Current Report Filing (8-k)
April 23 2021 - 04:31PM
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: April 23, 2021
(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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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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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
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(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. ¨
On April 23, 2021, WhiteHorse Finance,
Inc. (the “Company”) issued a press release. A copy of the 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 8.01 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.
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Financial Statements and Exhibits
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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: April 23, 2021
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WHITEHORSE FINANCE, INC.
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/s/ Joyson C. Thomas
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By: Joyson C. Thomas
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Title: Chief Financial Officer
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