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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Medley Capital Corp., 7.125% Senior Bonds due 3/30/2019
SEC Filings (Chronological Order)
På denne siden finner du en fullstendig, kronologisk liste over SEC-arkiveringer, med unntak av eierskaps-arkiveringer som vi leverer andre steder.
| August 6, 2025 |
Exhibit 10.18 THIRD AMENDMENT TO CREDIT AGREEMENT This THIRD AMENDMENT TO CREDIT AGREEMENT (this “Amendment’’), dated as of April 17, 2025, is among PhenixFIN Corporation, a Delaware corporation, as Borrower, the other Loan Parties party hereto, the Lenders party hereto, and BankUnited, N.A., as Administrative Agent. WHEREAS, the Loan Parties, the Lenders and Administrative Agent are parties to th |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| August 6, 2025 |
PhenixFIN Corporation Announces Fiscal Third Quarter 2025 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Third Quarter 2025 Financial Results New York, NY, August 6, 2025 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal third quarter for its year ending September 30, 2025. Highlights: ● Third quarter total investment income of $6.2 milli |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| May 7, 2025 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Second Quarter 2025 Financial Results NAV per share of $78.72 taking into account special dividend of $1.43 per share paid February 19, 2025 New York, NY, May 5, 2025 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal second quarter for |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2025 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of (Commission file number) (I.R.S. |
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| April 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2025 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| March 21, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2025 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| February 7, 2025 |
PhenixFIN Corporation Announces Fiscal First Quarter 2025 Financial Results NAV per share $80.59 Exhibit 99.1 PhenixFIN Corporation Announces Fiscal First Quarter 2025 Financial Results NAV per share $80.59 New York, NY, February 7, 2025 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the "Company"), a publicly traded business development company, today announced its financial results for the fiscal first quarter for its year ending September 30, 2025. Highlights ● First quarter total investmen |
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| February 7, 2025 |
Exhibit 10.15 Execution Version CONSENT AND SECOND AMENDMENT TO PLEDGE AND SECURITY AGREEMENT This CONSENT AND SECOND AMENDMENT TO PLEDGE AND SECURITY AGREEMENT, dated as of September 30, 2024 (this “Amendment”), is among PhenixFIN Corporation, a Delaware corporation, as Borrower, the other Loan Parties party hereto, and Woodforest National Bank, as Administrative Agent. WHEREAS, the Loan Parties, |
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| February 7, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2025 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizati |
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| February 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| January 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. ☐ Confidential, for Use o |
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| December 17, 2024 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Year and Fourth Quarter 2024 Financial Results For the Fiscal Year ended 2024 NAV per share grew 12% year over year New York, NY, December 16, 2024 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal fourth quarter of 2024. Highlights ● |
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| December 17, 2024 |
Exhibit 10.14 Execution Version FIRST AMENDMENT TO PLEDGE AND SECURITY AGREEMENT This FIRST AMENDMENT TO PLEDGE AND SECURITY AGREEMENT, dated as of February 21, 2024 (this “Amendment”), is among PhenixFIN Corporation, a Delaware corporation, as Borrower, the other Loan Parties party hereto, and Woodforest National Bank, as Administrative Agent. WHEREAS, the Loan Parties, the Lenders and the Admini |
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| December 17, 2024 |
Exhibit 10.13 Execution Version SECOND AMENDMENT TO CREDIT AGREEMENT AND JOINDER This SECOND AMENDMENT TO CREDIT AGREEMENT AND JOINDER, dated as of August 5, 2024 (this “Amendment”), is among PhenixFIN Corporation, a Delaware corporation, as Borrower, the other Loan Parties party hereto, the Lenders party hereto, and Woodforest National Bank, as Administrative Agent. WHEREAS, the Loan Parties, the |
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| December 17, 2024 |
FlexFIN, LLC Audited Financial Statements for the Year Ended September 30, 2024 Exhibit 99.2 FLEXFIN, LLC FINANCIAL STATEMENTS SEPTEMBER 30, 2024 AND 2023 FLEXFIN, LLC TABLE OF CONTENTS SEPTEMBER 30, 2024 Page Independent Auditors’ Report 1-2 Financial Statements Balance Sheets 3 Statements of Income and Members’ Equity 4 Statements of Cash Flows 5 Notes to the Financial Statements 6-11 Page 1 INDEPENDENT AUDITORS’ REPORT To the Members FlexFIN, LLC New York, New York Opinion |
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| December 17, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2024 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizat |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| October 1, 2024 |
George M. Silfen Partner T 212.715.9522 F 212.715.8422 [email protected] 1177 Avenue of the Americas New York, NY 10036 October 1, 2024 VIA EDGAR Ms. Mindy Rotter Division of Investment Management, Disclosure Review and Accounting Office U.S. Securities and Exchange Commission 100 Pearl Street, Suite 20-100 New York, NY 10004-2616 Re: PhenixFIN Corporation (the “Company”); File No. 814-00818 |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| August 6, 2024 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Third Quarter 2024 Financial Results NAV Per Share Grew 14% In Last 12 Months (taking into account the distribution of the Special Dividend) Expanded Credit Facility To $87.5 Million New York, NY, August 6, 2024 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financ |
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| August 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| May 10, 2024 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Second Quarter 2024 Financial Results NAV Per Share Grew 22% In Last 12 Months Expanded Credit Facility To $62.5 Million New York, NY, May 10, 2024 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal second quarter of 2024. Highlights ● |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| May 10, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2024 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization) ( |
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| May 10, 2024 |
Exhibit 10.13 Execution Version FIRST AMENDMENT TO CREDIT AGREEMENT AND CONSENT This FIRST AMENDMENT TO CREDIT AGREEMENT AND CONSENT, dated as of February 21, 2024 (this “Amendment”), is among PhenixFIN Corporation, a Delaware corporation, as Borrower, the other Loan Parties party hereto, the Lenders party hereto, and Woodforest National Bank, as Administrative Agent. WHEREAS, the Loan Parties, th |
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| April 15, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2024 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| March 5, 2024 |
SC 13D/A 1 ef20023332sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) PHENIXFIN CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 71742W103 (CUSIP Number) David Lorber, 445 Park Avenue, 10th Floor New York, NY 10022 (212) 859-0390 (Name, Address and Telephone N |
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| February 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. ☐ Confidential, for Use o |
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| February 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2024 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizat |
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| February 14, 2024 |
SC 13G/A 1 sc13ga110680pfx02142024.htm AMENDMENT NO. 1 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 PhenixFIN Corporation (Name of Issuer) Common Stock, par value |
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| February 8, 2024 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal First Quarter 2024 Financial Results NAV per share grew 23% vs. First Quarter 2023 New York, NY, February 8, 2024 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal first quarter of 2024. Highlights ● First quarter total investment inco |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| February 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizati |
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| January 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K/A Amendment No. |
