# EDGAR Filing Document

**Accession Number:** 0001490349
**File Stem:** 0001213900-26-032335
**Filing Date:** 2026-3
**Character Count:** 5792
**Document Hash:** b646b3ccc9ae0db575655121ebe04c20
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-26-032335.hdr.sgml**: 20260320

**ACCESSION NUMBER**: 0001213900-26-032335

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20260320

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20260320

**DATE AS OF CHANGE**: 20260320

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PhenixFIN Corp
- **CENTRAL INDEX KEY:** 0001490349

**ORGANIZATION NAME:**
- **EIN:** 274576073
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 814-00818
- **FILM NUMBER:** 26778186

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

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

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

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Medley Capital BDC LLC
- **DATE OF NAME CHANGE:** 20100426

?xml version='1.0' encoding='ASCII'?

**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, 2026

**PHENIXFIN CORPORATION**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **814-00818** | **27-4576073** |
| (State or other jurisdiction <br> of incorporation or organization) | (Commission file number) | (I.R.S. employer<br> identification no.) |

---

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| | |
|:---|:---|
| **445 Park Avenue, 10th Floor, New York, NY** | **10022** |
| (Address of principal executive offices) | (Zip code) |

---

Registrant's telephone number, including area code: **(212) 859-0390**

**Not Applicable**

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of exchange on which registered** |
| Common Stock, par value $0.001 per share | PFX | The NASDAQ Global Market |
| 5.25% Notes due 2028 | PFXNZ | The NASDAQ Global Market |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 5.07 SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.**

On March 20, 2026, PhenixFIN Corporation (the "Company") held its Annual Meeting of Stockholders (the "Annual Meeting"). During this meeting, the Company's stockholders were asked to consider and vote upon three proposals: (1) to elect two directors of the Company, to serve for a term of three years, or until his or her successor is duly elected and qualified; (2) to ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2026; and (3) to provide an advisory vote on executive compensation.

Stockholders of record at the close of business on January 23, 2026 were entitled to vote at the Annual Meeting. As of January 23, 2026, there were 2,000,560 shares of common stock outstanding and entitled to vote. A quorum consisting of 1,424,752 shares of common stock of the Company were present or represented by proxy at the Annual Meeting.

The final voting results for each of the proposals submitted to a vote of stockholders at the Annual Meeting are set forth below. Proposals 1, 2, and 3 were approved by the requisite vote.

Proposal 1: Election of directors.

<u>Nominee</u> <u>For</u> <u>Withheld</u> <br> Karen Hirtler-Garvey 1,037,446 39,153 <br> Lowell W. Robinson 968,775 107,824

Broker Non-Votes: <u>348,153</u>

Proposal 2: Ratification of the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2026.

<u>For</u> <u>Against</u> <u>Abstain</u> <br> 1,412,772 11,416 564

Broker Non-Votes: <u>0</u>

Proposal 3: Advisory vote on executive compensation.

<u>For</u> <u>Against</u> <u>Abstain</u> <br> 956,003 29,980 90,616

Broker Non-Votes: <u>348,153</u>

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, PhenixFIN Corporation has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
| DATE: March 20, 2026 | **PHENIXFIN CORPORATION** | **PHENIXFIN CORPORATION** |
|  | /s/ David Lorber | /s/ David Lorber |
|  | Name: | David Lorber |
|  | Title: | Chief Executive Officer |

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