented from doing so under insider trading laws.&#160; Under the
        Plan, pursuant to the Plan guidelines, the agent will increase the volume of purchases made as the price of the Company&#8217;s common stock declines, subject to volume limitations. The timing and amount of any stock repurchases depend on the terms and
        conditions of the Plan, the market price of the common stock, trading volumes and market conditions</font>.<font style="color: #000000;"> There can be no assurance that any amount of common stock will be repurchased.&#160; The Company may, in compliance
        with applicable law, modify or terminate the Plan at any time.</font></div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt;">Unless otherwise terminated, the Plan will be in effect through May 14, 2022, subject to certain conditions.</div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt; font-weight: bold;">About PhenixFIN Corporation</div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt;">PhenixFIN is a Business Development Company traded on the NASDAQ Global Market that provides long-term debt and equity capital to fund growth, acquisitions and recapitalizations of
      companies in a variety of industries. For additional information about&#160;PhenixFIN, please visit PhenixFIN&#8217;s website at www.phenixfc.com.</div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt;">For&#160;PhenixFIN&#160;investor relations, please call 212-859-0390. For media inquiries, please contact&#160;info@phenixfc.com.</div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt; font-weight: bold;">Forward-Looking Statements</div>
    <div>&#160;</div>
    <div style="text-align: justify; color: #000000; font-size: 12pt;">Statements included herein may constitute &#8220;forward-looking statements,&#8221; which relate to future events or the Company&#8217;s future performance or financial condition. These statements are
      not guarantees of future performance, conditions or results and involve a number of risks and uncertainties. Actual results may differ materially from those in the forward-looking statements as a result of a number of factors, including those
      described from time to time in the Company&#8217;s filings with the Securities and Exchange Commission. There can be no assurance that the Company will repurchase any amount of shares pursuant to the Plan. The Company assumes no obligation to update any
      such forward-looking statements. The Company undertakes no duty to update any forward-looking statements made herein.</div>
    <div>&#160;</div>
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