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| December 22, 2023 |
FlexFIN, LLC Audited Financial Statements for the Year Ended September 30, 2023 Exhibit 99.2 FLEXFIN, LLC FINANCIAL STATEMENTS SEPTEMBER 30, 2023 AND 2022 FLEXFIN, LLC TABLE OF CONTENTS SEPTEMBER 30, 2023 Page Independent Auditor’s Report 1-2 Financial Statements Balance Sheets 3 Statements of Income and Members’ Equity 4 Statements of Cash Flows 5 Notes to the Financial Statements 6-10 i INDEPENDENT AUDITORS’ REPORT To the Members FlexFIN, LLC New York, New York Unqualified |
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| December 22, 2023 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Year and Fourth Quarter 2023 Financial Results For the Fiscal Year ended 2023, NAV per share grew 23% year over year and NII per share more than doubled New York, NY, December 22, 2023 - PhenixFIN Corporation (NASDAQ: PFX, PFXNZ) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal |
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| December 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| December 22, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2023 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizat |
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| December 22, 2023 |
PhenixFIN Compensation Clawback Policy and Procedures Exhibit 99.3 PHENIXFIN COMPENSATION CLAWBACK POLICY AND PROCEDURES I. INTRODUCTION On June 9, 2023, the Securities and Exchange Commission (“SEC”) approved new listing standards that were proposed by the New York Stock Exchange (“NYSE”) and The Nasdaq Stock Market (“Nasdaq”). The new listing standards require listed companies to adopt and comply with a written policy providing for the recovery, in |
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| August 11, 2023 |
PhenixFIN Corporation Announces Fiscal Third Quarter 2023 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Third Quarter 2023 Financial Results New York, NY, August 10, 2023 - PhenixFIN Corporation (NASDAQ: PFX) (the "Company"), a publicly traded business development company, today announced its financial results for the fiscal third quarter of 2023. Highlights ● Total investment income of $14.5 million and net investment income of $4.6 million for th |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2023 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizatio |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| June 20, 2023 |
US71742W1036 / PhenixFIN Corp / Amster Howard - SC 13D/A Activist Investment SC 13D/A 1 brhc20054648sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) PHENIXFIN CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 71742W103 (CUSIP Number) Howard Amster, 445 Park Avenue, 10th Floor New York, NY 10022 (212) 859-0390 (Name, Address and Telephon |
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| June 20, 2023 |
EXHIBIT 99.1 Agreement of Joint Filing Pursuant to Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned persons hereby agree to file with the Securities and Exchange Commission the Statement on Schedule 13D (the “Statement”) to which this Agreement is attached as an exhibit, and agree that such Statement, as so filed, is filed on behalf of each of them. |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| May 11, 2023 |
PhenixFIN Corporation Announces Fiscal Second Quarter 2023 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Second Quarter 2023 Financial Results New York, NY, May 10, 2023 - PhenixFIN Corporation (NASDAQ: PFX) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal second quarter of 2023. Highlights ● Total investment income of $9.6 million and net investment income of $3.4 million for the |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization) |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. ☐ Confidential, for Use o |
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| March 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2023 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizat |
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| March 3, 2023 |
Exhibit 16.1 March 3, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K dated March 3, 2023, of PhenixFin Corporation and are in agreement with the statements contained in the paragraph 4.01(a) on page 2 therein. We have no basis to agree or disagree with other statements of the registrant contained therein. |
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| February 14, 2023 |
SC 13G/A 1 sc13ga309076pfx02142023.htm AMENDMENT NO. 3 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)1 PhenixFIN Corporation (Name of Issuer) Common Stock, par value |
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| February 13, 2023 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated February 13, 2023 with respect to the Common Stock, $0.001 par value per share, of PhenixFIN Corporation, and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k |
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| February 13, 2023 |
SC 13G 1 pfx21323.htm ADALTA CAPITAL MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 PhenixFIN Corp (Name of Issuer) (Title of Class of Securities) 71742W103 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 13, 2023 |
US71742W1036 / PhenixFIN Corp / 22NW Fund, LP - THE SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 PhenixFIN Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 71742W103 (CUSIP Number) Dec |
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| February 13, 2023 |
SC 13G/A 1 pfxa121323.htm ADALTA CAPITAL MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PhenixFIN Corp (Name of Issuer) (Title of Class of Securities) 71742W103 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designa |
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| February 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| February 9, 2023 |
Exhibit 10.10 FIRST AMENDMENT TO THE PHENIXFIN LONG TERM CASH INCENTIVE PLAN WHEREAS, PhenixFIN Corporation (the “Company”) maintains the PhenixFIN Long Term Cash Incentive Plan (the “Plan”); WHEREAS, pursuant to Section 11 of the Plan, the Compensation Committee (the “Committee”) of the Board of Directors of the Company may amend the Plan in whole or in part at any time and for any reason; and WH |
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| February 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2023 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizati |
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| February 9, 2023 |
PhenixFIN Corporation Announces Fiscal First Quarter 2023 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal First Quarter 2023 Financial Results New York, NY, February 9, 2023 - PhenixFIN Corporation (NASDAQ: PFX) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal first quarter of 2023. Highlights ● First quarter total investment income was $4.7 million; net investment income of $1.7 mi |
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| January 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K/A Amendment No. |
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| January 3, 2023 |
US71742W1036 / PhenixFIN Corp / Lorber David A - SC 13D/A Activist Investment SC 13D/A 1 brhc10046195sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) PHENIXFIN CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 71742W103 (CUSIP Number) David Lorber, 445 Park Avenue, 10th Floor New York, NY 10022 (212) 859-0390 (Name, Address and Telephone |
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| December 16, 2022 |
FlexFIN, LLC Audited Financial Statements for the Year Ended September 30, 2022 Exhibit 99.2 FLEXFIN, LLC FINANCIAL STATEMENTS SEPTEMBER 30, 2022 FLEXFIN, LLC TABLE OF CONTENTS SEPTEMBER 30, 2022 Page Independent Auditor?s Report 1-2 Financial Statements Balance Sheet 3 Statement of Income and Members? Equity 4 Statement of Cash Flows 5 Notes to the Financial Statements 6-9 i INDEPENDENT AUDITORS? REPORT To the Members FlexFIN, LLC New York, New York Unqualified Opinion We ha |
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| December 16, 2022 |
EX-10.12 5 f10k2022ex10-12phenixfin.htm PLEDGE AND SECURITY AGREEMENT, DATED DECEMBER 15, 2022 BY AND BETWEEN PHENIXFIN CORPORATION AND WOODFOREST NATIONAL BANK Exhibit 10.12 Execution Version PLEDGE AND SECURITY AGREEMENT This PLEDGE AND SECURITY AGREEMENT (as it may be amended, restated, supplemented or otherwise modified from time to time, this “Security Agreement”) is entered into as of Decemb |
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| December 16, 2022 |
Exhibit 10.11 Execution Version CREDIT AGREEMENT dated as of December 15, 2022 among PHENIXFIN CORPORATION, as Borrower the other Loan Parties party hereto the Lenders party hereto and WOODFOREST NATIONAL BANK, as Administrative Agent WOODFOREST NATIONAL BANK, as Sole Bookrunner and Sole Lead Arranger TABLE OF CONTENTS Page Article I Definitions 1 Section 1.01 Defined Terms. 1 Section 1.02 Classif |
