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 Corporation (PFX) director Lowell W. Robinson reported purchases of the issuer's common stock in mid-August 2025. The Form 4 shows three non-derivative acquisitions: 132 shares on 08/14/2025 at a weighted-average price of $48.895, 15 shares on 08/15/2025 at $48.87, and 100 shares on 08/18/2025 at $49.03. The filing lists the reporter as a director and the transactions were reported as direct holdings. Following these trades, the amounts reported as beneficially owned after each transaction were 1,796 shares, 1,811 shares, and 1,911 shares respectively. The filing includes a footnote stating the 08/14 weighted average price reflects multiple executions between $48.70 and $49.25.
Lowell W. Robinson, a director of PhenixFIN Corp, reported three purchases of common stock in August 2025. He bought 27 shares on 08/08/2025 at $49 each, increasing his holdings to 1,527 shares; 101 shares on 08/11/2025 at $49.13 each, increasing to 1,628 shares; and 36 shares on 08/12/2025 at $49.13 each, bringing total holdings to 1,664 shares. The Form 4 is signed by Mr. Robinson on 08/12/2025.
PhenixFIN Corp. – Schedule 13D/A (Amendment No. 4) filed 18 June 2025
The filing updates the ownership position of David A. Lorber, FrontFour Master Fund, Ltd., and FrontFour Capital Group LLC (collectively, the “Reporting Persons”) in PhenixFIN Corp. (CUSIP 71742W103). The amendment reflects holdings as of the event date 16 June 2025 and is based on the company’s 2,019,778 outstanding common shares reported in the 10-Q filed 7 May 2025.
- Total beneficial ownership (group): 228,185.41 shares, representing 11.3 % of the outstanding common stock.
- David A. Lorber (individual): 143,145 shares held directly plus 3,378 shares held in his spouse’s IRA; combined direct & deemed ownership equals 146,523 shares (≈7.3 % of shares outstanding).
- FrontFour Master Fund, Ltd.: 81,662.416 shares, equating to 4.0 % of outstanding shares; sole voting and dispositive power.
- FrontFour Capital Group LLC: investment manager to the Master Fund; deemed beneficial owner of the same 81,662.416 shares (4.0 %).
- Voting / dispositive power: Mr. Lorber holds sole power over his direct shares and shared power over the spouse IRA; he may be deemed to share power over the Master Fund’s stake through his role at FrontFour.
- Funds used: Mr. Lorber invested personal funds totaling $6,057,747.10 to acquire his directly held shares and those in the spouse IRA.
This amendment supersedes prior filings made on 20 Dec 2021, 16 May 2022, 3 Jan 2023, and 5 Mar 2024, ensuring that the SEC and investors are informed of current ownership levels. Because the combined stake exceeds the 10 % threshold, the Reporting Persons are considered significant shareholders with potential influence over corporate decisions. No new purchase or sale transactions are detailed in the narrative; transaction specifics, if any, are provided in a separate Schedule 5(c) exhibit.