Current Report Filing (8-k)
October 09 2020 - 8:13AM
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: October 9, 2020
(Date of earliest event reported)
WhiteHorse Finance, Inc.
(Exact name of registrant as specified
in its charter)
Delaware
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814-00967
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45-4247759
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification Number)
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1450 Brickell Avenue, 31st Floor
Miami, Florida
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33131
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(Address of principal executive offices)
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(Zip Code)
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(305) 381-6999
(Registrant’s telephone number,
including area code)
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:
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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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Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class
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Trading Symbol(s)
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Name of Each Exchange on Which Registered
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Common Stock, par value $0.001 per share
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WHF
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The Nasdaq Stock Market LLC
(Nasdaq Global Select Market)
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6.50% Notes due 2025
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WHFBZ
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The Nasdaq Stock Market LLC
(Nasdaq Global Select Market)
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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 7.01. Regulation FD Disclosure
On October 9, 2020, WhiteHorse Finance, Inc. (the “Company”)
issued a press release announcing a special distribution. A copy of this press release is furnished as Exhibit 99.1 to this Current
Report on Form 8-K and is incorporated herein by reference.
The information in Item 7.01 of this Current Report on Form
8-K, including Exhibit 99.1 furnished herewith, is being furnished and shall not be deemed “filed” for any purpose
of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the
liabilities of such Section. The information in this Current Report on Form 8-K shall not be deemed to be incorporated by reference
into any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific
reference in such filing.
Forward-Looking Statements
This Current Report on Form 8-K, including Exhibit 99.1 furnished
herewith, may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act
of 1995. Statements other than statements of historical facts included in this Current Report on Form 8-K may constitute forward-looking
statements and are not guarantees of future performance or results and involve a number of risks and uncertainties. Actual results
may differ materially from those in the forward-looking statements as a result of a number of factors, including those described
from time to time in filings with the Securities and Exchange Commission. The Company undertakes no duty to update any forward-looking
statement made herein. All forward-looking statements speak only as of the date of this Current Report on Form 8-K.
Item 9.01. Financial Statements and Exhibits
SIGNATURE
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.
Dated: October 9, 2020
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WHITEHORSE FINANCE, INC.
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By:
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/s/ Joyson C. Thomas
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Joyson C. Thomas
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Chief Financial Officer
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