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| CIK | 1068897 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Foxby Corp.
SEC Filings (Chronological Order)
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| June 5, 2025 |
FOXBY CORP. 2255 Buffalo Road Rochester, NY 14624 FOXBY CORP. 2255 Buffalo Road Rochester, NY 14624 June 5, 2025 VIA EDGAR CORRESPONDENCE Ken Ellington Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting Office Re: Response to Comments on Form N-CSR and Form N-CEN for the twelve months ended December 31, 2024 of Foxby Corp. (the “Registrant” or “Fund”) (811-09261) Dear Mr. E |
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| December 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant □ Check the appropriate box: □ Preliminary Proxy Statement □ Confide |
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| November 28, 2023 |
FOXBY CORP. SCHEDULE OF PORTFOLIO INVESTMENTS September 30, 2023 (Unaudited) Shares Value Common Stocks (114.15%) Automotive Dealers and Gasoline Service Stations (10.79%) 1,360 Asbury Automotive Group, Inc. (a) $ 312,895 335 AutoZone, Inc. (a) 850,897 1,163,792 Automotive Repair, Services, and Parking (3.07%) 630 U-Haul Holding Company (a) 34,379 5,670 U-Haul Holding Company Series N Non-Voting 2 |
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| May 25, 2022 |
FOXBY CORP. SCHEDULE OF PORTFOLIO INVESTMENTS March 31, 2022 (Unaudited) Shares Value Common Stocks (118.24%) Automotive Dealers and Gasoline Service Stations (10.72%) 1,360 Asbury Automotive Group, Inc. (a) $ 217,872 335 AutoZone, Inc. (a) 684,934 1,100 Lithia Motors, Inc. 330,132 1,232,938 Building Materials, Hardware, Garden Supply (5.87%) 850 The Home Depot, Inc. 254,431 1,800 Tractor Supply C |
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| November 29, 2021 |
FOXBY CORP. SCHEDULE OF PORTFOLIO INVESTMENTS September 30, 2021 (Unaudited) Shares Value Common Stocks (120.92) Automotive Dealers and Gasoline Service Stations (4.86%) 335 AutoZone, Inc. (a) $ 568,827 Building Materials, Hardware, Garden Supply (5.50%) 850 The Home Depot, Inc. 279,021 1,800 Tractor Supply Company 364,698 643,719 Business Services (22.87%) 500 Alphabet Inc. Class A (a) 1,336,760 |
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| May 28, 2021 |
FOXBY CORP. SCHEDULE OF PORTFOLIO INVESTMENTS March 31, 2021 (Unaudited) Shares Value Common Stocks (103.14%) Automotive Dealers and Gasoline Service Stations (4.25%) 335 AutoZone, Inc. (a) 470,441 Building Materials, Hardware, Garden Supply (5.22%) 850 The Home Depot, Inc. 259,463 1,800 Tractor Supply Company 318,744 578,207 Business Services (19.33%) 80 Accenture plc 22,100 500 Alphabet Inc. Cla |
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| November 23, 2020 |
FOXBY CORP. SCHEDULE OF PORTFOLIO INVESTMENTS September 30, 2020 (Unaudited) Shares Value Common Stocks (122.11%) Automotive Dealers and Gasoline Service Stations (3.78%) 250 AutoZone, Inc. (a) $ 294,410 Building Materials, Hardware, Garden Supply (6.34%) 850 The Home Depot, Inc. 236,054 1,800 Tractor Supply Company 258,012 494,066 Business Services (24.09%) 80 Accenture plc 18,079 500 Alphabet In |
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| October 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy State |
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| May 29, 2020 |
SCHEDULE OF PORTFOLIO INVESTMENTS SCHEDULE OF PORTFOLIO INVESTMENTS March 31, 2020 (Unaudited) Shares Value Common Stocks (116. |
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| November 22, 2019 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 22, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) Russell L. Kamerman, Esq |
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| May 15, 2019 |
N-Q 1 fxbynq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) Russell |
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| May 15, 2019 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| February 13, 2019 |
FXBY / Foxby Corp. / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* FOXBY CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) December 31, 2018 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| November 15, 2018 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 15, 2018 |
FXBY / Foxby Corp. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) Russell L. Kamerman, Esq |
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| November 9, 2018 |
FXBY / Foxby Corp. / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* FOXBY CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) October 31, 2018 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| August 28, 2018 |
EX.99.77Q3 PROMISSORY NOTE Foxby Corp. |
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| August 28, 2018 |
EX.99.77Q3 CUSTODY AGREEMENT THIS CUSTODY AGREEMENT ("Agreement"), dated as of June 1, 2018, is entered into by and between THE HUNTINGTON NATIONAL BANK, a national bank organized under the laws of the United States (the "Custodian" or "Bank"), and severally and not jointly each Company listed on Appendix B to this Agreement, acting solely with respect to each of its series listed on such Appendix |
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| August 28, 2018 |
EX.99.77Q3 PLEDGE AND SECURITY AGREEMENT THIS PLEDGE AND SECURITY AGREEMENT ("Agreement"), dated as of June 18, 2018, between FOXBY CORP., a Maryland corporation (the "Borrower"), executing this Agreement on behalf of itself and on behalf and for the benefit of those investment series set forth on Exhibit 1.1 (the "Fund(s)" and each, a "Fund"), and THE HUNTINGTON NATIONAL BANK, a national banking |
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| August 28, 2018 |
EX.99.77Q3 CONTROL AGREEMENT This Control Agreement (this "Agreement"), dated June 18, 2018, is by and among FOXBY CORP., a Maryland corporation (the "Borrower") executing this Agreement on behalf of itself and on behalf and for the benefit of those investment series set forth in Exhibit A (the "Funds" and each, a "Fund"), THE HUNTINGTON NATIONAL BANK, a national bank ("Bank"), and THE HUNTINGTON |
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| August 28, 2018 |
EX.99.77Q3 REVOLVING CREDIT AGREEMENT between FOXBY CORP. and THE HUNTINGTON NATIONAL BANK Dated as of June 18, 2018 TABLE OF CONTENTS Section 1 Definitions. 1.1 Specific Definitions. 1.2 Accounting Terms. 1.3 Uniform Commercial Code Terms 1.4 Computation of Time Periods 1.5 Terms Generally. Section 2 Loan and Term. 2.1 Revolving Credit Loans. 2.2 Promissory Note. 2.3 Repayment of Principal. 2.4 P |
