Welcome to our dedicated page for Phenixfin SEC filings (Ticker: PFXNZ), 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.
The PhenixFIN Corporation 5.25% Notes due 2028 (PFXNZ) SEC filings page provides access to regulatory documents filed by PhenixFIN Corporation that relate to its financial condition, capital structure and reporting obligations. PhenixFIN is a non-diversified, internally managed closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940, as amended, and to be treated as a regulated investment company for U.S. federal income tax purposes.
Through its periodic reports, PhenixFIN discloses consolidated statements of assets and liabilities and consolidated statements of operations that describe total assets, total liabilities, net assets and net asset value (NAV) per common share. Within these filings, the company presents its credit facility and notes payable, which include the 5.25% unsecured notes due 2028, net of debt issuance costs. Liquidity and capital resources sections in related earnings materials specify the aggregate principal amount of the 5.25% notes outstanding and the amount drawn on the credit facility at each reporting date.
Current reports on Form 8-K also appear in this filing set. For example, a Form 8-K dated August 6, 2025 notes that PhenixFIN issued a press release announcing financial results for the quarter ended June 30, 2025, and includes that release as an exhibit. Such filings help investors track how the company reports results that affect its asset base, leverage and overall financial profile, which are important considerations for holders of the 5.25% Notes due 2028.
On Stock Titan, AI-powered tools summarize key elements of these SEC filings, helping readers quickly identify how PhenixFIN describes its investment income, expenses, realized and unrealized gains and losses, NAV, and capital resources, including the role of the PFXNZ notes in its capital structure.
PhenixFIN Corp chairman, CEO, and 10% owner David A. Lorber reported a series of open-market purchases of common stock. Over June 1–3, he bought a total of 8,656 shares in multiple transactions at prices generally in the mid-$40s per share. After these trades, he directly holds 253,854 common shares, with an additional 3,378 shares held indirectly through his spouse’s retirement account. Several trades were executed at weighted average prices, reflecting multiple fills within disclosed price ranges.
PhenixFIN Corp chairman, CEO, and 10% owner David A. Lorber reported a series of open-market purchases of common stock. Over June 1–3, he bought a total of 8,656 shares in multiple transactions at prices generally in the mid-$40s per share. After these trades, he directly holds 253,854 common shares, with an additional 3,378 shares held indirectly through his spouse’s retirement account. Several trades were executed at weighted average prices, reflecting multiple fills within disclosed price ranges.
PhenixFIN Corp: 22NW Fund reports disclosure of holdings. 22NW Fund, together with affiliated entities 22NW, 22NW Fund GP, 22NW GP, Inc. and Aron R. English, states that 22NW Fund directly owned 43,115 shares of Common Stock as of the close of business on 03/31/2026, representing approximately 2.2% of the class. The percentage is calculated using 1,998,259 shares outstanding as of 02/09/2026 as reported in the issuer's Form 10-Q. The filing clarifies voting and dispositive powers for the listed reporting persons and contains customary disclaimers of beneficial ownership by affiliates.
PhenixFIN Corp: 22NW Fund reports disclosure of holdings. 22NW Fund, together with affiliated entities 22NW, 22NW Fund GP, 22NW GP, Inc. and Aron R. English, states that 22NW Fund directly owned 43,115 shares of Common Stock as of the close of business on 03/31/2026, representing approximately 2.2% of the class. The percentage is calculated using 1,998,259 shares outstanding as of 02/09/2026 as reported in the issuer's Form 10-Q. The filing clarifies voting and dispositive powers for the listed reporting persons and contains customary disclaimers of beneficial ownership by affiliates.
PhenixFIN Corp’s large shareholder David A. Lorber filed an amended Schedule 13D reporting beneficial ownership of 248,576 shares of Common Stock, or about 12.9% of the company, based on 1,932,600 shares outstanding as of May 5, 2026.
Lorber holds 245,198 shares directly and 3,378 shares through his spouse’s IRA, over which he shares voting and dispositive power. He used approximately $7,896,209.19 of personal funds to acquire his position, including an in-kind distribution at no additional cost.
In the last 60 days, Lorber purchased 42,065 shares in open-market transactions on May 12, 2026 at a weighted average price of $39.95 per share, with trade prices ranging from $39.00 to $40.00.
PhenixFIN Corp’s large shareholder David A. Lorber filed an amended Schedule 13D reporting beneficial ownership of 248,576 shares of Common Stock, or about 12.9% of the company, based on 1,932,600 shares outstanding as of May 5, 2026.
Lorber holds 245,198 shares directly and 3,378 shares through his spouse’s IRA, over which he shares voting and dispositive power. He used approximately $7,896,209.19 of personal funds to acquire his position, including an in-kind distribution at no additional cost.
