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: May 19, 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) 379-2322

(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 May16, 2014, Alastair Merrick submitted his resignation from his position as the Chief Financial Officer and Treasurer (principal financial and accounting officer) of WhiteHorse Finance, Inc. (the “Company”), effective as of June 15, 2014. Mr. Merrick plans to remain with the Company as a consultant until December 31, 2014.

 

(c)

 

On May 16, 2014, the Board of Directors of the Company elected Gerhard Lombard as the Company’s Chief Financial Officer and Treasurer (principal financial and accounting officer), effective as of June 15, 2014.

 

Mr. Lombard, age 40, currently serves as the Company’s Controller. He joined the Company in September 2012, prior to the Company’s December IPO. Previously, Mr. Lombard was Group Controller for Churchill Financial Group from 2007 until joining the Company. Earlier in his career, he spent approximately 11 years at Ernst & Young LLP, rising to the level of Senior Manager.

 

Item 8.01. Other Events

 

On May 19, 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 May 19, 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: May 19, 2014       By:  

/s/ Alastair Merrick 

            Alastair Merrick
            Chief Financial Officer & Treasurer

 

 

 
 

 

 

Exhibit Index

 

     

Exhibit
No.

 

Description

   
99.1   Press Release of WhiteHorse Finance, Inc. dated May 19, 2014