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| May 21, 2018 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| May 21, 2018 |
FXBY / Foxby Corp. N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square New York, NY 10005 (Address of principal executive offices) (Zip Code) Russell L. Kamerman, Esq. Foxby Corp |
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| February 26, 2018 |
EX.99.77Q1 Foxby Corp. Bylaws As Amended October 25, 2017 FOXBY CORP. AMENDED AND RESTATED BYLAWS ARTICLE I LOCATION OF OFFICES AND SEAL Section 1. Principal Offices. The principal office of Foxby Corp. (the "Corporation") in the State of Maryland shall be located in Baltimore, Maryland. The Corporation may, in addition, establish and maintain such other offices and places of business as the Board |
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| February 26, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Foxby Corp. 11 Hanover Square New York, New York 10005 In planning and performing our audits of the financial statements of Foxby Corp. (the "Company"), as of and for the year ended December 31, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (United States) |
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| February 26, 2018 |
EX.99.77Q3 STATE STREET BANK AND TRUST COMPANY Midas Funds Fee Schedule Dated December 14, 2017 and Effective As of August 1, 2016 CUSTODY SERVICES Reference is hereby made to (a) the Custodian Agreement (the " Custody Agreement") dated as of April 8, 2002 by and between State Street Bank and Trust Company (" State Street") and each Fund listed on Exhibit A thereto (each, individually, a " Fund" a |
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| February 26, 2018 |
AMENDMENT TO CUSTODIAN AGREEMENT EX.99.77Q3 AMENDMENT TO CUSTODIAN AGREEMENT THIS AMENDMENT TO CUSTODIAN AGREEMENT (the "Amendment") is made and entered into as of November 20, 2017, by and among EACH REGISTERED INVESTMENT COMPANY LISTED ON EXHIBIT A (each a "Client"), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company ("State Street"). WITNESSETH: WHEREAS, Client and State Street are parties to that certain C |
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| February 13, 2018 |
FXBY / Foxby Corp. / MORGAN STANLEY - MS INITIAL Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.0)* FOXBY CORP. - (Name of Issuer) Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) December 29, 2017 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| November 17, 2017 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) Russell L. Kamerman, Esq |
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| August 29, 2017 |
FOXBY CORP. Amended and Restated Bylaws ARTICLE I LOCATION OF OFFICES AND SEAL EX-99.77Q1 Foxby Corp. Bylaws As Amended March 13, 2017 FOXBY CORP. Amended and Restated Bylaws ARTICLE I LOCATION OF OFFICES AND SEAL Section 1. Principal Offices. The principal office of the Corporation in the State of Maryland shall be located in Baltimore, Maryland. The Corporation may, in addition, establish and maintain such other offices and places of business as the Board of Directors may, |
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| August 29, 2017 |
EX-99.77Q3 NOMINATING COMMITTEE CHARTER The Board of Directors (the "Board") of Foxby Corp. (the "Fund") has adopted this Charter to govern the activities of the Nominating Committee (the "Committee") of its Board. Statement of Purposes and Responsibilities The primary purposes and responsibilities of the Committee are (i) to identify individuals qualified to become members of the Board in the eve |
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| May 26, 2017 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| May 26, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ram?rez, Esq. Fo |
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| March 22, 2017 |
FOXBY CORP. 11 Hanover Square 12 th Floor New York, NY 10005 March 22, 2017 VIA EDGAR CORRESPONDENCE Lauren Hamilton Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Responses to Comments on Form N-CSR for the twelve months ended December 31, 2015 of Foxby Corp. (the "Fund") (811-09261) Dear Ms. Hamilton: On behalf of the above-refe |
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| February 28, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Foxby Corp. 11 Hanover Square New York, New York 10005 In planning and performing our audits of the financial statements of Foxby Corp. (the "Company"), as of and for the year ended December 31, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United States) |
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| November 15, 2016 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 15, 2016 |
Foxby (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramírez, Esq. Fo |
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| August 25, 2016 |
Exhibit 99.77Q3 LIQUIDITY AGREEMENT DATED AS OF JULY 28, 2016 BY AND BETWEEN EACH FUND LISTED ON SCHEDULE A TO THIS AGREEMENT , ACTING SOLELY WITH RESPECT TO EACH OF ITS SERIES LISTED ON SUCH Schedule A, OR, IF NO SUCH SERIES IS LISTED, ACTING ON ITS OWN BEHALF, SEVERALLY AND NOT JOINTLY AND STATE STREET BANK AND TRUST COMPANY ARTICLE I DEFINED TERMS 1 Section 1.1 Defined Terms 1 Section 1.2 Inter |
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| May 24, 2016 |
Foxby (Quarterly Schedule of Portfolio Holdings) N-Q 1 fxby.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. R |
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| May 24, 2016 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| February 26, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Foxby Corp. 11 Hanover Square New York, New York 10005 In planning and performing our audits of the financial statements of Foxby Corp. (the "Company"), as of and for the year ended December 31, 2015, in accordance with the standards of the Public Company Accounting Oversight Board (United St |
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| February 26, 2016 |
Exhibit 99.77Q3 Institutional Shareholder Services Inc. ADDENDUM NO. (Schedule-GOV00159485 - 11/23/2015) Incorporating Master Service Agreement (MSA) No. (Midas Management Corporation-MSA.10/22/2003) between Subscriber & Institutional Shareholder Services Inc. Between Subscriber and Provider Subscriber: Dividend and Income Fund, Foxby Corp., Midas Series Trust, and Self Storage Group, Inc. Term: 0 |
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| November 17, 2015 |
Foxby (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramírez, Esq. Fo |
