Current Report Filing (8-k)
March 16 2017 - 8:38AM
Edgar (US Regulatory)
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, 2017
Five Oaks Investment Corp.
(
Exact name of registrant as specified
in its charter
)
Maryland
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001-35845
|
45-4966519
|
(State or other jurisdiction
of incorporation)
|
(Commission
File Number)
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(IRS Employer
Identification No.)
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540 Madison Avenue., 19
th
Floor
New York, New York
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10022
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(Address of principal executive offices)
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(Zip Code)
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(212) 257-5073
(Registrant’s telephone number,
including area code)
(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
(
see
General Instruction A.2. below):
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¨
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 2.02. Results of Operations and Financial Condition.
On March 16, 2017, Five Oaks Investment
Corp. (the “Company”) issued a press release announcing its financial results for the fiscal quarter and the year ended
December 31, 2016 (the “Release”). A copy of the Release is attached hereto as Exhibit 99.1, and is incorporated herein
by reference.
The information disclosed under this Item
2.02, including Exhibit 99.1 hereto, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it
be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Securities Act”),
or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.
Item 7.01. Regulation FD Disclosure
On March 16, 2017, the Company disclosed
an earnings and performance highlights presentation regarding its financial results for the fiscal quarter and the year ended December
31, 2016, a copy of which is attached hereto as Exhibit 99.2, and is incorporated herein by reference.
The information disclosed under this Item
7.01, including Exhibit 99.2 hereto, shall not be deemed “filed” for purposes of Section 18 of the Exchange Act or
otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the
Securities Act or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.
Item 9.01 Financial Statements and Exhibits.
99.1 - Press Release of Five Oaks Investment
Corp., March 16, 2017.
99.2 – Earnings and Performance Highlights
Presentation, March 16, 2017
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Five Oaks Investment Corp.
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March 16, 2017
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By:
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/s/ DAVID OSTON
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David Oston
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Chief Financial Officer, Secretary and Treasurer
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