Unassociated Document
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 (Date of earliest event reported):
December
1, 2005
RENAISSANCE
CAPITAL GROWTH & INCOME FUND III, INC.
(Exact
name of registrant as specified in its charter)
|
TX
|
33-75758
|
75-2533518
|
(State
or other jurisdiction
of
incorporation)
|
(Commission
File Number)
|
(I.R.S.
Employer Identification No.)
|
8080
North Central Expressway, Suite 210, LB-59, Dallas, TX 75219
(Address
of principal executive offices) (Zip
Code)
Registrant’s
telephone number, including area code: (214)
891-8294
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:
o Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
o Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
o Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
o Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
Item
8.01. Other Events.
Renaissance
Capital Growth & Income Fund III, Inc. (“Renaissance”) announced that the
Securities and Exchange Commission approved a settlement with RENN Capital
Group, Inc. (“RENN”), investment adviser to Renaissance, with respect to the
calculation of advisory fees paid to RENN by Renaissance.
Item
9.01. Financial Statements and Exhibits.
(c) Exhibits.
Exhibit
99.1 Order
Instituting Administrative and Cease-and-Desist Proceedings, Making Findings,
and Imposing Remedial Sanctions and Cease-and-Desist Order Pursuant to Sections
203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b)
and
9(f) of the Investment Company Act of 1940, dated December 1,
2005.
SIGNATURES
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.
RENAISSANCE
CAPITAL GROWTH & INCOME FUND III, INC.
December
6, 2005 /s/
Russell Cleveland
(Date)
Russell
Cleveland, President
Exhibit
Index
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Exhibit
Number
|
Description
|
|
99.1
|
Order
Instituting Administrative and Cease-and-Desist Proceedings, Making
Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order
Pursuant to Sections 203(e) and 203(k) of the Investment Advisers
Act of
1940 and Sections 9(b) and 9(f) of the Investment Company Act of
1940,
dated December 1, 2005.
|