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| November 17, 2015 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 17, 2015 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| August 31, 2015 |
Exhibit 77Q3 AMENDMENT AGREEMENT AMENDMENT AGREEMENT (" Amendment") dated as of July 15, 2015 to the Committed Facility Agreement dated March 29, 2012 between BNP Paribas Prime Brokerage, Inc. |
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| May 21, 2015 |
Foxby (Quarterly Schedule of Portfolio Holdings) foxby.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramíre |
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| May 21, 2015 |
foxbycert.htm EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| February 27, 2015 |
Section 16(a) Beneficial Ownership Reporting Compliance Section 16(a) Beneficial Ownership Reporting Compliance Based on the Fund's review of Forms 3 and 4 and amendments thereto furnished to the Fund during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Fund with respect to its most recent fiscal year, the Fund believes that its directors and officers, and any beneficial owners of more than 10% of the Fund's common stock complied with the filing requirements of Section 16(a) of the Securities Exchange Act of 1934 except with respect to the following: Name of Filer Form Type Number of Late Reports Number of Transactions Eric Paul C. |
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| February 27, 2015 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Foxby Corp. |
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| November 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramírez, Esq. Fo |
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| November 12, 2014 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| August 29, 2014 |
AGREEMENT APPOINTING SECURITIES TRANSFER CORPORATION AS TRANSFER AGENT AND REGISTRAR Exhibit 77(Q3) AGREEMENT APPOINTING SECURITIES TRANSFER CORPORATION AS TRANSFER AGENT AND REGISTRAR This Agreement is made this 24th day of June, 2014, between Securities Transfer Corporation, a Texas Corporation, and Foxby Corp. |
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| June 13, 2014 |
FOXBY CORP. 11 Hanover Square New York, NY 10005 June 13, 2014 VIA EDGAR Mr. Chad Eskildsen Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting 100 F Street N.E. Washington D.C. 20549 Re: Responses to Comments on Form N-PX filed by Foxby Corp. (the “Registrant”) on August 29, 2013 Dear Mr. Eskildsen: On behalf of the Registra |
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| May 30, 2014 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramírez, Esq. Fo |
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| May 30, 2014 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| March 3, 2014 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 77(B) REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Foxby Corp. |
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| March 3, 2014 |
INVESTMENT COMPANY COMPLEX AUDIT COMMITTEE CHARTER (as of December 11, 2013) Exhibit 77Q(3) INVESTMENT COMPANY COMPLEX AUDIT COMMITTEE CHARTER (as of December 11, 2013) 1. |
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| March 3, 2014 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 77Q(2) Section 16(a) Beneficial Ownership Reporting Compliance Based on the Registrant’s review of Forms 3 and 4 and amendments thereto furnished to the Registrant during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Registrant with respect to its most recent fiscal year, the Registrant believes that its directors and officers, and any beneficial owners of more than 10% of the Registrant's common stock complied with the filing requirements of Section 16(a) of the Securities Exchange Act of 1934. |
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| November 14, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 1 fxbynqsept2013.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) |
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| November 14, 2013 |
CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by t |
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| May 30, 2013 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| May 30, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 1 fxbynqmar2013.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) |
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| March 1, 2013 |
ITEM 77(B) REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Foxby Corp. |
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| March 1, 2013 |
EXECUTION COPY AMENDMENT AGREEMENT EXECUTION COPY AMENDMENT AGREEMENT AMENDMENT AGREEMENT (“Amendment”) dated as of December 10, 2012 to the U. |
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| March 1, 2013 |
INVESTMENT MANAGEMENT AGREEMENT ITEM 77(Q3) INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made as of September , 2012, by and between Foxby Corp. |
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| March 1, 2013 |
Changes in Control of Registrant ITEM 77(H) Changes in Control of Registrant On May 15, 2012, Bassett S. Winmill, the Registrant’s portfolio manager and the owner of 100% of the voting stock (the “voting stock”) of Winmill & Co. Incorporated (“Winco”), the parent company of CEF Advisers, Inc., the Registrant’s former investment manager (“Investment Manager”), passed away. In connection with his death, Mr. Winmill’s ownership inte |
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| March 1, 2013 |
Section 16(a) Beneficial Ownership Reporting Compliance ITEM 77.Q2 Section 16(a) Beneficial Ownership Reporting Compliance Based on the Registrant’s review of Forms 3 and 4 and amendments thereto furnished to the Registrant during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Registrant with respect to its most recent fiscal year, the Registrant believes that its directors and officers, and any beneficial owners of mor |
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| March 1, 2013 |
EXECUTION COPY AMENDED AND RESTATED SPECIAL CUSTODY and PLEDGE AGREEMENT EXECUTION COPY AMENDED AND RESTATED SPECIAL CUSTODY and PLEDGE AGREEMENT AGREEMENT (hereinafter "Agreement"), dated as of December 10, 2012, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder ("Custodian"), Foxby Corp. |
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| March 1, 2013 |
