<SEC-DOCUMENT>0000922423-22-000027.txt : 20220526
<SEC-HEADER>0000922423-22-000027.hdr.sgml : 20220526
<ACCEPTANCE-DATETIME>20220526171210
ACCESSION NUMBER:		0000922423-22-000027
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20220525
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20220526
DATE AS OF CHANGE:		20220526

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:		22971262

	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>kl1043384_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; May 25, 2022</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" border="0" align="center" id="z661287fc76054df9a9aa59c1096df996" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

        <tr>
          <td style="width: 33.33%; vertical-align: top;">
            <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;">814-00818</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</div>
            <div style="text-align: center;">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</div>
            <div style="text-align: center;">identification no.)</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="0" border="0" align="center" id="z0be2ee3b9b4245a9bd91489f3c0f4093" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

        <tr>
          <td style="width: 33.33%; vertical-align: top;">
            <div style="text-align: center; font-weight: bold;">445 Park Avenue, 10<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">th</sup> Floor,</div>
            <div style="text-align: center; font-weight: bold;">New York, NY</div>
            <div style="text-align: center;">(Address of principal</div>
            <div style="text-align: center;">executive offices)</div>
          </td>
          <td style="width: 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;">Not Applicable</div>
    <div style="text-align: center; color: #000000;">(Former Name or Former Address, if Changed Since Last Report)</div>
    <div><br>
    </div>
    <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:</div>
      <div style="text-align: center;">&#160;&#160;&#160; <br>
      </div>
      <div style="text-align: center;">
        <hr noshade="noshade" align="center" style="height: 1px; width: 90%; color: #000000; background-color: #000000; margin-left: auto; margin-right: auto; border: none;"></div>
      <div style="text-align: center;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; <br>
      </div>
    </div>
    <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>
      <table cellspacing="0" cellpadding="3" border="0" id="z3fff55728fbe41388bda8a0c8f6476b7" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

          <tr>
            <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>
            </td>
          </tr>
          <tr>
            <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>
          <tr>
            <td style="width: 40%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
              <div>5.25% Notes due 2028</div>
            </td>
            <td style="width: 20%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
              <div>PFXNZ</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>
    <div>&#160;&#160;&#160; <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>
    <div> <br>
    </div>
    <div>&#160;</div>
    <div>
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    <table cellspacing="0" cellpadding="0" id="z5462cedccf2e47bf8c6f6209ffd36d4f" class="DSPFListTable" style="font-family: 'Times New Roman'; font-size: 10pt; width: 100%; text-align: left; color: #000000;">

        <tr>
          <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>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">On May 25, 2022, PhenixFIN Corporation (the &#8220;Company&#8221;) held its Annual Meeting of Stockholders (the &#8220;Annual Meeting&#8221;).&#160; During this meeting, the
      Company&#8217;s stockholders were asked to consider and vote upon six proposals: (1) to elect one director of the Company, to serve for a term of three years, or until his successor is duly elected and qualified; (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, 2022; (3) to recommend, in a non-binding&#160;vote, the frequency of an advisory vote to approve the compensation of the Company&#8217;s named
      executive officers; (4) to provide an advisory vote on executive compensation; (5) to vote on a non-binding stockholder proposal regarding declassification of the Board of Directors of the Company; and (6) to vote on a non-binding&#160;stockholder
      proposal regarding Company investment and distribution activity.</div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Stockholders of record at the close of business on April 6, 2022 were entitled to vote at the Annual Meeting. As of April 6, 2022, there were
      2,207,794 shares of common stock outstanding and entitled to vote. A quorum consisting of 1,867,082 shares of common stock of the Company were present of 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. Proposals 1, 2, 3
      and 4 were approved by the requisite vote.&#160; Proposals 5 and 6 failed to receive the requisite vote for approval.</div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Proposal 1: Election of director.</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="3" border="0" align="right" id="zb343dcdf2e9a42feb8350dfac0d7d08a" style="border-collapse: collapse; width: 85%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;">

        <tr>
          <td nowrap="nowrap" style="width: 25%; vertical-align: middle; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>Nominee</u></div>
          </td>
          <td nowrap="nowrap" style="width: 25%; vertical-align: middle; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>For</u></div>
          </td>
          <td nowrap="nowrap" style="width: 25%; vertical-align: middle; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>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: center;"><u>Abstain</u></div>
          </td>
        </tr>
        <tr>
          <td nowrap="nowrap" 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>Arthur S. Ainsberg</div>
          </td>
          <td nowrap="nowrap" 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: center;">1,111,663</div>
          </td>
          <td nowrap="nowrap" 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: center;">401,588</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: center;">3,067</div>
          </td>
        </tr>

    </table>
    <div style="text-align: right; margin-left: 72pt; clear: both;">Broker Non-Votes:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<u>350,764</u></div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Proposal 2: 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, 2022.</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="3" border="0" align="right" id="zeea74ccd2a8942ff82ccb161148e2b77" style="border-collapse: collapse; width: 85%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>For</u></div>
          </td>
          <td style="width: 34%; vertical-align: bottom; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;"><u>Against</u></div>
          </td>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; text-indent: -36pt; margin-left: 36pt;"><u>Abstain</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 33.33%; 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: center;">1,843,691</div>
          </td>
          <td style="width: 34%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">22,496</div>
          </td>
          <td style="width: 33.33%; 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: center;">895</div>
          </td>
        </tr>