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| December 16, 2022 |
10-K 1 f10k2022phenixfincorp.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fi |
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| December 16, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2022 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizat |
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| December 16, 2022 |
Exhibit 10.9 CONFIDENTIAL Services Agreement This Services Agreement (the ?Agreement?) is entered into and effective as of August 1, 2022 (the ?Effective Date?) by and among: 1. SS&C Technologies, Inc., a corporation incorporated in the State of Delaware (?SS&C?); and 2. PhenixFIN Corporation, a corporation incorporated in the State of Delaware and a closed-end investment company that has elected |
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| December 16, 2022 |
PhenixFIN Corporation Announces Fiscal Fourth Quarter 2022 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Fourth Quarter 2022 Financial Results New York, NY, December 16, 2022 - PhenixFIN Corporation (NASDAQ: PFX) (the ?Company?), a publicly traded business development company, today announced its financial results for the fiscal fourth quarter of 2022. Highlights ? Fourth quarter total investment income was $5.1 million; net investment income of $1. |
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| December 16, 2022 |
Exhibit 99.1 December 15, 2022 U.S. Bank Trust Company, National Association, as trustee One Federal Street, Third Floor Boston, MA 02210 Attention: Corporate Trust Administration Reference: PhenixFIN Corporation Ladies and Gentlemen: PhenixFIN Corporation, a Delaware corporation (the ?Company?), hereby provides notice, pursuant to the Indenture, dated as of February 7, 2012 (the ?Base Indenture?) |
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| December 16, 2022 |
Exhibit 10.10 LOAN ADMINISTRATION AND CUSTODIAL AGREEMENT THIS LOAN ADMINISTRATION AND CUSTODIAL AGREEMENT (the ?Agreement?), dated as of September 12, 2022, between PHENIXFIN CORPORATION (the ?Owner?) and COMPUTERSHARE TRUST COMPANY, N.A., a national banking association, as Custodian and Loan Administrator (together with its permitted successors and assigns, in such capacities, the ?Custodian?). |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| August 10, 2022 |
PhenixFIN Corporation Announces Fiscal Third Quarter 2022 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Third Quarter 2022 Financial Results New York, NY, August 9, 2022 - PhenixFIN Corporation (NASDAQ: PFX) (the "Company"), a publicly traded business development company, today announced its financial results for the fiscal third quarter of 2022. Highlights ? During the third quarter total investment income of $3.7 million; net investment income of |
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| August 10, 2022 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2022 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization |
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| May 26, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2022 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization) |
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| May 16, 2022 |
US71742W1036 / PhenixFIN Corp / Lorber David A - AMENDMENT NO. 1 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) PHENIXFIN CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 71742W103 (CUSIP Number) David Lorber, 445 Park Avenue, 10th Floor New York, NY 10022 (212) 859-0390 (Name, Address and Telephone Number of Person Authorized to Receive Not |
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| May 10, 2022 |
10-Q 1 f10q0322phenixfincorp.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commis |
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| May 10, 2022 |
PhenixFIN Corporation Announces Fiscal Second Quarter 2022 Financial Results Exhibit 99.1 PhenixFIN Corporation Announces Fiscal Second Quarter 2022 Financial Results New York, NY, May 9, 2022 - PhenixFIN Corporation (NASDAQ: PFX) (the ?Company?), a publicly traded business development company, today announced its financial results for the fiscal second quarter of 2022. Highlights ? During the second quarter, total investment income of $3.7 million; net investment income o |
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| May 10, 2022 |
Exhibit 10.10 PhenixFIN Long Term Cash Incentive Plan Award Agreement This AWARD AGREEMENT is made by and between PhenixFIN Corporation (the ?Company?) and (the ?Participant?); WHEREAS, the Company has adopted and maintains the PhenixFIN Long Term Cash Incentive Plan (the ?Plan?) to provide certain officers and other key employees and prospective officers and key employees of the Company Group to |
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| May 10, 2022 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 ea159556-8kphenixfin.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other ju |
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| May 10, 2022 |
Exhibit 10.9 PHENIXFIN LONG TERM CASH INCENTIVE PLAN Section 1. PURPOSE. The purpose of this PhenixFIN Long Term Cash Incentive Plan (the ?Plan?) is to provide an incentive for officers and other key employees and prospective officers and key employees of the Company Group to enter into and remain in the service of the Company Group and maximize their performance, by participating in the growth an |
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| April 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. ? Confidential, for Use o |
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| February 14, 2022 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated February 14, 2022 with respect to the common stock, $0.001 par value per share, of PhenixFIN Corporation, and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)1 PhenixFIN Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 71742W103 (CUSIP Number) De |
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| February 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| February 10, 2022 |
Exhibit 21.1 SUBSIDIARIES OF PHENIXFIN CORPORATION Name Jurisdiction PhenixFIN Small Business Fund GP, LLC Delaware PhenixFIN Small Business Fund, LP Delaware PhenixFIN SLF Funding I LLC Delaware PhenixFIN Investment Holdings LLC Delaware PhenixFIN Investment Holdings AAR LLC Delaware PhenixFIN Investment Holdings AmveStar LLC Delaware PhenixFIN Investment Holdings Omnivere LLC Delaware PhenixFIN |
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| February 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 ea155352-8kphenixfin.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2022 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other ju |
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| February 10, 2022 |
Exhibit 99.1 PhenixFIN Corporation Announces Fiscal First Quarter 2022 Financial Results Board Expands Share Repurchase Program to $25 million New York, NY, February 10, 2022 - PhenixFIN Corporation (NASDAQ: PFX) (the "Company"), a publicly traded business development company, today announced its financial results for the fiscal first quarter of 2022. Highlights During the first quarter, total inv |
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| January 28, 2022 |
10-K/A 1 f10k2021a1phenixfincorp.htm AMENDMENT NO. 1 TO FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K/A Amendment No. 1 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the tr |
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| December 20, 2021 |
PHENIXFIN CORPORATION Consolidated Statements of Assets and Liabilities EX-99.1 2 ea152662ex99-1phenixfincorp.htm PRESS RELEASE DATED DECEMBER 20, 2021 Exhibit 99.1 PhenixFIN Corporation Announces September 30, 2021 Financial Results New York, NY, December 20, 2021 - PhenixFIN Corporation (NASDAQ: PFX) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal fourth quarter and fiscal year ended September 30, |
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| December 20, 2021 |
US71742W1036 / PhenixFIN Corp / Lorber David A - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) PHENIXFIN CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 71742W103 (CUSIP Number) David Lorber, 445 Park Avenue, 10th Floor New York, NY 10022 (212) 859-0390 (Name, Address and Telephone Number of Person Authorized to Receive Noti |
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| December 20, 2021 |
Exhibit 21.1 SUBSIDIARIES OF PHENIXFIN CORPORATION Name Jurisdiction PhenixFIN Small Business Fund GP, LLC Delaware PhenixFIN Small Business Fund, LP Delaware PhenixFIN SLF Funding I LLC Delaware PhenixFIN Investment Holdings LLC Delaware PhenixFIN Investment Holdings AAR LLC Delaware PhenixFIN Investment Holdings AmveStar LLC Delaware PhenixFIN Investment Holdings Omnivere LLC Delaware PhenixFIN |