RESULTS OF A SPECIAL MEETING OF SHAREHOLDERS ITEM 77(C) RESULTS OF A SPECIAL MEETING OF SHAREHOLDERS A Special Meeting of Shareholders of the Fund was held on September 12, 2012, at the offices of the Fund at 11 Hanover Square, 12th Floor, New York, New York, 10005, and adjourned to October 9, 2012 for the following purposes: 1. |
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| November 29, 2012 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramírez, Esq. Fo |
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| October 9, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Definitive Proxy Statement þ Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Foxby Corp. |
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| September 27, 2012 |
DEFA14A 1 fxbydefa14asept2012.htm SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Definitive Proxy Statement þ Definitive Additional Materials o Soliciting Material Purs |
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| August 29, 2012 |
INVESTMENT MANAGEMENT AGREEMENT Item 77(Q1) INVESTMENT MANAGEMENT AGREEMENT AGREEMENT made as of May 15, 2012, by and between Foxby Corp. |
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| August 29, 2012 |
Execution Copy Form of Committed Facility Agreement BNP PARIBAS PRIME BROKERAGE, INC. |
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| August 29, 2012 |
Item 77(Q3) SERVICES AGREEMENT Fund Accounting Services Tax Services between FOXBY CORP. |
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| August 29, 2012 |
FORM OF SPECIAL CUSTODY and PLEDGE AGREEMENT FORM OF SPECIAL CUSTODY and PLEDGE AGREEMENT AGREEMENT (hereinafter "Agreement"), dated as of March 29, 2012, among State Street Bank and Trust Company, a Massachusetts trust company, in its capacity as custodian hereunder ("Custodian"), Foxby Corp. |
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| August 29, 2012 |
Forn Of U.S. PB Agreement This U.S. PB Agreement (including all terms, schedules, supplements and exhibits attached hereto, this “Agreement”) is entered into between the customer specified below (“Customer”) and BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) on behalf of itself and as agent for the BNPP Entities (as defined in the Account Agreement attached as Exhibit A hereto). The Agreement |
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| August 24, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Foxby Corp. |
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| August 24, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Definitive Proxy Statement þ Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Foxby Corp. |
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| August 24, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Foxby Corp. |
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| August 23, 2012 |
FOXBY CORP. 11 Hanover Square New York, NY 10005 www.FoxbyCorp.com VIA EDGAR August 23, 2012 Mr. Larry L. Greene Office of Disclosure and Review Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Responses to Comments on the Preliminary Proxy Statement of Foxby Corp. (SEC File No. 811-09261) Dear Mr. Greene: On behalf of Foxby Corp. (“Fund”), set forth below are the comme |
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| August 23, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement þ Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Foxby Corp. |
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| July 20, 2012 |
FOXBY CORP. 11 Hanover Square New York, NY 10005 www.FoxbyCorp.com July 20, 2012 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Preliminary Proxy Statement for Foxby Corp. (File No. 811-09261) Dear Sir or Madam: On behalf of Foxby Corp. (the “Fund”), transmitted herewith for filing pursuant to Rule 14a-6(a) under the Securities Exchange Act of 1934, as |
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| July 20, 2012 |
SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 o Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Foxby Corp. |
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| May 29, 2012 |
Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ramírez, Esq. Fo |
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| May 29, 2012 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| February 29, 2012 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Foxby Corp. |
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| February 29, 2012 |
Section 16(a) Beneficial Ownership Reporting Compliance ITEM 77.Q2 Section 16(a) Beneficial Ownership Reporting Compliance Based on the Fund's review of Forms 3 and 4 and amendments thereto furnished to the Fund during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Fund with respect to its most recent fiscal year, the Fund believes that its directors and officers, and any beneficial owners of more than 10% of the Fund's |
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| February 16, 2012 |
FXBY / Foxby Corp. / Investment Partners Asset Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* Foxby Corp. - (Name of Issuer) - Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) Gregg T. Abella Investment Partners Asset Management, Inc. One Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - |
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| February 15, 2012 |
FXBY / Foxby Corp. / Investment Partners Asset Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* Foxby Corp. - (Name of Issuer) - Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) Gregg T. Abella Investment Partners Asset Management, Inc. One Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - |
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| January 20, 2012 |
FXBY / Foxby Corp. / Investment Partners Asset Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* Foxby Corp. - (Name of Issuer) - Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) Gregg T. Abella Investment Partners Asset Management, Inc. One Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - |
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| November 29, 2011 |
EX-99.CERT Certifications I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 29, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ram?rez, Esq. Fo |
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| November 22, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* Foxby Corp. - (Name of Issuer) - Common Stock - (Title of Class of Securities) 351645106 - (CUSIP Number) Gregg T. Abella Investment Partners Asset Management, Inc. One Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - |
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| August 29, 2011 |
