UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
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Item 5.07 SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.
On March 12, 2025, 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 one director of the Company, to serve for a term of three years, or until his successor is duly elected and qualified; (2) to ratify the selection of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 2025; and (3) to provide an advisory vote on executive compensation.
Stockholders of record at the close of business on January 13, 2025 were entitled to vote at the Annual Meeting. As of January 13, 2025, there were 2,019,778 shares of common stock outstanding and entitled to vote. A quorum consisting of 1,432,858 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 director.
| Nominee | For | Withheld | ||
| Arthur S. Ainsberg | 821,563 | 23,436 |
Broker Non-Votes: 587,859
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, 2025.
| For | Against | Abstain | ||
| 1,403,064 | 27,613 | 2,181 |
Broker Non-Votes: 0
Proposal 3: Advisory vote on executive compensation.
| For | Against | Abstain | ||
| 823,309 | 15,531 | 6,159 | ||
| Broker Non-Votes: | 587,859 |
Broker Non-Votes: 587,859
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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.
| DATE: March 20, 2025 | PHENIXFIN CORPORATION |
| /s/ David Lorber | |
| Name: David Lorber | |
| Title: Chief Executive Officer |
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