Welcome to our dedicated page for Phenixfin SEC filings (Ticker: PFX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to PhenixFIN Corporation’s (NASDAQ: PFX) SEC filings, offering a detailed view of the company’s financial reporting and regulatory disclosures as a non-diversified, internally managed business development company. PhenixFIN files annual reports on Form 10-K, quarterly reports on Form 10-Q and current reports on Form 8-K, along with exhibits such as press releases that summarize financial results and material events.
In these filings, investors can review consolidated statements of assets and liabilities, which detail investments at fair value across non-controlled, non-affiliated, affiliated and controlled categories, as well as cash and cash equivalents, receivables, deferred tax assets, deferred financing costs, credit facility and notes payable, and other liabilities. The statements of operations disclose total investment income, including interest income, dividend income, fee income and other income, along with expenses such as interest and financing costs, salaries and benefits, professional fees, general and administrative expenses, directors’ fees, insurance expenses and administrator expenses.
PhenixFIN’s filings also present realized and unrealized gains and losses on investments, changes in net assets resulting from operations and information about net asset value (NAV) per share. Current reports on Form 8-K may highlight specific events, such as the issuance of a press release announcing quarterly financial results, with the press release included as an exhibit.
Stock Titan’s platform supplements these documents with AI-powered summaries that explain the key points of lengthy filings, helping readers understand items like NAV movements, portfolio composition changes, non-accrual investments and leverage levels. Real-time updates from EDGAR allow users to see new 10-K, 10-Q and 8-K submissions as they are filed, and insider transaction reports on Form 4 can be accessed to monitor trading activity by directors and officers when available.
By combining the raw SEC filings with AI-generated insights, this page helps users interpret PhenixFIN’s regulatory disclosures, track its financial condition and evaluate how its investment and financing activities are reflected in its official reports.
PhenixFIN Corp insider David A. Lorber, who serves as Chairman, CEO, director, and a 10% owner, reported open-market purchases of the company’s common stock. On 12/15/2025 he bought 100 shares at $44.33 per share, on 12/16/2025 he bought 138 shares at a weighted average price of $44.45, and on 12/17/2025 he bought 908 shares at a weighted average price of $44.74. After these transactions he directly holds 144,891 common shares. He also reports indirect ownership of 3,378 shares through his spouse’s individual retirement account and 81,662.416 shares held by FrontFour Master Fund, Ltd., which are attributed to him through his role at the fund’s investment manager.
PhenixFIN Corporation reports on its operations as an internally managed business development company focused on generating current income and capital appreciation from loans and private equity in mostly private U.S. companies.
As of September 30, 2025, the investment portfolio totaled $302,272 thousand at fair value, spread across real estate, business services, insurance and consumer sectors, with notable positions in FlexFIN’s gemstone lending business and The National Security Group. Income‑bearing investments, representing 64.8% of the portfolio, had a weighted average yield of about 12.8%, compared with 12.3% a year earlier.
The company remained within regulatory leverage limits, with asset coverage of 207.8%, and continued to qualify as a regulated investment company for tax purposes. Management highlights risks from leverage, fair‑value estimates and concentrated stakes in the jewelry lender and NSG, along with broader pressures such as rising interest rates, recession risk and capital‑markets volatility.
PhenixFIN Corporation filed a current report stating that on December 12, 2025 it issued a press release announcing its financial results for the quarter ended September 30, 2025. The company’s common stock and its 5.25% Notes due 2028 trade on The NASDAQ Global Market under the symbols PFX and PFXNZ. The press release containing the detailed quarterly results is attached as Exhibit 99.1, along with an Inline XBRL cover page as Exhibit 104.
Ellida McMillan, Chief Financial Officer of PhenixFIN Corp (PFX), reported an insider purchase. On 09/23/2025 she acquired 248 shares of PhenixFIN common stock at $47.75 per share, bringing her total beneficial ownership to 3,235 shares. The Form 4 was signed on 09/25/2025. The filing discloses only this non-derivative purchase by the reporting officer and contains no additional transactions or explanatory details.
Insider purchases of PhenixFIN Corp common stock reported by director Lowell W. Robinson. The filing discloses two open-market purchases totaling 130 shares at weighted-average prices of $48.09 and $48.26, increasing the reporting person’s beneficial ownership to 3,000 shares. Each reported price reflects multiple transactions within specified price ranges.
The disclosure is limited to these non-derivative purchases and includes undertakings to provide detailed per-transaction price breakdowns on request. No options, disposals, or other material changes to ownership form are reported.
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