FOXBY CORP. amended and restated bylaws ARTICLE I LOCATION OF OFFICES AND SEAL Foxby Corp. Bylaws As Amended March 8, 2011 FOXBY CORP. amended and restated bylaws ARTICLE I LOCATION OF OFFICES AND SEAL Section 1. Principal Offices. The principal office of the Corporation in the State of Maryland shall be located in Baltimore, Maryland. The Corporation may, in addition, establish and maintain such other offices and places of business as the Board of Directors may, from time t |
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| May 27, 2011 |
EX-99.CERT Certifications I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| May 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ram?rez, Esq. Fo |
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| November 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ram?rez, Esq. Fo |
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| November 29, 2010 |
EX-99.CERT Certifications I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| August 30, 2010 |
April 23, 2010 Midas Family of Funds 11 Hanover Square New York, NY 10005 Attention: John F. |
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| May 26, 2010 |
EX-99.CERT Certifications I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| May 26, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ram?rez, Esq. Foxby Corp. 11 |
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| November 17, 2009 |
N-Q 1 fxxnq090930.htm FOXBY CORP. - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square New York, NY 10005 (Address of principal executive offi |
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| November 17, 2009 |
EX-99.CERT Certifications I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| August 13, 2009 |
April 24, 2009 Midas Family of Funds 11 Hanover Square New York, NY 10005 RE: Sixth Amendment to Committed Secured Leveraging Facility Ladies and Gentlemen: Pursuant to an amended and restated loan agreement dated July 18, 2003 (as amended, the "Loan Agreement"), State Street Bank and Trust Company (the "Bank") has made available a $25,000,000 committed secured leveraging line of credit (the "Committed Line") to the Midas Fund, Inc. |
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| June 1, 2009 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| June 1, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square New York, NY 10005 (Address of principal executive offices) (Zip Code) John F. Ram?rez, Esq. Foxby Corp. 11 |
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| May 1, 2009 |
Schedule 13D/A as filed May 1, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2009 |
Remington Value & Special Situation Fund, LLC One Highland Avenue, Metuchen, NJ 08840 Tel (732) 205-0391 Fax (732) 205-0395 April 29, 2009 Mr. |
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| October 27, 2008 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| October 27, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 FOXBY CORP. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor 10005 New York, NY (Address of principal executive offices) (Zip Code) Thomas B. Winmill, Presid |
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| October 14, 2008 |
OMB APPROVAL OMB Number: 3235-0080 Expires: February 28, 2009 Estimated average burden hours per response. |
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| August 29, 2008 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| August 21, 2008 |
AGREEMENT FOR ILLINOIS STOCK TRANSFER COMPANY SERVICES I. THIS AGREEMENT made this 31st day of March, 2008 by and between the Illinois Stock Transfer Company (hereinafter "ISTC") and Foxby Corp. (hereinafter "the Client"). See accompanying Rider "A" hereto made part of this contract. II. THIS AGREEMENT confirms that ISTC and the Client agrees and understands that ISTC will provide: o All Transfer |
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| August 21, 2008 |
Foxby Corp. Bylaws As Amended June 11, 2008 FOXBY CORP. AMENDED AND RESTATED BYLAWS ARTICLE I LOCATION OF OFFICES AND SEAL SECTION 1. PRINCIPAL OFFICES. The principal office of the Corporation in the State of Maryland shall be located in Baltimore, Maryland. The Corporation may, in addition, establish and maintain such other offices and places of business as the Board of Directors may, from time t |
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| August 21, 2008 |
FOXBY CORP. DIVIDEND REINVESTMENT PLAN TERMS AND CONDITIONS OF THE 2008 AMENDED DIVIDEND REINVESTMENT PLAN 1. Each shareholder (the "Shareholder") holding shares of common stock (the "Shares") of Foxby Corp. (the "Fund") will automatically be a participant in the Dividend Reinvestment Plan (the "Plan"), unless the Shareholder specifically elects to receive all dividends and capital gains in cash p |
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| August 21, 2008 |
CODE OF ETHICS PURSUANT TO SECTION 17(J) OF THE INVESTMENT COMPANY ACT OF 1940 AND RULE 204A-1 OF THE INVESTMENT ADVISERS ACT OF 1940 Foxby Corp. |
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| May 23, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 Foxby Corp. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip Code) Thomas B. Winmill, Presid |
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| May 23, 2008 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| April 29, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Foxby Corp. - - (Name of Issuer) - - Common Stock - - (Title of Class of Securities) 351645106 - - (CUSIP Number) Gregg T. Abella Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - |
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| April 29, 2008 |
Remington Value & Special Situation Fund, LLC One Highland Avenue, Metuchen, NJ 08840 Tel (732) 205-0391 Fax (732) 205-0395 April 22, 2008 Mr. |
|
| March 7, 2008 |
Exhibit 1 INVESTMENT PARTNERS ASSET MANAGEMENT One Highland Avenue Metuchen, New Jersey 08840 o Tel (732) 205-0391 o Fax (732) 205-0395 BY FAX AND OVERNIGHT COURIER March 5, 2008 Mr. |
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| March 7, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Foxby Corp. - (Name of Issuer) - Common Stock - (Title of Class of Securities) 003009107 - (CUSIP Number) Gregg T. Abella Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - |
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| February 13, 2008 |
SEC 1745 (12- 02) Persons who respond to the information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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| November 28, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 Foxby Corp. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip code) Thomas B. Winmill, Presid |