In the last 60 days, Lorber purchased 42,065 shares in open-market transactions on May 12, 2026 at a weighted average price of $39.95 per share, with trade prices ranging from $39.00 to $40.00.
PhenixFIN Corp director and CEO David A. Lorber reported an open-market purchase of 42,065 shares of common stock at a weighted average price of $39.95 per share on May 12, 2026. A footnote explains these shares were bought in multiple trades between $39.00 and $40.00.
After this transaction, Lorber directly owns 245,198 common shares. His indirect holdings include 3,378 shares held in his spouse’s retirement account. His reported beneficial ownership also reflects 56,537 shares previously received as an in-kind distribution from FrontFour Master Fund, Ltd.
PhenixFIN Corp director and CEO David A. Lorber reported an open-market purchase of 42,065 shares of common stock at a weighted average price of $39.95 per share on May 12, 2026. A footnote explains these shares were bought in multiple trades between $39.00 and $40.00.
After this transaction, Lorber directly owns 245,198 common shares. His indirect holdings include 3,378 shares held in his spouse’s retirement account. His reported beneficial ownership also reflects 56,537 shares previously received as an in-kind distribution from FrontFour Master Fund, Ltd.
PhenixFIN Corporation reported a modest decline in net asset value for the quarter ended March 31, 2026 as market marks fell on its investment portfolio. Net assets decreased to $153.8 million from $160.8 million, and NAV per share edged down to $79.56 from $80.24.
Total investments at fair value were $295.8 million, slightly below $302.3 million at September 30, 2025, reflecting realized and unrealized losses. For the six months, the company generated net investment income of $2.9 million but recorded a net decrease in net assets from operations of $3.6 million, driven mainly by $5.5 million of net unrealized losses on investments and deferred tax expense.
PhenixFIN continued to actively manage its balance sheet, repurchasing 70,531 shares of common stock for about $3.3 million over six months and reducing debt slightly. Operating activities provided $0.7 million of cash, while financing activities used $4.9 million, leaving cash and cash equivalents at $3.1 million.
PhenixFIN Corporation reported a modest decline in net asset value for the quarter ended March 31, 2026 as market marks fell on its investment portfolio. Net assets decreased to $153.8 million from $160.8 million, and NAV per share edged down to $79.56 from $80.24.
Total investments at fair value were $295.8 million, slightly below $302.3 million at September 30, 2025, reflecting realized and unrealized losses. For the six months, the company generated net investment income of $2.9 million but recorded a net decrease in net assets from operations of $3.6 million, driven mainly by $5.5 million of net unrealized losses on investments and deferred tax expense.
PhenixFIN continued to actively manage its balance sheet, repurchasing 70,531 shares of common stock for about $3.3 million over six months and reducing debt slightly. Operating activities provided $0.7 million of cash, while financing activities used $4.9 million, leaving cash and cash equivalents at $3.1 million.
PhenixFIN Corporation reported results for the quarter ended March 31, 2026. Total investment income was $5.2 million, mainly from $5.0 million of portfolio interest and dividend income, against total expenses of $4.5 million, producing net investment income of $0.7 million.
The company recorded a net realized loss of $1.1 million and a net unrealized gain of $1.7 million, leading to a net increase in net assets from operations of $1.1 million and earnings of $0.57 per share. The investment portfolio’s fair value was $295.8 million across 32 portfolio companies, with one investment on non-accrual status at zero fair value.
Net asset value per share was $79.56 versus $80.24 as of September 30, 2025. PhenixFIN held $3.1 million in cash, had $57.5 million of 5.25% unsecured notes due 2028 and $90.0 million outstanding under its credit facility. The company repurchased 66,396 shares, equal to 3.3% of its shares outstanding, under its buyback program.
PhenixFIN Corporation reported results for the quarter ended March 31, 2026. Total investment income was $5.2 million, mainly from $5.0 million of portfolio interest and dividend income, against total expenses of $4.5 million, producing net investment income of $0.7 million.
The company recorded a net realized loss of $1.1 million and a net unrealized gain of $1.7 million, leading to a net increase in net assets from operations of $1.1 million and earnings of $0.57 per share. The investment portfolio’s fair value was $295.8 million across 32 portfolio companies, with one investment on non-accrual status at zero fair value.
Net asset value per share was $79.56 versus $80.24 as of September 30, 2025. PhenixFIN held $3.1 million in cash, had $57.5 million of 5.25% unsecured notes due 2028 and $90.0 million outstanding under its credit facility. The company repurchased 66,396 shares, equal to 3.3% of its shares outstanding, under its buyback program.
PhenixFIN Corp received an updated ownership filing showing a shift among existing holders. David A. Lorber now beneficially owns 206,511 shares of PhenixFIN common stock, representing about 10.3% of the company’s outstanding shares, based on 1,998,259 shares outstanding as of February 9, 2026.
