SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): July 12, 2021
WTI Fund X, Inc.
(Exact name of registrant as specified in its charter)
(State or other jurisdiction
104 La Mesa Drive, Suite 102, Portola Valley, CA 94028
(Address of principal executive offices, zip code)
Registrant’s telephone number, including area code: (650) 234-4300
(Former name or former address, if changed since last report): N/A
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|
|Name of each exchange on which registered|
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 5.02||Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.|
Judith N. Bornstein, Vice President, Chief Financial Officer, Chief Compliance Officer, Treasurer and Secretary of the Fund, has resigned from her position, effective July 12, 2021.
The Board of Directors has appointed a successor Vice President, Chief Financial Officer, Chief Compliance Officer, Treasurer and Secretary of the Fund, effective upon the commencement of his service with the Fund’s investment adviser, which is expected to begin no later than August 2021. In the interim, Bruce K. Levin, Vice President of Finance, will perform the duties and responsibilities of the principal financial officer.
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.
WTI FUND X, INC.
/s/ Maurice C. Werdegar
/s/ Bruce K. Levin
Maurice C. Werdegar
Bruce K. Levin
President and Chief Executive Officer
Vice President of Finance
July 14, 2021
July 14, 2021