Form 8-K CION Investment Corp For: Oct 01

October 1, 2021 10:16 AM EDT

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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): October 1, 2021

 

CĪON Investment Corporation

 (Exact Name of Registrant as Specified in Charter)

 

Maryland   000-54755   45-3058280
(State or Other Jurisdiction of Incorporation)   (Commission File Number)   (I.R.S. Employer Identification No.)

 

 

3 Park Avenue, 36th Floor

New York, New York 10016

 
     (Address of Principal Executive Offices)  

 

  (212) 418-4700  
  (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))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class   Trading symbol(s)   Name of each exchange on which registered
Common stock, par value $0.001 per share   CION   The New York Stock Exchange

  

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 ¨

 

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 8.01. Other Events.

 

On October 1, 2021, CĪON Investment Corporation (“CIC”) issued a press release announcing that its representatives will ring the closing bell at the New York Stock Exchange (“NYSE”) on Tuesday, October 5, 2021 to commemorate the listing of CIC’s shares of common stock on the NYSE with the ticker symbol “CION” effective as of market open that day. A copy of the press release announcing the foregoing is attached hereto as Exhibit 99.1 and incorporated by reference herein.

 

Item 9.01. Financial Statements and Exhibits.

 

  (d) Exhibits.

  

99.1 Press Release dated October 1, 2021.

 

 

 

 

  SIGNATURES  

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

   

   

CĪON Investment Corporation

 

Date: October 1, 2021 By: /s/ Michael A. Reisner
    Co-Chief Executive Officer

  

 

 

 

EXHIBIT LIST

 

EXHIBIT
NUMBER
  DESCRIPTION
99.1   Press Release dated October 1, 2021

  

 

 

  

 

 

Exhibit 99.1

 

 

CION Investment Corporation To Ring Closing Bell At The New York Stock Exchange To Commemorate Its Listing

 

FOR IMMEDIATE RELEASE

----------------------------

NEW YORK, NY (October 1, 2021) – CION Investment Corporation (“CIC”), a leading publicly registered non-traded business development company, is pleased to announce that its representatives will ring the closing bell at the New York Stock Exchange (“NYSE”) on Tuesday, October 5, 2021 to commemorate the listing of its shares of common stock on the NYSE with the ticker symbol “CION” effective as of market open that day. The closing bell ceremony is scheduled for 4:00 pm E.T., which the NYSE will livestream on its website: https://www.nyse.com/bell.

 

"We are extremely excited for the beginning of our next chapter as a publicly listed company and to mark this milestone by ringing the NYSE closing bell," said Mark Gatto and Michael A. Reisner, co-Chief Executive Officers of CIC. "Over the past decade, we have built CIC into a leading business development company and we look forward to continuing our efforts as we strive to deliver value for shareholders as a publicly listed company on the NYSE."

 

ABOUT CION INVESTMENT CORPORATION

 

CIC is a leading publicly registered non-traded business development company that currently has approximately $1.8 billion in assets. CIC focuses primarily on senior secured loans to U.S. middle-market companies. CIC is advised by CION Investment Management, LLC, a registered investment adviser and an affiliate of CIC.

 

ABOUT CION INVESTMENTS

 

CION Investments is a leading manager of alternative investment solutions designed to redefine the way individual investors can build their portfolios and help meet their long-term investment goals. CION Investments currently sponsors CIC, a leading publicly registered non-traded business development company that currently manages approximately $1.8 billion in assets. CION Investments also sponsors, through CION Ares Management, LLC, CION Ares Diversified Credit Fund, a globally diversified credit interval fund with approximately $2.0 billion in total managed assets. For more information, please visit www.cioninvestments.com.

 

FORWARD LOOKING STATEMENTS

 

The information in this press release contains forward-looking statements within the meaning of the federal securities laws. These forward-looking statements are identified by words such as “may,” “anticipates,” “expects,” “intends,” “plans,” “believes,” “seeks,” “estimates,” “would,” “could,” “should,” and variations of these words and similar expressions, including references to assumptions, forecasts of future results, shareholder diversification, institutional research coverage and availability and access to capital. These statements are not guarantees of future performance and are subject to risks, uncertainties and other factors, some of which are beyond our control and are difficult to predict, such as the price at which CIC’s shares of common stock will trade on the NYSE, and could cause actual results to differ materially from those expressed or forecasted in the forward-looking statements.  CIC undertakes no obligation to update any forward-looking statements contained herein to conform the statements to actual results or changes in its expectations.

 

 

 

 

OTHER INFORMATION

 

The information in this press release is summary information only and should be read in conjunction with CIC’s Current Report on Form 8-K, which CIC filed with the SEC on October 1, 2021, as well as CIC’s other reports filed with the SEC. A copy of CIC’s Current Report on Form 8-K and CIC’s other reports filed with the SEC can be found on CIC’s website at www.cioninvestments.com and the SEC’s website at www.sec.gov.

 

CONTACTS

 

Media

Alexander Cavalieri

[email protected]

 

Investor Relations

1-800-343-3736

 

Analysts and Institutional Investors

Jeehae Linford

The Equity Group

[email protected]

212-836-9615

 

 

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