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): December 13, 2019
Venture Lending & Leasing IX, 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.
At a meeting held on December 13, 2019, the Board of Directors (the “Board”) of Venture Lending & Leasing IX, Inc. (the “Fund”) ratified and approved the appointment of David R. Wanek as President of the Fund, effective as of November 11, 2019. Mr. Wanek succeeds Maurice C. Werdegar, who previously served as President of the Fund, and who will remain as Fund’s Chief Executive Officer.
Mr. Wanek’s appointment was not made pursuant to any arrangement or understanding between Mr. Wanek and any other person. Mr. Wanek does not have any direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. In addition, there are no family relationships between Mr. Wanek and any of the Fund’s executive officers or directors required to be disclosed pursuant to Item 401(d) of Regulation S-K. Mr. Wanek’s biographical information is set forth below:
David R. Wanek, 46, has held marketing, business development, and legal positions with VeriSign, Wilson Sonsini Goodrich and Rosati, and Los Alamos National Laboratories. Mr. Wanek earned a B.S. from the University of Kansas, an M.B.A. from the Anderson School of Management at the University of New Mexico, and a J.D. from Santa Clara University. He is a member of the California State Bar.
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.
VENTURE LENDING & LEASING IX, INC.
|By:||/s/ Maurice C. Werdegar||By:|
/s/ Judy N. Bornstein
|Maurice C. Werdegar|
Judy N. Bornstein
|Chief Executive Officer||Chief Financial Officer|
December 18, 2019
December 18, 2019