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| December 20, 2021 |
10-K 1 f10k2021phenixfincorp.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fi |
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| December 20, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizat |
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| December 20, 2021 |
EX-99.1 2 kl688565ex9901.htm JOINT FILING AGREEMENT EXHIBIT 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) on behalf of each of them of a statement on Schedule 13D (includin |
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| November 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 27-4576073 (State of incorporation or organization) (I.R.S. Employer Identification No.) 445 Park Avenue, 10th |
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| November 15, 2021 |
EX-99.1 4 s134346ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.125% Senior Notes due 2023 of PhenixFIN Corporation (CUSIP No. 71742W 202)* Redemption Date: December 16, 2021 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of February 7, 2012 (the “Base Indenture”), between PhenixFIN Corporation (formerly known as Medley Capital Corpora |
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| November 15, 2021 |
EX-4.1 2 s134346ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 EXECUTION VERSION FOURTH SUPPLEMENTAL INDENTURE between PHENIXFIN CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of November 15, 2021 FOURTH SUPPLEMENTAL INDENTURE THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of November 15, 2021, is between PhenixFIN Corporation (formerly known as Medley |
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| November 15, 2021 |
8-K 1 s1343468k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of in |
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| November 12, 2021 |
PHENIXFIN CORPORATION 5.25% Notes due 2028 Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-258913 PROSPECTUS SUPPLEMENT (To Prospectus dated October 19, 2021) PHENIXFIN CORPORATION $50,000,000 5.25% Notes due 2028 We are offering $50 million in aggregate principal amount of 5.25% notes due 2028 (the ?Notes?). The Notes will mature on November 1, 2028. We will pay interest on the Notes on February 1, May 1, August 1 and Nove |
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| November 12, 2021 |
Exhibit 1.1 Execution Version PHENIXFIN CORPORATION $50,000,000 5.25% Notes due 2028 UNDERWRITING AGREEMENT November 9, 2021 Oppenheimer & Co. Inc. As representative of the several underwriters named in Exhibit A c/o Oppenheimer & Co. Inc. 85 Broad Street, 23rd Floor New York, NY 10004 Ladies and Gentlemen: PhenixFIN Corporation, a Delaware corporation (the ?Company?) confirms with Oppenheimer & C |
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| November 12, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizati |
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| November 10, 2021 |
Pricing Terms PHENIXFIN CORPORATION 5.25% Notes Due 2028 Pricing Term Sheet November 9, 2021 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated November 9, 2021 Relating to Preliminary Prospectus Supplement dated November 8, 2021 and Prospectus dated October 19, 2021 Registration No. |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* PhenixFIN Corp (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 5850F106 (CUSIP Number) November 09, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| November 8, 2021 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizati |
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| November 8, 2021 |
SUBJECT TO COMPLETION, DATED NOVEMBER 8, 2021 Filed Pursuant to Rule 424(b)(2) Registration Statement No. 333-258913 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with and declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell |
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| August 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organizatio |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| August 11, 2021 |
Exhibit 99.1 PhenixFIN Corporation Announces Third Quarter 2021 Financial Results New York, NY, August 11, 2021 - PhenixFIN Corporation (NASDAQ: PFX) (the ?Company?), a publicly traded business development company, today announced its financial results for the fiscal third quarter of 2021. Third Quarter 2021 Highlights ? Total investment income of $8.7 million; net investment income of $5.4 millio |
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| May 13, 2021 |
Exhibit 99.1 PhenixFIN Corporation Announces Second Quarter 2021 Financial Results New York, NY, May 12, 2021 - PhenixFIN Corporation (NASDAQ: PFX) (the ?Company?), a publicly traded business development company, today announced its financial results for the fiscal second quarter of 2021. Second Quarter 2021 Highlights ? Total investment income of $6.5 million; net investment income of $3.7 millio |
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| May 13, 2021 |
10-Q 1 f10q0321phenixfin.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization) |
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| April 12, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 8, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incorporation or organization) |
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| March 16, 2021 |
PHENIXFIN CORPORATION ADOPTS 10b5-1 PURCHASE PLAN EX-99.1 2 kl186949ex9901.htm PRESS RELEASE PHENIXFIN CORPORATION ADOPTS 10b5-1 PURCHASE PLAN NEW YORK, March 16, 2021 (GLOBE NEWSWIRE) – PhenixFIN Corporation (NASDAQ: PFX) (“PhenixFIN” or the “Company”) 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 “ |
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| March 16, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 kl1869498k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdict |
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| February 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 PhenixFIN Corp (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 5850F106 (CUSIP Number) February 26, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| February 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant S Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). S Definitive Proxy Sta |
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| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PhenixFIN Corp (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) 1460 4th Street, Suite 300 Santa Monica, CA 90401 (Name, Address and Telephone Number of Person Authorized to Receive Notices |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 PhenixFIN Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 58503F502 (CUSIP Number) De |
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| February 16, 2021 |
8-K 1 ea135650-8kphenixfincorp.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State o |
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| February 16, 2021 |
PhenixFIN Corporation Announces First Quarter 2021 Financial Results EX-99.1 3 ea135650ex99-1phenixfin.htm PRESS RELEASE DATED FEBRUARY 16, 2021 Exhibit 99.1 PhenixFIN Corporation Announces First Quarter 2021 Financial Results New York, NY, February 16, 2021 - PhenixFIN Corporation (NASDAQ: PFX) (the “Company”), a publicly traded business development company, today announced its financial results for the fiscal first quarter of 2021. First Quarter 2021 Highlights ● |
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| February 16, 2021 |
EX-21.1 2 f10q1220ex21-1phenixfincorp.htm LIST OF SUBSIDIARIES Exhibit 21.1 SUBSIDIARIES OF PHENIXFIN CORPORATION (f/k/a MEDLEY CAPITAL CORPORATION) Name Jurisdiction PhenixFIN Small Business Fund, LP (f/k/a Medley Small Business Fund, LP) Delaware PhenixFIN Small Business Fund GP, LLC (f/k/a Medley Small Business Fund GP, LLC) Delaware PhenixFIN SLF Funding I LLC (f/k/a Medley SLF Funding I LLC) |
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| February 16, 2021 |
Exhibit 3.1 Amendment No. 3 to Bylaws of PhenixFIN Corporation This Amendment to the bylaws (the ?Bylaws?) of PhenixFIN Corporation, a Delaware corporation, (the ?Company?) was approved and adopted by the Board of Directors of the Company in accordance with Article 10 of the Bylaws, and is effective as of February 10, 2021 (the ?Effective Date?). 1. As of the Effective Date, the first sentence of |
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| February 16, 2021 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 PHENIXFIN CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| January 28, 2021 |
Annual Report - AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K/A Amendment No. |
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| January 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 21, 2021 PHENIXFIN CORPORATION (Exact name of registrant as specified in its charter) DELAWARE, 001-35040, 27-4576073 (Jurisdiction of Incorporation) (Commission File Number) ( |
