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):  September 11, 2023

 

Mill City Ventures III, Ltd.

(Exact name of registrant as specified in its charter)

 

Minnesota

 

001-41472

 

90-0316651

(State or other jurisdiction

of incorporation)

 

(Commission File Number)

 

(IRS Employer

Identification No.)

 

1907 Wayzata Boulevard, Suite 205

Wayzata, MN 55391

(Address of principal executive offices)

 

(952) 479-1923

(Registrant's telephone number, including area code)

 

N/A

 (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))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934. 

 

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 8.01 Other Events.

 

On September 11, 2023, Mill City Ventures III, Ltd. issued a press release. A copy of the press release is attached to this report as Exhibit 99.1.

 

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits.

 

Exhibit No.

 

Document

 

 

 

99.1

 

Press release dated September 11, 2023

 

 
2

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 MILL CITY VENTURES III, LTD.
    
Date:  September 11, 2023By:/s/ Joseph A. Geraci, II

 

 

JOSEPH A. GERACI, II 
  Chief Financial Officer 

 

 
3

 

 

EXHIBIT INDEX

 

Exhibit No.

 

Document

 

 

 

99.1

 

Press release dated September 11, 2023

 

 
4

 

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Cover
Sep. 11, 2023
Cover [Abstract]  
Entity Registrant Name Mill City Ventures III, Ltd.
Entity Central Index Key 0001425355
Document Type 8-K
Amendment Flag false
Entity Emerging Growth Company false
Document Period End Date Sep. 11, 2023
Entity Incorporation State Country Code MN
Entity File Number 001-41472
Entity Tax Identification Number 90-0316651
Entity Address Address Line 1 1907 Wayzata Boulevard
Entity Address Address Line 2 Suite 205
Entity Address City Or Town Wayzata
Entity Address State Or Province MN
Entity Address Postal Zip Code 55391
City Area Code 952
Local Phone Number 479-1923
Written Communications false
Soliciting Material true
Pre Commencement Tender Offer false
Pre Commencement Issuer Tender Offer false
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