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

 

99.1Press 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
No.

 

Description

   
99.1 Press Release of WhiteHorse Finance, Inc. dated August 1, 2014