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| January 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Medley Capital Corporation (Exact name of Registrant as specified in Its Charter) Delaware 27-4576073 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification |
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| January 4, 2021 |
25 1 brhc1001856525.htm FORM 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-35040 Medley Capital Corporation New York Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where securit |
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| January 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Medley Capital Corporation (Exact name of Registrant as specified in Its Charter) Delaware 27-4576073 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification |
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| January 4, 2021 |
25 1 brhc1001856725.htm 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-35040 Medley Capital Corporation New York Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where security is |
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| December 28, 2020 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF MEDLEY CAPITAL CORPORATION Medley Capital Corporation (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (“DGCL”) does hereby certify: 1. This Certificate of Amendment (this “Certificate of Amendment”) amends the Corporation’s Certificate of Inc |
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| December 28, 2020 |
8-K 1 brhc100184248k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2020 MEDLEY CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-35040 27-4576073 (State or other jurisdicti |
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| December 28, 2020 |
Exhibit 3.2 Amendment to Bylaws of Medley Capital Corporation This Amendment to the bylaws (the “Bylaws”) of Medley Capital Corporation, a Delaware corporation, (the “Corporation”) 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 “Effective Date”). 1. As of the Effective Date, Section 1.1 |
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| December 11, 2020 |
exhibit1016 45534534.1 Exhibit 10.16 FUND ACCOUNTING SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the 19th day of November 2020, by and between MEDLEY CAPITAL CORPORATION, a Delaware corporation (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. Bank Global Fund Services, a Wisconsin limited liability company (“Fund Services”). WHEREAS, the Fund is a closed-end manag |
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| December 11, 2020 |
Exhibit 99.1 Medley Capital Corporation Announces September 30, 2020 Financial Results NEW YORK, NY (December 11, 2020) - Medley Capital Corporation (NYSE: MCC) (the “Company”) today announced financial results for the quarter ended September 30, 2020. Fourth Quarter Summary •Net asset value of $150.6 million, or, $55.30 per share, vs. $149.3 million, or, $54.83 per share, at June 30, 2020 •Net in |
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| December 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 MEDLEY CAPITAL CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| December 11, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commiss |
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| December 11, 2020 |
exhibit1017 45534539.1 Exhibit 10.17 ADMINISTRATION SERVICING AGREEMENT THIS AGREEMENT is made and entered into as of the 19th day of November, 2020 by and between MEDLEY CAPITAL CORPORATION, a Delaware corporation (the “Fund”), and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“Fund Services”). WHEREAS, the Fund is a closed-end management investment company that has elec |
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| December 11, 2020 |
Exhibit 21.1 SUBSIDIARIES OF MEDLEY CAPITAL CORPORATION Name Jurisdiction Medley Small Business Fund, LP (formerly known as Medley SBIC, LP) Delaware Medley Small Business Fund GP, LLC (formerly known as Medley SBIC GP, LLC) Delaware Medley SLF Funding I LLC Delaware MCC Investment Holdings LLC Delaware MCC Investment Holdings AAR LLC Delaware MCC Investment Holdings AmveStar LLC Delaware MCC Inve |
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| December 11, 2020 |
Exhibit 4.6 DESCRIPTION OF SECURITIES As of the September 30, 2020, Medley Capital Corporation (“we,” “our,” “us,” or the “Company”) has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, par value $0.001 per share (“common stock”), (ii) its 6.500% Notes due 2021 (the “2021 Notes”), and (iii) 6.125% |
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| November 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commiss |
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| November 24, 2020 |
Medley Capital Corporation Board Approves Internalization EX-99.1 2 exhibit991pressrelease.htm EX-99.1 Exhibit 99.1 Medley Capital Corporation Board Approves Internalization New Internalized Management Team to be Installed Effective January 1, 2021 NEW YORK, NY (November 20, 2020) - On November 18, 2020, the Board of Directors (the “Board”) of Medley Capital Corporation (NYSE: MCC) (the “Company”) approved adoption of an internalized management structure |
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| November 23, 2020 |
EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G/A filed herewith (and any amendments thereto), relating to the common stock of Medley Capital Corp., a Delaware corporation, is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d‑1(c) under the Securities Exchange Act of 1934, as amended, on behalf of each of the un |
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| November 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 2 )* Medley Capital Corp. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) November 17, 2020 Date of Event Which Requires Filing of the Statement Check the appropriate box to designate the rule pursuant to which this Sch |
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| November 20, 2020 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on December 01, 2020, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 21, 2020 |
Medley Capital Corporation Announces Redemption of 6.500% Notes due 2021 Exhibit 99.2 Medley Capital Corporation Announces Redemption of 6.500% Notes due 2021 NEW YORK, NY (October 21, 2020) - Medley Capital Corporation (NYSE: MCC) (the “Company” or “MCC”) announced today that, it has caused notices to be issued to the holders of its 6.500% Notes due 2021 (NYSE: MCX) (the “Notes”) regarding the Company’s exercise of its option to redeem, in whole, the issued and outsta |
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| October 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-35040 Medley Capital Corporation New York Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 2 |
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| October 21, 2020 |
Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.500% Senior Notes due 2021 of Medley Capital Corporation (CUSIP No. 58503F 403)* Redemption Date: November 20, 2020 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of February 7, 2012 (the “Base Indenture”), between Medley Capital Corporation, a Delaware corporation (the “Company”), and U.S. Bank National Associat |
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| October 21, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 21, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commissi |
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| October 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 08, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commissi |
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| October 13, 2020 |
Medley Capital Corporation Unaudited Pro Forma Condensed Consolidated Financial Statements Exhibit 99.2 Medley Capital Corporation Unaudited Pro Forma Condensed Consolidated Financial Statements On October 8, 2020, Medley Capital Corporation (the “Company”), Great American Life Insurance Company (“GALIC”), MCC Senior Loan Strategy JV I LLC (the “MCC JV”), and an affiliate of Golub Capital LLC (“Golub”) entered into a Membership Interest Purchase Agreement (the “Agreement”) pursuant to w |
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| October 13, 2020 |
Exhibit 99.1 Medley Capital Corporation Sells the MCC Senior Loan Strategy JV Portfolio to Fund Managed by Golub Capital LLC New York, NY (October 9, 2020) - The Special Committee of the Board of Directors of Medley Capital Corporation (NYSE: MCC) (“MCC”) is pleased to announce that on October 8, 2020, MCC, MCC Senior Loan Strategy JV I LLC (the “MCC JV”), the other holder of membership interests |
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| October 13, 2020 |
