Washington, D.C. 20549










Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of Report: August 3, 2017

(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)




File Number)



(IRS Employer

Identification Number)


1450 Brickell Avenue, 31st Floor

Miami, Florida

(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))


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 x


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. ¨ 








Item 5.07. Submission of Matters to a Vote of Security Holders.


On August 3, 2017, WhiteHorse Finance, Inc. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). At the Annual Meeting, the Company’s stockholders approved two proposals. The issued and outstanding shares of stock of the Company entitled to vote at the Annual Meeting consisted of 18,318,104 shares of common stock outstanding on the record date, June 5, 2017. The final voting results from the Annual Meeting were as follows:


Proposal 1. To elect three Class II directors of the Company who will each serve until the 2020 annual meeting of stockholders or until his successor is duly elected and qualifies.


Name  Votes For  Votes Against  Abstentions  Broker Non-Votes
Stuart Aronson  9,190,116  48,317  278,498  3,213,309
Jay Carvell  9,169,048  68,670  279,213  3,213,309
Rick P. Frier  9,049,075  189,356  278,500  3,213,309


Proposal 2. To ratify the selection of Crowe Horwath LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017.


Votes For  Votes Against  Abstentions
12,425,953  99,379  204,908


Forward-Looking Statements


This Current Report on Form 8-K 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.








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: September 21, 2017 WHITEHORSE FINANCE, INC.
  By: /s/ Edward J. Giordano  
    Edward J. Giordano
    Interim Chief Financial Officer