OAKS Five Oaks Investment Corp. (delisted)

 

 

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 ): August 7, 2017

 

Five Oaks Investment Corp.

( Exact name of registrant as specified in its charter )

 

Maryland	001-35845	45-4966519
(State or other jurisdiction   of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

 

540 Madison Avenue., 19 th Floor New York, New York	10022
(Address of principal executive offices)	(Zip Code)

   

(212) 257-5073

(Registrant’s telephone number, including area code)

    

 

(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 ( see General Instruction A.2. below):

 

	¨	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))

 

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 x

 

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 2.02. Results of Operations and Financial Condition.

 

On August 7, 2017, Five Oaks Investment Corp. (the “Company”) issued a press release announcing its financial results for the fiscal quarter ended June 30, 2017 (the “Release”). A copy of the Release is attached hereto as Exhibit 99.1, and is incorporated herein by reference.

 

The information disclosed under this Item 2.02, including Exhibit 99.1 hereto, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Securities Act”), or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

 

Item 7.01. Regulation FD Disclosure

 

On August 7, 2017, the Company disclosed an earnings and performance highlights presentation regarding its financial results for the fiscal quarter ended June 30, 2017, a copy of which is attached hereto as Exhibit 99.2, and is incorporated herein by reference.

 

The information disclosed under this Item 7.01, including Exhibit 99.2 hereto, shall not be deemed “filed” for purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

  

Item 9.01 Financial Statements and Exhibits.

 

(d)

Exhibits.

 

99.1 – Press Release of Five Oaks Investment Corp., August 7, 2017.

 

99.2 – Earnings and Performance Highlights Presentation, August 7, 2017

 

  

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.

 

	Five Oaks Investment Corp.
August 7, 2017	By:	/s/ DAVID OSTON
		David Oston
		Chief Financial Officer, Secretary and Treasurer