EX-10.1 81 exhibit101-membershipint.htm EX-10.1 Exhibit 10.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT by and among MEDLEY CAPITAL CORPORATION, GREAT AMERICAN LIFE INSURANCE COMPANY, MCC SENIOR LOAN STRATEGY JV I LLC and GEMS FUND 5, L.P. DATED AS OF OCTOBER 8, 2020 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE. .................................................................................... |
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| September 30, 2020 |
8-K 1 mcc8-k093020.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorp |
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| September 18, 2020 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated September 18, 2020, with respect to the Common Stock, par value $0.001 per share, of Medley Capital Corporation, and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule |
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| September 18, 2020 |
IL:MCC / Medley Capital Corp / Radoff Bradley Louis - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Medley Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number |
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| August 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commissio |
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| August 21, 2020 |
EXHIBIT 10.1 Execution Version STANDSTILL AGREEMENT This Standstill Agreement (this “Agreement”), dated as of August 19, 2020 (the “Effective Date”), is made by and between the Medley Capital Corporation, a Delaware corporation (the “Company”) and Howard Amster (“Amster”) and the other persons and entities identified under that certain Amster Schedule 13D (as defined below) as Reporting Persons (a |
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| August 10, 2020 |
Exhibit 99.1 Medley Capital Corporation Announces June 30, 2020 Financial Results NEW YORK, NY (August 7, 2020) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) today announced financial results for the quarter ended June 30, 2020. Third Quarter Summary •Net asset value of $149.3 million, or, $54.83 per share, vs. $141.7 million, or, $52.04 per share, at March 31, 2020 •Net inv |
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| August 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 07, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commissio |
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| August 10, 2020 |
Exhibit 21.1 SUBSIDIARIES OF MEDLEY CAPITAL CORPORATION Name Jurisdiction Medley Small Business Fund, LP (formerly known as Medley SBIC, LP) Delaware Medley Small Business Fund GP, LLC (formerly known as Medley SBIC GP, LLC) Delaware Medley SLF Funding I LLC Delaware MCC Investment Holdings LLC Delaware MCC Investment Holdings AAR LLC Delaware MCC Investment Holdings AmveStar LLC Delaware MCC Inve |
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| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 MEDLEY CAPITAL CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commission |
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| July 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Medley Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 20, 2020 (Date of Event which R |
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| July 13, 2020 |
EXHIBIT 3.1 Certificate of AMENDMENT to the Certificate of Incorporation Of Medley Capital Corporation Pursuant to Section 228 and 242 of the General Corporation Law of the State of Delaware Medley Capital Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), hereby certifies as follows: FIRST: Upon the fi |
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| July 13, 2020 |
EXHIBIT 99.1 Medley Capital Corporation Announces One-for-Twenty Reverse Stock Split Common Stock to Begin Trading on a Split-Adjusted Basis at Market Open on July 27, 2020 NEW YORK, NY (July 13, 2020) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) announced today that, following the Company’s 2020 Annual Meeting of Stockholders held on June 30, 2020 (the “Annual Meeting”), o |
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| July 13, 2020 |
8-K 1 mcc8-k071320.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporati |
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| July 8, 2020 |
TLV:MCC / Medley Capital Corp / Glacier Point Advisors, Llc Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Medley Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) June 26, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the |
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| July 2, 2020 |
Submission of Matters to a Vote of Security Holders 8-K 1 mcc8-k070220.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporati |
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| June 15, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2020 (June 12, 2020) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576 |
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| June 15, 2020 |
EX-10.1 2 expensesupportagreementdat.htm EXHIBIT 10.1 Exhibit 10.1 EXPENSE SUPPORT AGREEMENT This AGREEMENT (this “Agreement”), is made as of June 12, 2020, by and between Medley Capital Corporation, a Delaware corporation (the “Company”), Medley LLC, a Delaware limited liability company, and MCC Advisors LLC, a Delaware limited liability company (“MCC Advisors”). In consideration of the Company’s |
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| June 15, 2020 |
Exhibit 10.2 AMENDMENT NO. 1 TO AMENDED AND RESTATED INVESTMENT MANAGEMENT AGREEMENT This AMENDMENT NO. 1 (this “Amendment”), dated as of June 12, 2020, is made with respect to the Amended and Restated Investment Management Agreement, dated as of January 19, 2014 (the “Agreement”), by and between Medley Capital Corporation, a Delaware corporation, and MCC Advisors LLC, a Delaware limited liability |
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| June 15, 2020 |
Exhibit 10.3 AMENDMENT NO. 1 TO ADMINISTRATION AGREEMENT This AMENDMENT NO. 1 (this “Amendment”), dated as of June 12, 2020, is made with respect to the Administration Agreement, dated as of January 19, 2011 (the “Agreement”), by and between Medley Capital Corporation, a Delaware corporation, and MCC Advisors LLC, a Delaware limited liability company. Capitalized terms not otherwise defined herein |
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| May 28, 2020 |
CORRESP 1 filename1.htm [Letterhead of Eversheds Sutherland (US) LLP] May 28, 2020 VIA EDGAR Jeffrey Foor, Esq. U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Re: Medley Capital Corporation Preliminary Proxy Statement on Schedule 14A filed on May 1, 2020 File No. 814-00818 Dear Mr. Foor: On behalf of Medley Capital Corporation (the |
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| May 28, 2020 |
DEF 14A 1 def14a0520medleycapital.htm PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by Registrant S Filed by a Party other than the Registrant £ Check the appropriate box: £ Prel |
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| May 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2020 (May 21, 2020) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) 1-35040 Delaware 27-4576073 (Commission File Number) (State or other juri |
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| May 11, 2020 |
Exhibit 99.1 Medley Capital Corporation Announces March 31, 2020 Financial Results NEW YORK, NY (May 11, 2020) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) today announced financial results for the quarter ended March 31, 2020. Second Quarter Summary • Net asset value (“NAV”) of $2.60 per share • Net investment loss of $(0.08) per share • The board of directors did not decl |
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| May 11, 2020 |
Exhibit 21.1 SUBSIDIARIES OF MEDLEY CAPITAL CORPORATION Name Jurisdiction Medley Small Business Fund, LP (formerly known as Medley SBIC, LP) Delaware Medley Small Business Fund GP, LLC (formerly known as Medley SBIC GP, LLC) Delaware Medley SLF Funding I LLC Delaware MCC Investment Holdings LLC Delaware MCC Investment Holdings AAR LLC Delaware MCC Investment Holdings AmveStar LLC Delaware MCC Inve |
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| May 11, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commission F |
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| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 MEDLEY CAPITAL CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| May 8, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commission Fi |
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| May 8, 2020 |
EXHIBIT 99.1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK HELENE LAX, Individually and on Behalf of All Others Similarly Situated, Plaintiff, v. BROOK TAUBE, SETH TAUBE, JEFFREY TONKEL, ARTHUR S. AINSBERG, KARIN HIRTLER-GARVEY, JOHN E. MACK, MARK LERDAL, RICHARD T. ALLORTO, JR., MEDLEY CAPITAL CORPORATION, MEDLEY MANAGEMENT INC., SIERRA INCOME CORPORATION, and SIERRA MANAGEMENT, INC., |