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| November 15, 2007 |
Exhibit 1 Exhibit 1 INVESTMENT PARTNERS ASSET MANAGEMENT One Highland Avenue Metuchen, New Jersey 08840 o (732) 205-0391 o (732) 205-0395 FAX BY: FAX & CERTIFIED MAIL November 15, 2007 Board of Directors Foxby Corporation 11 Hanover Square New York, NY 10005 Attn: Mr. |
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| November 15, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.6)* Foxby Corp. - - (Name of Issuer) - - Common Stock - - (Title of Class of Securities) 003009107 - - (CUSIP Number) Frank Abella, Jr. Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - |
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| November 2, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.5)* Foxby Corp. - - - (Name of Issuer) - - - Common Stock - - - (Title of Class of Securities) 003009107 - - - (CUSIP Number) Frank Abella, Jr. Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - - |
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| August 24, 2007 |
Foxby Corp. Global Income Fund, Inc. 11 Hanover Square New York, NY 10005 August 24, 2007 Larry L. Greene, Esq. Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Comments on Preliminary Proxy Statements of Global Income Fund, Inc. (SEC File Nos. 333-111045 and 811-08025) and Foxby Corp. (SEC File Nos. 333-74407 and 811-09261) filed on |
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| August 24, 2007 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| August 2, 2007 |
K&L/Gates Kirkpatrick & Lockhart Preston Gates Ellis LLP 1601 K Street NW Washington, DC 20006-1600 T 202. |
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| July 20, 2007 |
SCHEDULE 14A INFORMATION PRELIMINARY PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| July 20, 2007 |
FOXBY CORP. 11 Hanover Square New York, New York 10005 July 20, 2007 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Re: Foxby Corp. Commission File No. 811-09261 Proxy Solicitation Material for Annual Meeting of Stockholders Ladies and Gentlemen: On behalf of Foxby Corp. (the "Fund"), transmitted herewith for filing via the EDGAR filing system are the preliminary fo |
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| May 30, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 Foxby Corp. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip code) Thomas B. Winmill, Presid |
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| March 30, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.4)* Foxby Corp. - - - (Name of Issuer) - - - Common Stock - - - (Title of Class of Securities) 003009107 - - - (CUSIP Number) Frank Abella, Jr. Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - - |
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| March 29, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.3)* Foxby Corp. - - - (Name of Issuer) - - - Common Stock - - - (Title of Class of Securities) 003009107 - - - (CUSIP Number) Frank Abella, Jr. Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - - |
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| December 22, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Foxby Corp. - - - (Name of Issuer) - - - Common Stock - - - (Title of Class of Securities) 003009107 - - - (CUSIP Number) Gregg Abella Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - - |
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| December 22, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.2)* Foxby Corp. - - - (Name of Issuer) - - - Common Stock - - - (Title of Class of Securities) 003009107 - - - (CUSIP Number) Gregg Abella Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - - |
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| December 22, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Foxby Corp. - - - (Name of Issuer) - - - Common Stock - - - (Title of Class of Securities) 003009107 - - - (CUSIP Number) Gregg Abella Investment Partners Asset Management, Inc. 1 Highland Avenue Metuchen, New Jersey 08840 732-205-0391 - - - |
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| November 17, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 Foxby Corp. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip code) Thomas B. Winmill, Presid |
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| November 17, 2006 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| July 28, 2006 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| May 26, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 Foxby Corp. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY 10005 (Address of principal executive offices) (Zip code) Thomas B. Winmill, Presid |
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| May 26, 2006 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| February 6, 2006 |
SEC 1745 (12- 02) Persons who respond to the information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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| January 6, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 3)* Under the Securities Exchange Act of 1934 FOXBY CORP. Common Stock CUSIP NUMBER 46062H 10 0 Richard J. Shaker D. B. A. Shaker Financial Services 1094 Magothy Circle Annapolis, MD 21409 December 29, 2005 If the filing person has previously filed a statement on Schedule 13G to report the acquisi |
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| January 5, 2006 |
AMENDED STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Foxby Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 351645 106 (CUSIP Number) INVESTOR SERVICE CENTER, INC. 11 Hanover Square, 12th Floor New York, NY 10005 Attn: John F. Ramirez. 1-212-363-1100 (Name, Address and Telephone Number of Person Autho |
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| December 23, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* FOXBY CORP. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 351645106 (CUSIP Number) Louise Guarneri Credit Suisse Eleven Madison Avenue, New York, NY 10010 (212) 325-2000 (Name, Address and Telephone Number of Person Auth |
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| November 22, 2005 |
CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by t |
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| November 22, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 Foxby Corp. (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor New York, NY (Address of principal executive offices) 10005 (Zip code) Thomas B. Winmill, Presid |
