Current Report Filing (8-k)
February 09 2018 - 3:35PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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) February 8, 2018
Gladstone Capital Corporation
(Exact name of Registrant as Specified in Charter)
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Maryland
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814-00237
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54-2040781
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1521 Westbranch Drive, Suite 100
McLean, Virginia
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22102
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code:
(703) 287-5800
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:
☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 5.07.
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Submission of Matters to a Vote of Security Holders.
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On February 8, 2018, Gladstone Capital
Corporation (the
Company
) held its 2018 Annual Meeting of Stockholders (the
Annual Meeting
). There were present at the Annual Meeting in person or by proxy, stockholders holding an aggregate of 23,290,317 shares
of the Companys common stock and 1,644,739 shares of the Companys preferred stock.
The matters considered and voted on by the stockholders at
the annual meeting and the vote of the stockholders were as follows:
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1.
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The following individuals were elected as directors, (a) Mr. Terry Lee Brubaker, elected by the holders of common stock and preferred stock, voting together as a single class, to serve until the 2021 Annual
Meeting of Stockholders and until his successor is elected and qualified; and (b) Ms. Caren D. Merrick and Mr. Walter H. Wilkinson, Jr., elected solely by the holders of preferred stock, voting as a single class, with each
such director to serve until the 2021 Annual Meeting of Stockholders and until his or her successor is elected and qualified, by the following vote:
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For
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Withheld
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Broker
Non-Votes
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Terry Lee Brubaker
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8,959,551
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571,188
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15,404,317
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Caren D. Merrick
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397,664
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276,800
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970,275
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Walter H. Wilkinson, Jr.
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397,664
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276,800
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970,275
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2.
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The ratification of the selection by the Audit Committee of our Board of Directors of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending September 30, 2018,
by the following vote.
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For
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Against
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Abstain
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Broker Non-Votes
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24,492,378
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183,338
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259,340
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0
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SIGNATURES
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.
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GLADSTONE CAPITAL CORPORATION
(Registrant)
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By:
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/s/ Nicole Schaltenbrand
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Nicole Schaltenbrand
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February 9, 2018
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Chief Financial Officer and Treasurer
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