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| May 5, 2020 |
Exhibit 99.1 Medley Capital Corporation Announces Termination of Amended Merger Agreement With Sierra Income Corporation and Continued Role of Special Committee NEW YORK — May 5, 2020 — Medley Capital Corporation (NYSE: MCC) (“MCC” or the “Company”) today announced that it has received a notice of termination from Sierra Income Corporation (“Sierra”) of its agreement to merge with MCC pursuant to |
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| May 5, 2020 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2020 (May 1, 2020) MEDLEY CAPITAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-35040 27-4576073 (State or other jurisdiction of incorporation o |
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| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the |
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| April 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2020 (April 10, 2020) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-45 |
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| April 16, 2020 |
Exhibit 99.1 Medley Capital Corporation Responds to Notice of Non-Compliance with NYSE Trading Share Price Listing Standard Rules NEW YORK, NY (April 16, 2020) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) announced today that, on April 10, 2020, the Company received written notice (the “Notice”) from the New York Stock Exchange (the “NYSE”) that the average closing price of |
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| April 1, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2020 (March 27, 2020) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-457 |
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| February 14, 2020 |
EX-99.1 2 ex99-1.htm EXHIBIT 99.1 - JOINT FILING AGREEMENT EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G/A filed herewith (and any amendments thereto), relating to the common stock of Medley Capital Corp., a Delaware corporation, is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d‑1(c) under the Securities Ex |
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| February 14, 2020 |
SC 13G/A 1 sc13ga1.htm SCHEDULE 13G, AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 1 )* Medley Capital Corp. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) December 31, 2019 Date of Event Which Requires Filing of the Statement Check the appropriate |
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| February 10, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2020 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commiss |
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| February 10, 2020 |
Exhibit 21.1 SUBSIDIARIES OF MEDLEY CAPITAL CORPORATION Name Jurisdiction Medley Small Business Fund, LP (formerly known as Medley SBIC, LP) Delaware Medley Small Business Fund GP, LLC (formerly known as Medley SBIC GP, LLC) Delaware Medley SLF Funding I LLC Delaware MCC Investment Holdings LLC Delaware MCC Investment Holdings AAR LLC Delaware MCC Investment Holdings AmveStar LLC Delaware MCC Inve |
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| February 10, 2020 |
MCX / Medley Capital Corporation 10-Q - Quarterly Report - 10-Q 10-Q 1 mcc12311910-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: |
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| February 10, 2020 |
Exhibit 99.1 Medley Capital Corporation Announces December 31, 2019 Financial Results NEW YORK, NY (February 10, 2020) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) today announced financial results for the quarter ended December 31, 2019. First Quarter Highlights • Net asset value (“NAV”) of $4.05 per share • Net investment income of $0.06 per share • Adjusted net investmen |
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| December 30, 2019 |
REVISED FORM OF ORDER AND FINAL JUDGMENT Exhibit 99.1 GRANTED IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE IN RE MEDLEY CAPITAL CORPORATION STOCKHOLDER LITIGATION ) ) ) ) ) CONS. C.A. No. 2019-0100-KSJM REVISED FORM OF ORDER AND FINAL JUDGMENT On this day of, 2019, a hearing having been held before this Court to determine whether the terms and conditions of the Stipulation and Agreement of Compromise and Settlement, dated July 29, 2 |
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| December 30, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2019 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) 1-35040 Delaware 27-4576073 (Commission File Number) (State or ot |
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| December 16, 2019 |
Exhibit 21.1 SUBSIDIARIES OF MEDLEY CAPITAL CORPORATION Name Jurisdiction Medley Small Business Fund, LP (formerly known as Medley SBIC, LP) Delaware Medley Small Business Fund GP, LLC (formerly known as Medley SBIC GP, LLC) Delaware Medley SLF Funding I LLC Delaware MCC Investment Holdings LLC Delaware MCC Investment Holdings AAR LLC Delaware MCC Investment Holdings AmveStar LLC Delaware MCC Inve |
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| December 16, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2019 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commiss |
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| December 16, 2019 |
Exhibit 99.1 Medley Capital Corporation Announces September 30, 2019 Financial Results NEW YORK, NY (December 16, 2019) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) today announced financial results for the quarter and year ended September 30, 2019. Fourth Quarter Highlights • Net investment loss of $(0.15) per share • Adjusted net investment income of $0.00 per share exclu |
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| December 16, 2019 |
MCX / Medley Capital Corporation 10-K - Annual Report - 10-K 10-K 1 a2019medleycapitalcorp10k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file nu |
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| December 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Medley Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) November 29, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 21, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 425 1 f425112019medleycap.htm FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. 814-00818 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 |
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| November 21, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State |
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| November 21, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 20, 2019 (November 19, 2019) Medley Capital Corporation (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of i |
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| November 12, 2019 |
MCX / Medley Capital Corporation 40-33 - - FORM 40-33 Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| November 4, 2019 |
EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G filed herewith (and any amendments thereto), relating to the common stock of Medley Capital Corp., a Delaware corporation, is being filed jointly with the Securities and Exchange Commission pursuant to Rule 13d‑1(c) under the Securities Exchange Act of 1934, as amended, on behalf of each of the unde |
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| November 4, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. )* Medley Capital Corp. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 58503F304 (CUSIP Number) October 24, 2019 Date of Event Which Requires Filing of the Statement Check the appropriate box to designate the rule pursuant to which this Schedu |
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| October 28, 2019 |
MCX / Medley Capital Corporation / Taube Brook - FORM SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO Rule 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 2)* Medley Capital Corporation (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 58503 |
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| October 15, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| October 15, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. |
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| October 10, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 2)* Medley Capital Corporation (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 58503F106 (CUSIP Number) September 10 |
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| September 23, 2019 |
MCC / Medley Capital Corp. / Glacier Point Advisors, Llc - GLACIER POINT ADVISORS Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Medley Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 58503F106 (CUSIP Number) September 13, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| August 16, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2019 (August 12, 2019) Medley Capital Corporation (Exact name of registrant as specified in its charter) Delaware 814-00818 27-4576073 (State or other jurisdiction of incor |