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| November 18, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* FOXBY CORP. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 351645106 (CUSIP Number) Louise Guarneri Credit Suisse Eleven Madison Avenue, New York, NY 10010 (212) 325-2000 (Name, Address and Telephone Number of Person Authori |
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| September 2, 2005 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| August 29, 2005 |
FOXBY CORP. ARTICLES SUPPLEMENTARY Foxby Corp., a Maryland corporation (the "Corporation"), hereby certifies to the State Department of Assessments and Taxation of Maryland (the "SDAT"), that: FIRST: Under a power contained in Title 3, Subtitle 8 of the Maryland General Corporation Law (the "MGCL"), the Corporation, by resolutions of its Board of Directors (the "Board of Directors") duly adopted a |
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| August 29, 2005 |
Foxby Corp. By-laws As Amended June 8, 2005 Foxby Corp. AMENDED AND RESTATED BYLAWS (Adopted on July 8, 2003) ARTICLE I LOCATION OF OFFICES AND SEAL Section 1. Principal Offices. The principal office of the Corporation in the State of Maryland shall be located in Baltimore, Maryland. The Corporation may, in addition, establish and maintain such other offices and places of business as the Board of |
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| May 31, 2005 |
QUARTERLY PORTFOLIO DISCLOSURE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 - Foxby Corp. - - (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor, New York, NY 10005 - - (Address of principal executive offices) (Zip code) Thomas B. Winm |
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| May 31, 2005 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| February 3, 2005 |
SEC 1745 (12- 02) Persons who respond to the information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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| November 29, 2004 |
EX-99.CERT CERTIFICATIONS I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-Q of Foxby Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period c |
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| November 29, 2004 |
2004 THIRD QUARTER SCHEDULE OF INVESTMENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09261 - Foxby Corp. - - (Exact name of registrant as specified in charter) 11 Hanover Square, 12th Floor, New York, NY 10005 - - (Address of principal executive offices) (Zip code) Thomas B. Winm |
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| October 25, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 FOXBY CORP. Common Stock CUSIP NUMBER 46062H 10 0 Richard J. Shaker D. B. A. Shaker Financial Services 1094 Magothy Circle Annapolis, Maryland 21401 October 22, 2004 If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the |
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| October 8, 2004 |
AMENDED STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Foxby Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 351645 106 (CUSIP Number) INVESTOR SERVICE CENTER, INC. 11 Hanover Square, 12th Floor New York, NY 10005 Attn: Monica Pelaez, Esq. 1-212-363-1100 (Name, Address and Telephone Number of Person Au |
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| September 2, 2004 |
Page 3 of 5 Pages 296328.01 2334-0002 September 2, 2004 1. Name of Reporting Person and I.R.S. Identification Number Richard J. Shaker, DBA Shaker Financial Services IRS TIN 51-0434319 2. Check the Appropriate Row if a member of a Group (See Instructions) (a) [] (b) [] N/A 3. SEC Use Only 4. Source of Funds WC (of accounts managed by Shaker Financial Services) 5. Check if Disclosure of Legal Proce |
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| August 30, 2004 |
FOXBY CORP. 11 Hanover Square, 12th Floor New York, NY 10054 August 26, 2004 Please vote now by calling 1-800-454-8683 or accessing www.proxyvote.com. Use the CONTROL NUMBER on the enclosed WHITE PROXY CARD. Dear Fellow Foxby Stockholder: We urge you to support your Fund's highly qualified nominees for the Board of Directors; reject Shaker and his so-called "professional" dissidents because their |
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| August 30, 2004 |
As of July 16, 2004 Midas Family of Funds 11 Hanover Square New York, NY 10005 Attention: Thomas B. |
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| August 25, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only as permitted by Rule 1 |
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| August 19, 2004 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| August 19, 2004 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| August 17, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [] Filed by a Party other than the Registrant [x] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only as permitted by Rule 14 |
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| August 10, 2004 |
STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Foxby Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 351645 106 (CUSIP Number) INVESTOR SERVICE CENTER, INC. 11 Hanover Square, 12th Floor New York, NY 10005 Attn: Monica Pelaez, Esq. 1-212-363-1100 (Name, Address and Telephone Number of Person Au |
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| August 5, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 FOXBY CORP. Common Stock 46062H 10 0 CUSIP NUMBER Richard J. Shaker D. B. A. Shaker Financial Services 1094 Magothy Circle Annapolis, Maryland 21401 August 2, 2004 If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the s |
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| August 4, 2004 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [] Filed by a Party other than the Registrant [x] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only as permitted by Rule 14 |
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| July 23, 2004 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| July 12, 2004 |
SCHEDULE 13G/A* (*Amendment No. 2) Under the Securities Exchange Act of 1934 OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 estimated average burden hours per response. |
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| May 10, 2004 |
STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.) Foxby Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 351645 106 (CUSIP Number) INVESTOR SERVICE CENTER, INC. 11 Hanover Square, 12th Floor New York, NY 10005 Attn: Monica Pelaez, Esq. 1-212-363-1100 (Name, Address and Telephone Number of Person Author |
