UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT Pursuant to
Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 8, 2013
Mill City Ventures III, Ltd.
(Exact name of registrant as specified in its charter)
| Minnesota | 814-00991 | 20-4709758 |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
130 West Lake Street
Suite 300
Wayzata, MN 55391
(Address of principal executive offices)
(952) 473-3442
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
¨ 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))
| Item 3.02. | Unregistered Sales of Equity Securities. |
Joseph Hammer, a director of Mill City Ventures III, Ltd., has resigned from his position on the board of directors effective as of August 8, 2013.
Under Section 56(b) of the Investment Company Act of 1940, Mill City Ventures must appoint or elect an independent director to fill the vacancy created by Mr. Hammer’s resignation on or prior to November 6, 2013.
* * * * * * *
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: August 14, 2013 | By: | /s/ Douglas M. Polinsky |
| Douglas
M. Polinsky Chief Executive Officer | ||