<SEC-DOCUMENT>0000922423-21-000021.txt : 20210412
<SEC-HEADER>0000922423-21-000021.hdr.sgml : 20210412
<ACCEPTANCE-DATETIME>20210412171837
ACCESSION NUMBER:		0000922423-21-000021
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210408
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20210412
DATE AS OF CHANGE:		20210412

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:		21821427

	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>kl222671_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>
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    <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; April 8, 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" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;" id="ze9b97c0852e64023955a361cac1b06f5">

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            <div style="text-align: center; font-weight: bold;">Delaware</div>
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          <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>
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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>
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          <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>
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          <td style="width: 33.33%; vertical-align: top;">
            <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>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>
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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>
    <div>&#160;&#160;&#160; <br>
    </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; &#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; &#9744;</div>
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          <td style="width: 72pt; vertical-align: top; align: right; font-weight: bold;">Item 5.07</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-weight: bold;">SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.</div>
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    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">On April 8, 2021, PhenixFIN Corporation (the &#8220;Company&#8221;) held its Annual Meeting of Stockholders (the &#8220;Annual Meeting&#8221;).&#160; During this meeting, our stockholders were asked to consider and vote upon two
      proposals: (1) to elect two nominees to serve as members of the Board of Directors of the Company, each to serve for a term of three years, or until his respective successor is duly elected and qualified; and (2) to ratify the selection of Ernst
      &amp; Young LLP as the Company&#8217;s independent registered public accounting firm for the fiscal year ending September 30, 2021.</div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Stockholders of record at the close of business on February 22, 2021 were entitled to vote at the Annual Meeting. As of February 22, 2021, there were 2,723,709 shares of common stock outstanding and
      entitled to vote. A quorum consisting of 1,834,220 shares of common stock of the Company were present or represented by proxy at the Annual Meeting.</div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">The final voting results for each of the proposals submitted to a vote of stockholders at the Annual Meeting are set forth below. All of the proposals were approved by the requisite vote.</div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;"><font style="font-weight: bold;">Proposal 1:</font> Election of two directors.</div>
    <div><br>
    </div>
    <div style="margin-left: 72pt;">
      <table cellspacing="0" cellpadding="2" border="0" align="left" style="border-collapse: collapse; width: 90%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;" id="z28d24c1c178e4805a78ea86a13d17171">

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            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Name</u></div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Votes For</u></div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Votes Withheld</u></div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Broker Non-Votes</u></div>
            </td>
          </tr>
          <tr>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">David A. Lorber</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">954,341</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">279,537</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">600,342</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: justify;">Howard Amster</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">974,366</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">259,512</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">600,342</div>
            </td>
          </tr>

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    </div>
    <div style="clear: both;"><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;"><font style="font-weight: bold;">Proposal 2:</font> Ratification of the selection of Ernst &amp; Young LLP as the Company&#8217;s independent registered public accounting firm for the fiscal year ending
      September 30, 2021.</div>
    <div><br>
    </div>
    <div style="margin-left: 72pt;">
      <table cellspacing="0" cellpadding="2" border="0" style="border-collapse: collapse; width: 90%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;" id="z0d3d5e70abb447288424738f9040b57e">

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            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Votes For</u></div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Votes Against</u></div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Abstentions</u></div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;"><u>Broker Non-Votes</u></div>
            </td>
          </tr>
          <tr>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">1,678,424</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">27,002</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">128,794</div>
            </td>
            <td style="width: 25%; vertical-align: top; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: justify;">0</div>
            </td>
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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 style="color: #000000;">DATE:&#160; April 12, 2021</div>
          </td>
          <td style="width: 40%; vertical-align: top;">
            <div style="color: #000000; font-weight: bold;">PHENIXFIN CORPORATION</div>
          </td>
          <td style="width: 10%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 40%; vertical-align: top;">&#160;</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: 40%; vertical-align: top;">&#160;</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: 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;">&#160;</td>
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          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 40%; vertical-align: top; border-top: 2px solid rgb(0, 0, 0);">
            <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>
        </tr>

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    <div>&#160;</div>
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