    </table>
    <div style="text-align: right; margin-left: 72pt; clear: both;">Broker Non-Votes:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<u>&#160;&#160;&#160;0&#160;&#160;&#160;</u></div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Proposal 3: Recommendation, in a non-binding vote, of the frequency of an advisory vote to approve the compensation of the Company&#8217;s named executive
      officers.</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="3" border="0" align="right" id="z506ca59e74c248b0bcb2bec4e021c0ae" style="border-collapse: collapse; width: 85%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;">

        <tr>
          <td nowrap="nowrap" 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: center;"><u>One Year</u></div>
          </td>
          <td nowrap="nowrap" 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: center;"><u>Two Years</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: center;"><u>Three Years</u></div>
          </td>
          <td nowrap="nowrap" 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: center;"><u>Abstain</u></div>
          </td>
        </tr>
        <tr>
          <td nowrap="nowrap" 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: center;">1,473,475</div>
          </td>
          <td nowrap="nowrap" 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: center;">19,621</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: center;">5,230</div>
          </td>
          <td nowrap="nowrap" 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: center;">17,992</div>
          </td>
        </tr>

    </table>
    <div style="text-align: right; margin-left: 72pt; clear: both;">Broker Non-Votes:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<u>350,764</u></div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="text-align: center;" id="DSPFPageNumberArea"><font style="font-weight: normal; font-style: normal;" id="DSPFPageNumber">-2-</font></div>
      <div style="page-break-after: always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="border-width: 0px; clear: both; margin: 4px 0px; width: 100%; height: 2px; color: #000000; background-color: #000000;"></div>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Proposal 4: Advisory vote on executive compensation.</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="3" border="0" align="right" id="z5a6f82da8c2d4768bc3e2080585c20fe" style="border-collapse: collapse; width: 85%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>For</u></div>
          </td>
          <td style="width: 34%; vertical-align: bottom; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;"><u>Against</u></div>
          </td>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; text-indent: -36pt; margin-left: 36pt;"><u>Abstain</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 33.33%; 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: center;">1,244,059</div>
          </td>
          <td style="width: 34%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">254,248</div>
          </td>
          <td style="width: 33.33%; 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: center;">18,011</div>
          </td>
        </tr>

    </table>
    <div style="text-align: right; margin-left: 72pt; clear: both;">Broker Non-Votes:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<u>350,764</u></div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Proposal 5: Non-binding stockholder proposal regarding declassification of the Board of Directors of the Company.</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="3" border="0" align="right" id="z43390b02545b4da8acef53741b688bf3" style="border-collapse: collapse; width: 85%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>For</u></div>
          </td>
          <td style="width: 34%; vertical-align: bottom; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;"><u>Against</u></div>
          </td>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; text-indent: -36pt; margin-left: 36pt;"><u>Abstain</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 33.33%; 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: center;">689,697</div>
          </td>
          <td style="width: 34%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">748,022</div>
          </td>
          <td style="width: 33.33%; 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: center;">78,599</div>
          </td>
        </tr>

    </table>
    <div style="text-align: right; clear: both;">Broker Non-Votes:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<u>350,764</u></div>
    <div><br>
    </div>
    <div style="text-align: justify; margin-left: 72pt;">Proposal 6: Non-binding&#160;stockholder proposal regarding Company investment and distribution activity</div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="3" border="0" align="right" id="z452d6bae129840ebb4380ca34c5f14b8" style="border-collapse: collapse; width: 85%; color: #000000; font-family: 'Times New Roman'; font-size: 10pt; text-align: left;">

        <tr>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center;"><u>For</u></div>
          </td>
          <td style="width: 34%; vertical-align: bottom; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;"><u>Against</u></div>
          </td>
          <td style="width: 33.33%; vertical-align: bottom; border-left: #000000 2px solid; border-right: #000000 2px solid; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
            <div style="text-align: center; text-indent: -36pt; margin-left: 36pt;"><u>Abstain</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 33.33%; 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: center;">375,495</div>
          </td>
          <td style="width: 34%; vertical-align: top; border-width: 2px; border-style: solid; border-color: rgb(0, 0, 0);">
            <div style="text-align: center;">1,074,865</div>
          </td>
          <td style="width: 33.33%; 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: center;">65,958</div>
          </td>
        </tr>

    </table>
    <div style="text-align: right; margin-left: 72pt; clear: both;">Broker Non-Votes:&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;<u>350,764</u></div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
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    <div style="font-weight: bold;">SIGNATURE</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>
    <div><br>
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          <td style="width: 50%; vertical-align: top;">
            <div>DATE:&#160; May 26, 2022</div>
          </td>
          <td style="width: 35%; vertical-align: top; font-weight: bold;">
            <div>PHENIXFIN CORPORATION</div>
          </td>
          <td style="width: 15%; vertical-align: top;">&#160;</td>
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          <td style="width: 35%; vertical-align: top; border-bottom: 2px solid rgb(0, 0, 0);">
            <div>/s/ David Lorber</div>
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            <div>Name: David Lorber</div>
          </td>
          <td style="width: 15%; vertical-align: top;">&#160;</td>
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        <tr>
          <td style="width: 50%; vertical-align: top;">&#160;</td>
          <td style="width: 35%; vertical-align: top;">
            <div>Title: Chief Executive Officer</div>
          </td>
          <td style="width: 15%; vertical-align: top;">&#160;</td>
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