The change stems from a March 31, 2026 pro rata in-kind distribution by FrontFour Master Fund, Ltd. of its 81,662.416 PhenixFIN shares to its investors, including 56,537 shares received by Lorber in his capacity as an investor. Following this distribution, FrontFour Master Fund and its investment manager, FrontFour Capital Group LLC, report no beneficial ownership of PhenixFIN stock, while Lorber holds 203,133 shares directly and shares voting and dispositive power over 3,378 shares held in his spouse’s IRA.
PhenixFIN Corp received an updated ownership filing showing a shift among existing holders. David A. Lorber now beneficially owns 206,511 shares of PhenixFIN common stock, representing about 10.3% of the company’s outstanding shares, based on 1,998,259 shares outstanding as of February 9, 2026.
The change stems from a March 31, 2026 pro rata in-kind distribution by FrontFour Master Fund, Ltd. of its 81,662.416 PhenixFIN shares to its investors, including 56,537 shares received by Lorber in his capacity as an investor. Following this distribution, FrontFour Master Fund and its investment manager, FrontFour Capital Group LLC, report no beneficial ownership of PhenixFIN stock, while Lorber holds 203,133 shares directly and shares voting and dispositive power over 3,378 shares held in his spouse’s IRA.
PhenixFIN Corporation reported the results of its Annual Meeting of Stockholders held on March 20, 2026, where stockholders approved all three proposals presented. Two directors, Karen Hirtler-Garvey and Lowell W. Robinson, were elected for three-year terms.
Stockholders also ratified KPMG LLP as independent registered public accounting firm for the fiscal year ending September 30, 2026, with 1,412,772 votes for. An advisory vote on executive compensation was approved, receiving 956,003 votes for, 29,980 against, and 90,616 abstentions.
PhenixFIN Corporation reported the results of its Annual Meeting of Stockholders held on March 20, 2026, where stockholders approved all three proposals presented. Two directors, Karen Hirtler-Garvey and Lowell W. Robinson, were elected for three-year terms.
Stockholders also ratified KPMG LLP as independent registered public accounting firm for the fiscal year ending September 30, 2026, with 1,412,772 votes for. An advisory vote on executive compensation was approved, receiving 956,003 votes for, 29,980 against, and 90,616 abstentions.
PhenixFIN Corp director and ten percent owner Howard Amster reported an open-market purchase of common stock. On March 3, 2026, he bought 11,500 shares of PhenixFIN common stock at $42.56 per share, bringing his directly held stake to 248,248 shares.
In addition to these direct holdings, Amster is also reported as the beneficial owner of several indirect positions through charitable remainder unitrusts and Pleasant Lake Corp, where he serves as trustee or president. These indirect holdings total several thousand shares across the listed entities.
PhenixFIN Corp director and ten percent owner Howard Amster reported an open-market purchase of common stock. On March 3, 2026, he bought 11,500 shares of PhenixFIN common stock at $42.56 per share, bringing his directly held stake to 248,248 shares.
In addition to these direct holdings, Amster is also reported as the beneficial owner of several indirect positions through charitable remainder unitrusts and Pleasant Lake Corp, where he serves as trustee or president. These indirect holdings total several thousand shares across the listed entities.
PhenixFIN Corporation reported results for the quarter ended December 31, 2025, showing higher recurring income but an overall loss driven by investment marks. Net investment income rose to $2.1 million from $1.6 million a year earlier as interest and dividend income outpaced operating expenses.
However, significant unrealized losses on portfolio holdings led to a $4.8 million decrease in net assets from operations, compared with a $2.5 million increase in the prior-year quarter. Net asset value per share declined to $77.92 from $80.24 as of September 30, 2025.
Total investments at fair value were $295.6 million, down from $302.3 million, with the portfolio concentrated in equity and warrants alongside senior secured first lien loans. Net cash used in operating and financing activities reduced cash and cash equivalents to $3.4 million, while debt outstanding under the credit facility and notes was $146.5 million.
PhenixFIN Corporation reported results for the quarter ended December 31, 2025, showing higher recurring income but an overall loss driven by investment marks. Net investment income rose to $2.1 million from $1.6 million a year earlier as interest and dividend income outpaced operating expenses.
However, significant unrealized losses on portfolio holdings led to a $4.8 million decrease in net assets from operations, compared with a $2.5 million increase in the prior-year quarter. Net asset value per share declined to $77.92 from $80.24 as of September 30, 2025.
Total investments at fair value were $295.6 million, down from $302.3 million, with the portfolio concentrated in equity and warrants alongside senior secured first lien loans. Net cash used in operating and financing activities reduced cash and cash equivalents to $3.4 million, while debt outstanding under the credit facility and notes was $146.5 million.