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| April 14, 2004 |
OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 estimated average burden hours per response. |
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| February 10, 2004 |
SEC 1745 (12- 02) Persons who respond to the information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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| January 6, 2004 |
OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 2005 estimated average burden hours per response. |
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| October 15, 2003 |
ADDITIONAL DEFINITIVE MATERIALS DEFA14A 1 defa3-14a03.txt ADDITIONAL DEFINITIVE MATERIALS FOXBY CORP. (formerly, "Internet Growth Fund, Inc.") Your vote on the proposals at the Special Meeting will have a SIGNIFICANT IMPACT on the future of your investment. Your vote for this extremely important Special Meeting has NOT been recorded. PLEASE VOTE TODAY! October 15, 2003 Dear Fellow Shareholder: We previously mailed to you proxy m |
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| October 14, 2003 |
ADDITIONAL DEFINITIVE MATERIALS FOXBY CORP. (formerly, "Internet Growth Fund, Inc.") IMPORTANT - PLEASE VOTE NOW! Importantly, by voting now you will reduce further Fund solicitation expenses. October 3, 2003 Dear Fellow Shareholder: We previously mailed to you proxy materials relating to the Special Meeting of Shareholders of Foxby Corp. (formerly, "Internet Growth Fund, Inc."), originally scheduled for Friday, September 12, 20 |
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| September 16, 2003 |
ADDITIONAL DEFINITIVE PROXY SOLICITING MATERIALS SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [x] Definitive Additional Materials [ ] Soliciting Material Pursuant to (ss. |
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| August 29, 2003 |
FOXBY CORP. AMENDED AND RESTATED BYLAWS (Adopted on July 8, 2003) ARTICLE I LOCATION OF OFFICES AND SEAL Section 1. Principal Offices. The principal office of the Corporation in the State of Maryland shall be located in Baltimore, Maryland. The Corporation may, in addition, establish and maintain such other offices and places of business as the Board of Directors may, from time to time, determine |
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| August 18, 2003 |
2003 FOXBY CORP. PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [x] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to (ss. |
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| July 21, 2003 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to (ss. |
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| July 18, 2003 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to (ss. |
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| February 24, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION " WASHINGTON, D.C. 20549" SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 INTERNET GROWTH FUND INC - - (NAME OF ISSUER) COMMON STOCK - - (TITLE OF CLASS OF SECURITIES) 46062H100 - - (CUSIP NUMBER) " FEBRUARY 17, 2003" - - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH |
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| November 27, 2002 |
Sub-Item 77Q3 I, Thomas B. Winmill, certify that: 1. I have reviewed this report on Form N-SAR of Internet Growth Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| November 27, 2002 |
Exhibit SUB-ITEM 77Q3(a) (i) Based on an evaluation of the Disclosure Controls as of a date within 90 days of the Filing Date, the Disclosure Controls are effectively designed to ensure that information required to be disclosed by the Fund in the Report is recorded, processed, summarized and reported by the Filing Date, including ensuring that information required to be disclosed in the Report is |
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| November 27, 2002 |
Sub-Item 77Q3 Internet Growth Fund, Inc. By-laws As Amended July 12, 2002 AMENDED BY-LAWS OF Internet Growth Fund, Inc. (A MARYLAND CORPORATION) ARTICLE I - NAME OF CORPORATION, LOCATION OF OFFICES AND SEAL Section 1.1. Name. The name of the Corporation is Internet Growth Fund, Inc. Section 1.2. Principal Offices. The principal office of the Corporation in the State of Maryland shall be located in |
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| November 27, 2002 |
Sub-Item 77Q3 ARTICLES OF AMENDMENT LCM Internet Growth Fund, Inc. - - a Maryland corporation hereby certifies to the State Department of Assessments and Taxation of Maryland that: The charter of the corporation is hereby amended as follows: The name of the corporation is Internet Growth Fund, Inc. This amendment shall be effective July 12, 2002. This amendment of the charter of the corporation ha |
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| November 27, 2002 |
Sub-Item 77Q3 I, William G. Vohrer, certify that: 1. I have reviewed this report on Form N-SAR of Internet Growth Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| November 22, 2002 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to (ss. |
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| July 17, 2002 |
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP 3 1 gbl-3.txt INITIAL STATEMENT OF BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 =========================== |
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| June 4, 2002 |
DEF 14A 1 sdc134a.txt 14A DEFINITIVE PROXY - LCM SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statem |
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| May 15, 2002 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [ ] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to (ss. |
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| June 4, 2001 |
SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 29, 2000 |
PAGE 1 000 A000000 09/30/2000 000 C000000 0001068897 000 D000000 N 000 E000000 NC 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6. |
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| November 29, 2000 |
6 0001068897 LCM Internet Growth Fund, Inc. 6-MOS MAR-31-2001 APR-01-2000 SEP-30-2000 27,359,958 30,060,641 8,580 92,941 0 30,162,162 499,090 0 113,754 612,844 0 24,703,510 2,582,883 2,640,583 0 0 2,674,919 0 2,703,883 29,549,318 3,153 217,307 0 (290,108) 0 (2,886,686) (4,745,851) (7,702,185) 0 0 (1,320,292) 0 0 (532,993) 0 (9,555,470) (139,316) 7,090,860 0 0 (156,766) 0 (290,108) 31,267,621 14.81 |
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| June 9, 2000 |
DEFINITIVE PROXY STATEMENT & PROXY CARD SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
