8-K 1 rgc-20220325x8k.htm 8-K

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): March 25, 2022 (March 22, 2022)


Runway Growth Finance Corp.

(Exact name of registrant as specified in its charter)


Maryland

    

000-55544

    

47-5049745

(State or Other Jurisdiction

(Commission

(IRS Employer

of Incorporation)

File Number)

Identification No.)

205 N. Michigan Ave., Suite 4200, Chicago, Illinois

   

60601

(Address of Principal Executive Offices)

 

(Zip Code)

Registrant’s telephone number, including area code: (312) 281-6270

(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 $0.01 per share

 

RWAY

 

Nasdaq Global Select Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company þ

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 5.05. Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics.

On March 22, 2022, Runway Growth Finance Corp.’s (the “Company”) Board of Directors approved an amended and restated Joint Code of Ethics (as amended, the “Code”). The Code was amended to include a section regarding the Company’s current policy on digital assets.

The foregoing description of the revisions reflected in the Code is qualified in its entirety by reference to the full text of the Code, a copy of which is filed as Exhibit 14.1 to this Current Report. A copy of the Code is also publicly available on the Company’s website at https://runwaygrowth.com.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits:

Exhibit No.

    

Description

14.1

Joint Code of Ethics


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.

 

Runway Growth Finance Corp.

 

 

 

 

 

Date: March 25, 2022

By:

/s/ Thomas B. Raterman

 

Thomas B. Raterman

Chief Operating Officer, Chief Financial Officer, Treasurer and Secretary