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: August 1, 2014
(Date of earliest event reported)
WhiteHorse Finance, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 814-00967 | 45-4247759 |
|
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification Number) |
|
1450 Brickell Avenue, 31st Floor Miami, Florida |
33131 |
| (Address of principal executive offices) | (Zip Code) |
(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:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
(b)
On August 1, 2014, Ethan M. Underwood submitted his resignation from his position as the Chief Operating Officer of WhiteHorse Finance, Inc. (the “Company”), effective as of August 1, 2014. Mr. Underwood will continue his role as Managing Director of H.I.G. WhiteHorse Advisers, LLC, the Company’s investment adviser.
(c)
On August 1, 2014, the board of directors of the Company elected William D. Markert as the Company’s Chief Operating Officer, effective as of August 1, 2014.
Mr. Markert most recently served as Chief Financial Officer of Securus Technologies, Inc., an integrated communications and technology provider. Mr. Markert has more than 25 years of finance, operations, business analytics, economics and regulatory experience and has held executive level finance and operations positions during the past 15 years.
Item 8.01. Other Events
On August 1, 2014, the Company issued a press release. A copy of the press release is furnished as Exhibit 99.1 to this Form 8-K and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits
(d) Exhibits
| 99.1 | Press Release of WhiteHorse Finance, Inc. dated August 1, 2014 |
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.
| WHITEHORSE FINANCE, INC. | |||
|
Dated: August 1, 2014 |
By: |
/s/ Gerhard Lombard |
|
|
|
Gerhard Lombard | ||
|
|
Chief Financial Officer & Treasurer | ||
Exhibit Index
|
Exhibit |
Description | |
| 99.1 | Press Release of WhiteHorse Finance, Inc. dated August 1, 2014 | |