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| August 16, 2019 |
EX-10.1 2 f8k081219ex10-1medleycap.htm AMENDMENT TO DEED OF TRUST, DATED AUGUST 12, 2019 Exhibit 10.1 Amendment to Deed of Trust This Amendment (including the annexes attached hereto, this “Amendment”) to the Deed (as defined below) is entered into between Medley Capital Corporation, a business development company incorporated under the laws of the State of Delaware, File Number 4815200 (the “Comp |
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| August 9, 2019 |
Exhibit 21.1 SUBSIDIARIES OF MEDLEY CAPITAL CORPORATION Name Jurisdiction Medley Small Business Fund, LP (formerly known as Medley SBIC, LP) Delaware Medley Small Business Fund GP, LLC (formerly known as Medley SBIC GP, LLC) Delaware Medley SLF Funding I LLC Delaware MCC Investment Holdings LLC Delaware MCC Investment Holdings AAR LLC Delaware MCC Investment Holdings AmveStar LLC Delaware MCC Inve |
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| August 9, 2019 |
MCX / Medley Capital Corporation 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Form 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 1-35040 MEDLEY CAPITAL CORPORATION (Exact Name of Registrant as Specified in its Charter) Delaware 27-4576073 (State or Other Jurisdiction of (I. |
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| August 8, 2019 |
Exhibit 99.1 Medley Capital Corporation Announces June 30, 2019 Financial Results NEW YORK, NY (August 8, 2019) - Medley Capital Corporation (NYSE: MCC) (TASE: MCC) (the “Company”) today announced financial results for its third fiscal quarter ended June 30, 2019. Third Quarter Highlights • Net investment loss of $(0.07) per share • Adjusted net investment income of $0.01 per share excluding merge |
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| August 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2019 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-4576073 (Commission |
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| August 2, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. |
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| August 2, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. |
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| August 2, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2019 |
Exhibit 2.1 EXECUTION COPY AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER by and between MEDLEY CAPITAL CORPORATION and SIERRA INCOME CORPORATION DATED AS OF JULY 29, 2019 TABLE OF CONTENTS ARTICLE I DEFINED TERMS 3 1.1 Defined Terms 3 ARTICLE II THE MERGER 15 2.1 The Merger 15 2.2 Effective Time. 15 2.3 Effects of the Merger 15 2.4 Conversion of Stock. 16 2.5 Articles of Incorporation and Byla |
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| August 2, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2019 (July 29, 2019) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) 1-35040 Delaware 27-4576073 (Commission File Number) (State or other j |
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| August 2, 2019 |
Exhibit 10.2 EXECUTION COPY GOVERNANCE AGREEMENT THIS GOVERNANCE AGREEMENT (this “Agreement”) is entered into as of July 29, 2019, by and among Medley Capital Corporation, a Delaware corporation (the “Company”), FrontFour Capital Group LLC, a Delaware limited liability company (“FrontFour Capital”), FrontFour Master Fund, Ltd., an exempted company formed under the laws of the Cayman Islands (“Fron |
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| August 2, 2019 |
Exhibit 10.1 EXECUTION COPY IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE IN RE MEDLEY CAPITAL CORPORATION STOCKHOLDER LITIGATION ) ) ) ) ) CONS. C.A. No. 2019-0100-KSJM STIPULATION AND AGREEMENT OF COMPROMISE AND SETTLEMENT This Stipulation and Agreement of Compromise and Settlement (the “Stipulation”), dated July 29, 2019, which is entered into by and among (i) FrontFour Capital Group LLC (“ |
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| July 31, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 31, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. |
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| July 29, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 29, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. |
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| July 29, 2019 |
MCX / Medley Capital Corporation 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Capital Corporation Commission File No. |
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| July 29, 2019 |
Exhibit 99.2 Investor Presentation Sierra Income Corporation, Medley Capital Corporation and Medley Management Inc. Merger Update July 29, 2019 This presentation contains “forward - looking” statements, including statements regarding the proposed transactions . Such forward - looking statements reflect current views with respect to future events and financial performance, and each of Sierra Income |
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| July 29, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2019 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 27-4576073 (State or other jurisdiction of incorporation) (Commission |
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| July 29, 2019 |
Exhibit 99.1 Sierra, MCC and MDLY amend MERGER Agreements WHICH WOULD CREATE LEADING INTERNALLY MANAGED BDC WITH enhanced scale, diversified credit investment platform and $4.7 billion in assets under management Transactions Unanimously Approved by Sierra, MCC and MDLY Special Committees and Boards of Directors NEW YORK (July 29, 2019) – Sierra Income Corporation (“Sierra” or the “Company”), Medle |
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| July 25, 2019 |
Re: Approval of Amendment Agreement to Deed of Trust Exhibit 99.1 July 24, 2019 To To Israel Securities Authority Tel Aviv Stock Exchange www.isa.gov.il www.tase.co.il Sir, Madame, Re: Approval of Amendment Agreement to Deed of Trust Medley Capital Corporation (the “Company”) is pleased to announce that the amendment agreement dated July 24, 2019 to the deed of trust dated January 23, 2018 between the Company and Mishmeret Trust Company Ltd. (the “T |
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| July 25, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2019 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 27-4576073 (State or other jurisdiction of incorporation) (Commission |
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| June 12, 2019 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2019 Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27- |
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| June 12, 2019 |
Final Tabulation and Certification Complete Exhibit 99.1 Medley Capital Corporation’s Shareholders Re-Elect Arthur Ainsberg and Seth Taube To Board of Directors Final Tabulation and Certification Complete NEW YORK - June 11, 2019 - Medley Capital Corporation (NYSE: MCC, “MCC” or the “Company”) (TASE: MCC) today announced that its independent inspector of elections, First Coast Results, Inc., has tabulated the certified, final results of the |
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| June 10, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2019 (June 4, 2019) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 1-35040 (State or other jurisdiction of incorporation) 27-45760 |
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| June 5, 2019 |
Exhibit 99.1 Preliminary Results Indicate Medley Capital Corporation’s Shareholders Re-Elect Arthur Ainsberg and Seth Taube To Board of Directors with Significant Shareholder Support Final Results To Be Released After Tabulation and Certification NEW YORK – June 4, 2019 - Medley Capital Corporation (NYSE: MCC, “MCC” or the “Company”) (TASE: MCC) today announced that, according to the preliminary v |
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| June 5, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2019 (June 4, 2019) Medley Capital Corporation (Exact Name of Registrant as Specified in its Charter) 1-35040 Delaware 27-4576073 (Commission File Number) (State or other juri |
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| June 3, 2019 |
MCX / Medley Capital Corporation DFAN14A - - DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| June 3, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| June 1, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 31, 2019 |
MCX / Medley Capital Corporation DFAN14A - - DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 28, 2019 |
MCX / Medley Capital Corporation DFAN14A - - DFAN14A DFAN14A 1 d731391ddfan14a.htm DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 24, 2019 |
MCX / Medley Capital Corporation DFAN14A - - DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 22, 2019 |
MCX / Medley Capital Corporation DEFA14A - - DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
