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EX-14.1 - CODE OF BUSINESS CONDUCT AND ETHICS OF FS ENERGY AND POWER FUND - FS Energy & Power Fundex14-1.htm

 

 

 

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):  May 6, 2020

 

FS Energy and Power Fund

 

(Exact name of Registrant as specified in its charter)

 

 Delaware

(State or other jurisdiction

of incorporation)

 814-00841

(Commission

File Number)

27-6822130

(I.R.S. Employer

Identification No.)

 

201 Rouse Boulevard

Philadelphia, Pennsylvania

(Address of principal executive offices)

 

 

19112

(Zip Code)

   

Registrant’s telephone number, including area code: (215) 495-1150

 

None

 

(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: None

 

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

 

On May 6, 2020, the Board adopted an amended and restated Code of Business Conduct and Ethics (as amended and restated, the Code) that amended, restated and replaced the prior Code of Business Conduct and Ethics applicable to the Company. The Code has been revised to reflect changes to the Company’s personal securities transactions policy (the Personal Trading Policy). The Personal Trading Policy was changed to require all employees to preclear all proposed trades in reportable securities. 

 

The amendments reflected in the Code did not relate to or result in any waiver, explicit or implicit, of any provision of the previous Code of Business Conduct and Ethics.

 

The foregoing description of the amendments 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 on Form 8-K and is incorporated by reference into this Item 5.05. A copy of the Code is also publicly available in the corporate governance section of the Company’s website at: www.fsinvestments.com.

 

Item 9.01.

Financial Statements and Exhibits.

 

(d)  Exhibits.

 

 

 

EXHIBIT
NUMBER

 

DESCRIPTION

14.1

 

Code of Business Conduct and Ethics of FS Energy and Power Fund.

 

 

 
 

 

SIGNATURE

 

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.

 

 

FS Energy and Power Fund

 

 

Date: May 11, 2020

By:

/s/ Stephen S. Sypherd

 

 

Stephen S. Sypherd

 

 

General Counsel and Secretary